ATTACHMENT_4_QASP_02-24-07_Rev_5_EC.pdf

U.S. Department of Housing and Urban Development (HUD)

QUALITY ASSURANCE SURVEILANCE PLAN (QASP)

for

Office of Public and Indian Housing (PIH) Real Estate Assessment Center (REAC)

Uniform Physical Condition Standards (UPCS) Inspections

February 24, 2017 Revision 5

TABLE OF CONTENTS

1.0 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2.0 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Government’s Technical Representative

3.0 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6.0 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled IDIQ UPCS Inspections. This plan sets forth the procedures and guidelines the Real Estate Assessment Center will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the PWS and the contractor’s quality control plan (QCP), and to ensure that the government pays only for the level of services received.

1.1.2 This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

1.2 Performance Management Approach

1.2.1 The PWS structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by the Real Estate Assessment Center to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

1.2.2 Performance management represents a significant shift from the more traditional quality assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, as long as the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health.

A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 Performance Management Strategy

1.3.1 The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated government representative. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP enables the government to take advantage of the contractor’s QC program.

1.3.2 The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

The contracting officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the government technical representative (GTR) and the contractor. The CO will designate one full-time GTR as the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

2.2 The Government Technical Representative

The government technical representative is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. GTR limitations are contained in the written appointment letter. The GTR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The GTR is not empowered to make any contractual commitments or to authorize any contractual changes on the government’s behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action. The GTR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

The required performance standards and/or quality levels are included in the PWS and in Attachment 1, “Performance Requirements Summary.” If the contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

Random site visits by HUD’s Quality Assurance Staff to assess contractor and subcontractor performance.

Random monitoring, which shall be performed by the GTR with input from the program area and subject-matter experts.

100% Inspection – To determine technical accuracy, each inspection report shall undergo HUD’s Inspection Review process prior to acceptance. A tandem random sampling of inspections shall be analyzed by HUD to assess contractor performance and compliance with HUD’s Uniform Physical Condition Standard protocol. Each month, the GTR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist based on findings.

4.2 Customer Feedback

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints

Effective contractor-to-employee and contractor-to-subcontractor communication is essential to meeting the requirements of the IDIQ, particularly in the areas of: scheduling, pay, issue resolution, conduct, conflict of interests and performance. A key indicator of a successful inspection contract is the ability of the contractor to maintain an adequate supply of REAC-certified inspectors to meet the demand of a large volume of inspections to be performed under the UPCS IDIQ. To this end, it is expected that contractors develop an effective strategy with employees and sub-contractors to ensure inspections occur as scheduled and inspection reports are delivered to HUD on a timely basis.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems but the customer always has the option to communicate complaints to the CO and/or GTR, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the GTR. The GTR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment 3.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the work is performed. For certain critical activities such as those involving coordination and negotiation of conference events, administrative support,progress report etc., the desired performance level is established at 100 percent.

Other levels of performance are keyed to the relative importance of the task to the overall mission performance at the Real Estate Assessment Center.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring techniques shown in Attachment 1.

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the GTR will be reported using Contractor Performance Assessment Report (CPARS).

5.2.1 The GTR will retain a copy of all completed QA surveillance forms.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 Government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

6.2 Reporting

6.2.1 At the end of each month, Michelle Gray, the GTM, will prepare a written report for Linda Grayton, GTR summarizing the overall results of the quality assurance surveillance of the contractor’s performance. The written report will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

6.3 Reviews and Resolution

6.3.1 The GTR may require the contractor’s project manager, or a designated alternate, to meet with Michelle Gray, GTM, as deemed necessary to discuss performance evaluation. The GTR will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the GTR as often as required or per the contractor’s request.

The agenda of the reviews may include:

Monthly performance assessment data and trend analysis

Issues and concerns of both parties

Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

Recommendations for improved efficiency and/or effectiveness

6.3.2 The CO, GTR and GTM must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.3.3 The GTM and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the convenience of the CO.

ATTACHMENT 1:

Performance Requirement Summary (PRS) Performance

Measure/Objective

Performance

Standard/Minimum

Acceptable Quality

Level

Method of

Surveillan ce

Frequency of

Surveillance

Surveillance

Performed

By

5.1.1. Schedule UPCS

Inspections to be performed by UPCS

Certified Inspectors

100% of inspections are scheduled to be completed by UPCS

Certified Inspectors not later than 30 days after

HUD issues the inspection task order.

100%

Inspection

As needed GTM

5.1.2. Complete and

Upload UPCS

Inspections

100% of inspections are completed not later than

20 days before the end of the performance period and 100% of the inspections are uploaded not later than one business day after inspection completion.

100%

Inspection

As needed GTM

5.1.3. Inspection

Inquiry Resolution

100% of requests for additional information are responded to not later than 3 business days after HUD request.

100%

Inspection

As needed GTM

5.1.4. UPCS On

Demand Inspections and Post Project

Analysis

100% of on demand inspections and Reports are completed on high-profile properties within a limited timeframe as determined by HUD and submit deliverable as required

100%

Inspection

As needed GTM