Attachment_9_QASP_Final_Draft.doc

Attachment J.9

Quality Assurance Surveillance Plan (QASP)

Strategic Sourcing Initiative for Training 07/22/16

FINAL

31 Vision

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Government Technical Representative

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

6.2 Reporting

6.3 Reviews and Resolution

Appendix 1 - Surveillance Matrix Appendix 2 - Corrective Action Report (CAR) Appendix 3 - Customer Complaint Record Appendix 4 - Performance Assessment Report (PAR)

1 Vision

The vision of HUD’s Enterprise-Wide Strategic Sourcing Initiative for Training (HESSIT) is to obtain contractor support to assist HUD with its training efforts. HUD will be able to leverage economies of scale, increased transparency into Departmental spending habits and direct propulsion of business process re-engineering and behavioral management by:

· Minimizing the Total Cost of Ownership of procured goods and services;

· Utilizing business intelligence to better support overall decision making and performance management;

· Establishing mechanisms to increase savings, value, and socio-economic participation;

· Identifying and replicating best practices;

· Learn lessons applicable to future strategic sourcing efforts at the agency level; and

· Provide cost effective and meaningful training to HUD employees

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled HUDs Enterprise-Wide Strategic Sourcing Initiative for Training (HESSIT). This plan sets forth the procedures and guidelines Office of the Chief Human Capital Officer (OCHCO) 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 contractors 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 Office of the Chief Human Capital Officer (OCHCO) 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 contractors 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 contractors 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 contractors 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 contractors 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

The following personnel shall oversee and coordinate surveillance activities.

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 contractors 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 Appendix 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.

4.1 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 monitoring, which shall be performed by the GTR designated inspector.

· 100% Inspection Each month, the GTR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

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.

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.

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 Appendix 1, Surveillance Matrix, for contractor performance is structured to allow the contractor to manage how the work is performed. For certain critical activities such as those involving Commercial-off-the Shelf Training Services, Logistics, and Business Intelligence 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 Office of the Chief Human Capital Officer (OCHCO).

6.2 Reporting

At the end of each month, the GTR will prepare a written report for the GTM] summarizing the overall results of the quality assurance surveillance of the contractors performance. This written report, which includes the contractor’s submitted monthly report, will become part of the QA documentation. It 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 contractors project manager, or a designated alternate, to meet with the CO and GTR/GTM and other government IPT personnel 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 and GTR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.3.3 The GTR 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.

In evaluating the quality of contractor’s performance, the following performance ratings may be used.

[If your organization requires that you use a different rating mechanism, insert it here.] Performance

Rating Criteria

Appendix 1 - Surveillance Matrix

5.1 Commercial-off-the Shelf Training Services

a) 100% average of 3.5 on evaluation response rating for all training pools AQL: Zero Deviation

What: Evaluation Forms from TEMPO

How: Visual

Frequency: Randomly

Who: COR/PM

Incentive: 5% reduction in price of training course for failure to meet the average evaluation response rate

Standard(s): a

5.1.5.3 Logistics

Deliverables:

A7 List of requirements for trainings A8 Instructor and Participant Guides

a) Provide list of requirements 10 business days before class begins AQL: Provide 5 business days before class begins

b) Arrive 60 minutes before class begins AQL: Arrive 45 minutes before class begins

c) Provide Instructor and Participant Guides 10 business days before class begins AQL: Provide Instructor and Participant Guides 5 business days before class begins

What: Deliverables

How: Review deliverable

Frequency: After completion of task

Who: COR/PM

Incentive: 5% reduction in price of training for failure to meet due dates

Standard(s): a, c

What: Instructors in class

How: Visually

Frequency: Randomly

Who: COR/PM

Incentive: 5% reduction in price of training for failure to meet specified arrival time

Standard(s): b

What: Deliverables

How: Review Deliverable

Frequency: After completion of task

Who: GTR/GTM

Standard(s): c

5.3.4 Business Intelligence

Deliverables:

A9 Data Analytics and Business Intelligence Report

a) 100% Compliant with section 5.3.4 of this PWS AQL: Zero Deviation

What: Deliverables

How: Review Deliverable

Frequency: quarterly

Who: CO/PM/COR

Incentive: Upon execution by the Department, the contractor shall be given a level of preference during the next available task orders competition for one of the Training Pool(s) (if more than one Training Pool, the contractor may select the Training Pool) under which the contractor was awarded. See the contracts ordering procedures for the process.

Standard(s): a