Final QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

TABLE OF CONTENTS

.L.0 1.1 1.2 1.3 2.0 3.0 4.0 5.0 6.0 7.0.

INTRODUCTION

PURPOSE

PERFORMANCE MANAGEMENT APPROACH

PERFORMANCE MANAGEMENT STRATEGY

ROLES AND RESPONSIBILITIES

IDENTIFICATION OF SERVICES TO BE PERFORMED

METHODOLOGIES TO MONITOR PERFORMANCE

QUA LITY ASSURANCE REPORTING

ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

FAILURE TO PERFORM

LIST OF ATTACHMENTS

ATTACHM ENT I-REQUIRED PERFORMANCE METRICS (RPM) TABLE

ATTACHMENT II–QUALITY ASSURANCE MONITORING FORM (QAMF)

ATTACHMENT III–QAMF–CUSTOMER COMPLAINT INVESTIGATION

Attachment I contains a table that identifies performance-based measures which will be used to monitor Contractor performance. The USIBWC will periodically evaluate the Contractor's performance by appointing a representative(s) to monitor performance to ensure services are received. The USIBWC representative will evaluate the Contractor's daily performance through personal dealings and direct inspections of work products and demonstrated knowledge of applicable regulations. The USIBWC may conduct random facility inspections and increase the number of quality control inspections if deemed appropriate because of repeated failures discovered during quality control inspections or because of repeated customer complaints. Likewise, the USIBWC may decrease the number of quality control inspections if performance dictates. The USIBWC representative shall make final determination of the validity of customer complaint(s).

If any of the services do not conform to contract requirements, the USIBWC may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re- performance, the USIBWC may:

(a) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(b) Reduce the contract price to reflect the reduced value of the services performed. Price reductions will be in accordance with the acceptable quality level identified in the required performance metrics table.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements of the requirements listed in the Performance Work Statement (PWS) for the Ballistic Glass Installation Project at the Anzalduas Dam located in Hidalgo County, TX. This QASP sets forth the procedures and guidelines the USIBWC will use in evaluating the technical performance of the contractor.

1.1 PURPOSE

1.1.1. The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in the PWS.

1.1.2 This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the contractor's performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

1.2.1 The performance-based PWS structures the acquisition around "what" service is required as opposed to "how" the contractor should perform the work.

This QASP will define the performance management approach taken by the USIBWC to monitor, manage, and take appropriate action on the contractor's performance against expected outcomes or performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether or not expected outcomes for required services are being achieved adequately by the contractor.

1.2.2 Performance management also represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether or not outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (Federal, State, and local) and compelling business situations such as safety and health. An outcome 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 at the desired levels of performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

1.3.1 The contractor's internal quality control system will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PMS. The contractor will utilize its internal quality control system to assess and report their performance to the designated Government representative.

1.3.2 The Government representative will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The Government will make decisions based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively

2.0 ROLES AND RESPONSIBILITIES

2.1. The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration and cost control; and resolving any differences between the observations documented by the Contracting Officer's Representative (COR) and the contractor's performance.

2.2 The CO will designate one COR as the Government authority for performance management.

2.3 The COR is responsible for monitoring, assessing, and communicating the technical performance of the contractor and assisting the contractor. The COR will have the responsibility for completing QA monitoring forms (refer to Attachments II and III) 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.

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

The contractor shall provide plant, equipment and staff required to complete the services within the contract performance period. The performance standards are established in the paragraph of the PWS that covers the categories of work.

The acceptable level of performance is set in the acceptable quality level related to a paragraph(s).

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate contractor performance. The primary methods of surveillance are reports and customer input/feedback. The Government will use appointed representatives, as well as reports and input from users/customers as sources of comments on the contractor's performance.

4.2 The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of professional communication between employees and customers 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 addressing customer complaints and investigating the issues and/or problems.

4.3 The acceptable quality levels (AQL) located in the PWS, for contractor performance, are structured to provide negative incentives for performance shortfalls.

5.0 QUALITY ASSURANCE REPORTING

5.1 The performance management feedback loop begins with the

communication of expected outcomes. Performance standards are expressed in the PWS and measured by the required performance metrics in Attachment I.

5.2 The Government's QA monitoring, accomplished by the COR (and others as designated) will be reported using the monitoring forms in Attachments II and III. The forms, when completed, will document the COR's understanding of the contractor's performance under the contract to ensure that the PWS requirements are being met.

5.2.1 The COR will retain a copy of all completed QA monitoring forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 The Government shall use the observation methods cited to determine whether the AQLs have been met. The Government's evaluation is then translated into the specific negative incentives that cause adjustments to the contractor's monthly payments.

6.2 At the end of each month, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance monitoring of the contractor's performance. This written report consists of the contractor's submitted monthly progress report and the completed Quality Assurance Monitoring Forms (Attachment II) will become part of the QA documentation.

6.3 The CO may require the contractor's project manager, or a designated alternate, to meet with the CO and other Government personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the contractor, however if the need arises, the contractor will meet with the CO as often as required or per the contractor's request. The agenda of the reviews may discuss:

• Monthly performance measured by the metrics and trends

• Issues and concerns of both parties

• Projected outlook for upcoming months and progress against expected trend

• Recommendations made by the COR based on contractor information

• Issues arising from independent reviews and inspections

6.4 In addition to QA monitoring, the COR will use the information contained in the contractor's monthly report to assess the contractor's level of performance for each objective measured in this QASP (detailed in Attachment I). The COR must coordinate and communicate with the contractor to resolve issues and concerns of marginal or unacceptable performance. The contractor will discuss with the CO/COR satisfaction ratings receiving a "less than acceptable" rating. For such cases, the contractor should highlight its perspective on factors driving customer satisfaction and present plans to adjust service levels accordingly to bring the satisfaction rating up to an acceptable level.

6.5 The CO/COR 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 must be incorporated as a contract modification at the convenience of the CO.

7.0. FAILURE TO PERFORM

7.1 The contractor may receive deductions or even termination based on failure to perform.

ATTACHMENT I

REQUIRED PERFORMANCE METRICS (RPM) TABLE:

Required Service

Performanc e Standards

Acceptabl e Quality Levels

Method of Surveillanc e

Incentive (Negative) (Impact on contractor)

Provide First Draft, Second Draft, and Final Design/Work Plan

PWS:

Article V, and Article XVI.

Each draft shall meet 100% of the requireme nts and comments

Review of each draft submission

The Contractor will be deducted $100/day if a draft is required to be resubmitted until an acceptable draft is received.

Monitor Installation

PWS, Article

VIII.

Each component outlined in Section VIII shall be 100% installed and

QA/QC

measures are 100% documente d.

Files review, Review of

QA/QC

plan, periodic random inspection, complaints

Contractor shall be deducted $100/day for every component that must be reinstalled due to improper installation of any component outlined in Section VIII of the PWS.

Review and accept the Final Installation Report. Ensure all installed components are included and required sections and detail provided for the work completed.

PWS:

Article IX.

Report is approved and accepted by governme nt as having met 100% requireme nts

Review the final installation report when submitted.

Contractor shall be deducted $100/day if final installation report requires resubmission until it is resubmitted with all comments addressed.

Provide Brief Monthly Progress Reports

PWS: Article

IV.

On time submissio n of monthly reports 95% of the time

Review report and ensure all information required is included.

The Contractor shall provide the monthly progress report by the 5th calendar day of the month.

The final monthly progress report shall be submitted with the final invoice. $100 deduction from the monthly invoice for each late monthly progress report.

ATTACHMENT II

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

SURVEILLANCE METHOD (Check): _____ Reports

_____ 100% Inspection

_____ Periodic Inspection

_____ Customer Input/Feedback

LEVEL OF SURVEILLANCE SELECTED (Check):

_____Monthly _____ Quarterly

_____ As needed

ANALYSIS OF RESULTS:

SERVICE PROVIDER’S PERFORMANCE (Check): ____ Meets Standards

____ Does Not Meet Standards

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD:

PREPARED BY: ___________________________________

DATE: _____________________

ATTACHMENT III

QUALITY ASSURANCE MONITORING FORM –

CUSTOMER COMPLAINT INVESTIGATION

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

DATE/TIME COMPLAINT RECEIVED: _____________ ________ AM / PM

SOURCE OF COMPLAINT: _______________________________

(NAME) _______________________________

(ORGANIZATION) _______________________________

(PHONE NUMBER) _______________________________

(EMAIL ADDRESS) _______________________________

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT: _______ AM / PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY: _____ __

PREPARED BY: ___________________________________

DATE: ______________________