Attachment 6 J-C2 QASP 12-01-2011.pdf

Attachment 6 J-C2 Quality Surveillance Plan

Quality Assurance Surveillance Plan

For

Construction Management Technical Support Services

01 December 2011

Quality Assurance Surveillance Plan (QASP) Construction Management Technical Support Services

1.0 Introduction

1.1 Background

The Department of Defense (DoD), Washington Headquarters Services (WHS), Federal Services Directorate (FSD) maintains and operates DoD facilities in the National Capital Region (NCR). The services provided by the Federal Services Directorate include planning, design, construction, disposal and facilities sustainment. The Contractor shall provide support services for FSD. The Government will have an organization in place to monitor the efforts of the Contractor, and monitor and evaluate the performance of the Contractor.

1.2 Purpose

The purpose of Quality Assurance (QA) is to measure and determine contract compliance of the quality and quantity of goods and services purchased from a Contractor. A written Quality Assurance Plan (QASP) has been designed to aid the Contracting Officer’s Representative (COR), Contracting Officer’s Technical Representative (COTR) and/or Quality Assurance Evaluator (QAE) in providing effective surveillance of services. This plan provides for monitoring and evaluating all contract requirements through a combination of devices such as Inspection Checklists and Random Sampling.

1.3 QASP Relation to the Quality Control Plan (QCP)

The QCP is a required element of the contractor’s technical proposal in response to the solicitation. While the QCP represents the way in which the Contractor will ensure its quality and timeliness of services, the QASP represents the way in which the Government will evaluate the contractor’s performance.

1.4 Revisions to the QASP

The QASP is a tool for use in Government administration of the performance work statement (PWS) and remains subject to revision at any time by the Government throughout the Contract performance period. Revisions to this surveillance plan are the responsibility of the Government. Changes may be made unilaterally and need not be announced to the Contractor; the Government may provide informational copies to the Contractor at its option.

2.0 QUALITY Assurance Program Management

2.1 Overview

This section focuses on the roles and responsibilities of the major stakeholders of the Quality Assurance (QA) process, the management of the QA program, and the QA processes and procedures that occur as part of the QA program.

2.2 Roles and Responsibilities

2.2.1 Key Stakeholders

Key personnel responsible for QA include the Contracting Officer (CO), the Contracting Officer’s Representative (COR), Contracting Officer’s Technical Representative (COTR), and the Quality Assurance Evaluators (QAE). Their responsibilities, along with those of the Contractor, are described below.

2.2.2 Contracting Officer (CO)

The CO supports steps taken for ensuring Government and Contractor are in compliance with the terms and conditions of the Contract. The CO serves as the official agent with the authority to modify and interpret the Contract with the Contractor. The CO relies on the COR and COTR and other functional experts to provide information and recommendations regarding the Contractors performance.

While the CO may delegate many of the day-to-day contractual administration duties to the COR/COTR, certain contractual actions are retained as the sole purview of the CO, including: certification of invoices for payment, negotiation and issuance of contract modifications, issuance of Contractor Contract Deficiency Reports, issuance of “show cause” letters, termination of the Contract, contract closeout, and resolution of Contractor claims and disputes.

2.2.3 Contracting Officer’s Representative (COR)

An individual designated in writing by the Contracting Officer to act as his/her authorized representative to assist in administering a contract. The source and authority for a COR is the Contracting Officer. COR limitations are contained in the written letter of designation.

2.2.4 Contracting Officer’s Technical Representative (COTR)

The COTR represents the CO and functions as the primary representative assigned to monitor the Contractors performance. The COTR may serve as the day-to-day manager of one, several, or all requirements of the Contract. If modifications to the Contract are necessary, the COR/COTR will assist the CO in preparing and negotiating the modifications. When problems arise with the Contractor’s performance, the COR/COTR must inform the Contractor of the problems and recommend to the CO the adverse contractual actions that should be taken. Finally, the COR/COTR coordinates matters of contractual interpretation with the Contractor and the CO.

2.2.5 Quality Assurance Evaluators (QAE)

QAEs are the front line staff responsible for obtaining performance data and monitoring the Contractors performance on a day-to-day basis. QAEs serve a key role in determining if the Contractor is fulfilling its contractual obligations and meeting PMs. QAEs are expected to hold the Contractor to the highest possible performance standards, while recognizing that unforeseen and uncontrollable problems do occur. QAEs are expected to be objective and consistent in evaluating

Contractor performance against PMs and other contractual requirements. QAEs play a key role in contract administration by serving as the eyes and ears of the contract, CO, COR and COTR. Some of the key contract administration duties of QAEs include:

• Conducting surveillance and completing and submitting inspection checklists, evaluation worksheets and other documents;

• Providing recommendations assessing Contractor performance to the CO for issuance of memos of commendation, Contract Deficiency Reports, and changes to the Performance Requirements Summary (PRS);

• Serving as subject matter experts; and

• Making recommendations for potential changes to performance measures.

QAEs possess no authority to allow the Contractor to deviate from contract requirements. QAEs also have no authority to direct or interfere with the methods of performance by the Contractor or to issue modifications directly to any Contractor personnel.

QAEs must have expertise in their areas of responsibility and have complete knowledge of the performance measure methodologies, reporting procedures, PMs, and standard facility operations. It is also important that QAEs be completely familiar with the quality control approaches specified in the Contractors QCP.

2.2.6 Contractor

The Contractor’s QCP identifies the methods, specific roles, and responsibilities that the Contractor will use to meet the requirements of the Contract. The Contractor is responsible for implementing its QCP and for maintaining and providing all records and reports associated with performance data. The Contractor is expected to cooperate with all activities associated with assessing its performance and respond promptly to direction provided by the CO. This QASP is based on the premise that the Contractor, not the Government, is responsible for the management and quality control actions to meet the terms of the contract. The Performance Requirements recognize that the contractor is not a perfect manager and that the unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the contractor to operate within specified performance requirements. CORs/COTRs are to be objective, fair and consistent in evaluating contractor performance against the standards.

3.0 Management of Quality Assurance Program

QA program management encompasses a range of responsibilities, including:

prioritizing surveillance, managing resources, scheduling surveillance, auditing performance findings, and resolving performance reporting discrepancies between the Contractor and the Government. This section provides guidance for each of these responsibilities.

3.1 Surveillance

Each inspection made by the COR/QAE will be documented and filed for further reference, audit, and proof of inspection.

3.1.1 Prioritizing Surveillance

FSD may adjust the intensity of its surveillance depending on its level of satisfaction with the Contractor’s performance. Surveillance methods and techniques are outlined in Appendix A, Performance Requirements Summary, for each performance measure. Decreased surveillance may include a change in surveillance method or surveillance frequency. Increased surveillance represents the highest level of surveillance and may include such methods and techniques as 100% inspection.

The Government’s use of increased surveillance generally results from a disparity between the findings of the Government’s QA and the Contractors QC regarding the Contractors performance. Surveillance may also be increased because the Contractor fails to meet the required performance levels or because of changes in the operational environment due to newly introduced Contract procedures or processes, or other activities disrupting the status quo.

3.1.2 Monitoring Contractor Performance

QAEs continuously document and report Contract performance to the COR/COTR, who is responsible for addressing any performance-related issues. These issues may include a failure by the Contractor to perform services in accordance with Government Directives, a failure by Contractor to meet PMs, or a failure by the Contractor to meet other contractual obligations.

4.0 Surveillance Guidelines

This section includes information on the primary surveillance methods and analysis tools to be used by QA personnel. Primary surveillance reporting tools are also discussed.

4.1 Surveillance Methods and Analysis Tools

The CO/COR/COTR/QE’s will select the appropriate surveillance methods and analysis tools with which to monitor performance. In order to choose the appropriate methods, the CO/COR/COTR/QE’s will develop a surveillance plan and select from a number of potential types of surveillance including: direct observation, sampling, periodic inspection, 100% inspection, and unscheduled inspections. This will be communicated to the QAEs, who will be trained appropriately.

4.2 Surveillance Planning

Surveillance planning activities provide structure and direction for QAEs. The following bullets represent the steps and sequencing for surveillance planning:

• Obtain performance measure results from the Contractor where applicable;

• List known problem areas detected by previous surveillance;

• Obtain all information required to conduct surveillance;

• Identify performance requirements not associated with performance measures;

• List special projects or surveillance assignments;

• Determine the priority of each activity

4.3 Types of Surveillance

QAEs may use surveillance and inspection methods not limited to direct observation, random or periodic sampling, 100% inspection, and unscheduled inspections to monitor performance. Surveillance methods should be chosen and implemented with the goal of minimizing intrusive and disruption.

4.3.1 Direct Observation

Direct observation is designed to evaluate support services through careful, direct examination of activities to determine whether services conform to contract requirements.

4.3.2 Random Sampling

Random sampling is a QA method designed to evaluate some, but not all, occurrences of a specific contract requirement. Essentially, all occurrences of a service performed are assumed to be equally important. Random sampling should be used for large quantity, repetitive activities. There are several advantages of random sampling including:

• Results are objective and defensible; not subject to questions of bias;

• Can be more accurate than an examination of every item in a large population; this is true where the volume and tediousness of the data under review can lead to errors of omission or fact;

• Saves time and money; frequently, a sample may include fewer items than a fixed percentage sample; and

• Minimizes the potential that any QAE will affect the specific occurrences selected for evaluation.

4.3.2 Planned Sampling

Planned sampling is a more subjective process than random sampling. It is designed to inspect some, but not all, of the monitored services. Planned sampling differs from random sampling in the way in which samples are selected.

Specific occurrences of contract requirements that are to be inspected are selected for evaluation prior to their scheduled accomplishment. QAEs are able to monitor efforts to those areas where inspection is most needed. Planned sampling provides a less systematic way of looking at service output and forming conclusions about the Contractor’s level of performance than random sampling.

It can provide a one-time subjective evaluation of the Contractor’s performance, or it can be used to detect a change in the Contractor’s level of performance (e.g., trend analysis). Planned sampling requires that the sample selection criteria be well documented and consistently applied and that there are no intervening factors when looking at performance changes over time.

4.3.3 100% Inspection One-hundred percent inspection requires that every occurrence of a performed service is inspected. These inspections may be used for requirements that are critical or where there is some reason for suspecting that the performance standard is not being met and should be more closely monitored. One-hundred percent inspection may also be used for monitoring scheduled contract requirements such as one-time deliverables. In some cases, one-hundred percent inspection is used simply because data is easily accessible.

4.3.4 Unscheduled Inspections

The Government may conduct unscheduled inspections of the Contractor’s overall performance and contract compliance. Unscheduled inspections enable QAEs to evaluate and document, on an as needed basis, the Contractor requirements where an increased level of surveillance is thought to be necessary.

Unscheduled inspection is also used to evaluate contract requirements that have no specified surveillance method.

4.3.5 Performance Deficiency Report

The COR/COTR will review reports submitted by the QAEs. If the COR/COTR determines that the Contractor has failed to meet performance standards, he or she may prepare Performance Deficiency Reports for the COTR as appropriate. Upon receipt of a deficiency report, the COTR may require the Contractor to take necessary action to ensure that performance conforms to contract requirements.

APPENDIX A

Performance Requirements Summary

The Contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Both positive and negative performance will be documented in performance reports as appropriate.

Performance Requirement

Features of End Result

Performance Standard Performance Threshold

Method of Surveillance

The Contractor shall provide efficient and cost effective technical support services (PWS #5.0)

Ability to control direct and indirect costs and subcontractor costs in order to make the best use of limited financial resources to achieve Program objectives

• The Contractor effectively forecasts, manages, and controls contract cost, 100% of time.

• Contractor keeps within the total estimated cost (negotiated costs and budgeted cost to actuals) 100% of the time.

• Billings are current, accurate and complete 100% of the time.

• Contractor adequately staffs the Program in light of changing requirements;

anticipates future staffing needs and plans accordingly, 100% of the time.

• Contractor manages to avoid unnecessary direct and indirect costs, 100% of the time.

• Contractor effectively manages consultant and subcontractor costs, 100% of the time.

7% Deviation from standard

Periodic surveillance (quarterly) by

COR

Ability to provide quality personnel

Satisfactory customer feedback

90% of customer feedback is at

Periodic surveillance least satisfactory (quarterly) by

COR

The Contractor shall provide strategic planning, development of requirements, requirements analysis and review, acquisition and life cycle management, project design and procurement services

(PWS # 5.1)

Quality of analysis and recommendations

100% of analysis conducted is thorough, accurate, fully documented, supported, and substantiated;

recommendations are logical, consistent with data collected and assumptions made, sufficiently detailed to justify conclusions, and based upon relevant regulations.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

Timeliness 100% of deliverables and reports are submitted on or before the required due date.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

Innovation identification

Constantly reviewing the latest pertinent regulations and DoD requirements

Zero Deviation from standard

Periodic surveillance (quarterly) by

COR

Flexibility and responsiveness

100% of time Contractor responds to events, incidents, and to changes in scheduled events.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

Independent performance

100% of the time contractor executes work independently without relying upon the Government for information or other assistance that a competent contractor would typically be expected to possess.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

Quality of reports, briefings, material

100% of delivered products are prepared professional and without grammatical errors.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

Ability to provide quality personnel

Satisfactory customer feedback

90% of customer feedback is at least satisfactory

Periodic surveillance (quarterly) by

The contractor shall provide long range, strategic, program-wide personnel support (PWS #5.3)

The contractor is able to attract and retain a wide range of highly qualified professional engineering, planning, architectural and support services people to the program.

100% of the time the Contractor is able to attract and retain qualified personnel.

5% Deviation from standard

Periodic surveillance (quarterly) by provides personnel in a timely manner

100% of the time the Contractor is able to provide qualified personnel within 30 days of notification

5% deviation from standard

100% verification

The Contractor matches qualifications of positions, as described in the contract, with the person who filled the position.

Contractor matches qualifications of positions with positions described in contract.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

The Contractor takes corrective action if a person does not perform well; if a replacement is necessary the replacement meets or exceeds the qualifications of the position as described in the contract schedule.

Contractor takes corrective action if a person does not perform well.

Zero Deviation from standard

Periodic surveillance (quarterly) by

COR

Contractor plans, organizes, motivates, trains and leads the staff in support of program objectives/goals.

contractor takes action to lead the staff in support of program objectives/goals.

Zero Deviation from standard

Periodic surveillance (quarterly) by

COR

Ability to provide quality personnel

Satisfactory customer feedback

90% of customer feedback is at least satisfactory

Periodic surveillance shall complete tasks on cost, on schedule, and to acceptable levels of quality and performance.

(PWS# 1.3

Ability to produce a quality product on cost and on schedule

• Contractor establishes goals, objectives and strategies that will ensure program objectives are achieved and quality products are delivered on cost and on schedule 100% of the time.

• The Contractor conforms to contract requirements, specifications and

2% from standard

Periodic surveillance (quarterly) by standards of good workmanship (e.g.

commonly accepted technical, professional, environmental, or safety and health standards), 100% of the time.

Ability to provide quality personnel Satisfactory customer feedback

90% of customer feedback is at least satisfactory

Periodic surveillance shall partner with the Government to form an integrated team to achieve goals.

(PWS#5.3)

Ability to coordinate and cooperate with

Government representatives, Government contractors, and customers

• Contractor effectively communicates with Government representatives and customers.

• Contractor effectively coordinates, communicates and cooperates with other Government contracted contributors.

5% Deviation from standard

Periodic surveillance (quarterly) by

COR

Ability to provide quality personnel

Satisfactory customer feedback

90% of customer feedback is at least satisfactory

Periodic surveillance shall have the ability to integrate and facilitate project and Program-wide changes, identify problems and take corrective action;

and foster partnering amongst stakeholders

(PWS #5.3)

Ability to integrate and facilitate program wide changes, proactively identify problems and take corrective action and foster partnering

• Contractor is able to facilitate project specific changes into Program-wide solutions quickly and with minimal disruption to the Program.

• Contractor facilitates and integrates tenant requested changes, evaluates such changes relative to cost and schedule and provides professional recommendations.

• The Contractor assist the program in

5% Deviation from standard

Periodic surveillance (quarterly) by defining common goals, improving communication, and foster a problem-solving and consensus-building attitude among stakeholders, who must work together throughout contract performance to achieve program goals.

• Contractor executes early identification of subcontractor problems and the timely application of corporate resources to preclude subcontractor problems from impacting overall prime contractor performance.

• Contractor makes timely awards to subcontractors and manages subcontractors to be an integral part of the contractor’s team.

Ability to provide quality personnel

Satisfactory customer feedback 90% of customer feedback is at least satisfactory

Periodic surveillance

4.3.5 Performance Deficiency Report

APPENDIX A