Attachment_5_Quality_Assurance_Surveillance_Plan_v1.0.pdf

RFP: HSFE70-14-R-0041

Attachment 5: Quality Assurance Surveillance Plan (QASP) OCONUS August 2014

QUALITY ASSURANCE SURVELLANCE PLAN (QASP)

The purpose of the contract is for the contractor to perform Annual Maintenance Services, Periodic Maintenance Service, and Required Repairs for DC Caribbean FEMA Generators.

Issued on: 26 August 2014

1 | P a g e

Contents

1.0 INTRODUCTION

1.1PURPOSE

1.2PERFORMANCE MANAGEMENT APPROACH

1.3PERFORMANCE MANAGEMENT STRATEGY

2.0 ROLES AND RESPONSIBILITIES

2.1CONTRACTING OFFICER

2.2CONTRACTING OFFICER REPRESENATIVE

3.0 REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

3.1PERFORMANCE STANDARDS

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1SURVEILLANCE TECHNIQUES

4.2CUSTOMER FEEDBACK

4.3ACCEPTABLE LEVEL OF SERVICES

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1PERFORMANCE MANAGEMENT FEEDBACK

5.2MONITORING FORMS

6.0 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1DETERMINING PERFORMANCE

6.2REPORTING

6.3REVIEWS AND RESOLUTIONS

7.0 ATTACHMENTS

PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 3A: QUALITY ASSURANCE MONITORING FORM (SAMPLE)

ATTACHMENT 3B: CUSTOMER COMPLAINT FORM (SAMPLE)

2 | P a g e

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1.0 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled “FEMA On-Site DC Caribbean Generator Maintenance”.

This plan sets forth the procedures and guidelines the Contracting Officer will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1PURPOSE

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.

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.

1.2PERFORMANCE MANAGEMENT APPROACH

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 Contracting Officer 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.

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.

1.3PERFORMANCE MANAGEMENT STRATEGY

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

3 | P a g e 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. This QASP enables the government to take advantage of the contractor’s QC program.

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 government will make determination regarding incentives based on performance measurement metric as outlined in paragraph 9.1 of the PWS 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

2.1CONTRACTING OFFICER

The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration, cost control, and for resolving any differences between the observations documented by the: “Technical Monitor”(TM), "Contracting Officer's Representative (COR)," "Contracting Officer (CO)," and the contractor. The CO will designate one full-time COR 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.

2.2CONTRACTING OFFICER REPRESENATIVE

The Contracting Officer’s Representative (COR) is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR 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 COR 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.

3.0 REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

3.1PERFORMANCE STANDARDS

The required performance standards and/or quality levels are included in the PWS paragraph 9.1:

Performance Requirements Summary. If the contractor meets or exceeds the required service or performance level, it will be paid the amount agreed on in the contract. Failure to meet the required service or performance level will result in a deduction from the monthly amount in accordance with PWS paragraph 9.1: Performance Requirement Summary.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1SURVEILLANCE 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:

4 | P a g e

Random Sampling: which shall be performed by the COR designated inspector.

100% Inspection: The COR shall inspect and evaluate performance each time a task is performed.

Periodic Inspection: COR typically performs the periodic inspection on a monthly basis.

Customer Complaint shall be validated by the CO after thorough investigation and inspection by the COR.

4.2CUSTOMER 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, 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 COR. The COR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment 3B.

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

4.3ACCEPTABLE LEVEL OF SERVICES

The minimum Acceptable Level of Service (ALS) for contractor performance (included in the Performance Requirements Summary Table Paragraph 9.1) is structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

For certain critical activities such as those involving Repair Services, 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 FEMA.

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1PERFORMANCE MANAGEMENT FEEDBACK

The performance management feedback loop begins with the communication of expected outcomes.

Performance standards are outlined in the PWS and are assessed using the performance monitoring techniques shown in the Performance Requirements Summary included in the PWS under paragraph 9.1

5.2MONITORING FORMS

The government’s QA surveillance accomplished by the TM and/or COR, will be reported using the monitoring forms in Attachment 3A (Quality Assurance Monitoring Form) and Attachment 3B (Customer Complaint Investigation Form). The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

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

5 | P a g e

6.0 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1DETERMINING PERFORMANCE

The Government shall use the monitoring methods cited to determine whether the performance objectives/service levels 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. Failure to meet the performance objectives/service levels may result in a deduction from the monthly payment, using the deduction amounts shown in PWS paragraph 9.1.

6.2REPORTING

At the end of each month, the TMs will prepare a written report for the COR summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring form (Attachment 3A), 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.

6.3REVIEWS AND RESOLUTIONS

The COR 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 CO or COR 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 COR 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

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

The 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 will be incorporated as a contract modification.

7.0 ATTACHMENTS

PERFORMANCE REQUIREMENTS SUMMARY

See paragraph 9.1: Performance Requirement Summary (PRS) of the Performance Work Statement

ATTACHMENT 3A: QUALITY ASSURANCE MONITORING FORM (SAMPLE)

ATTACHMENT 3B: CUSTOMER COMPLAINT FORM (SAMPLE)

6 | P a g e