J.1(b) Attachment 5 Quality Assurance Survillence Plan.pdf

RFP 80ARC025R0001 J.1(b) Attachment 5 Quality Assurance Surveillance Plan

AMES FACILITIES SUPPORT SERVICES (AFSS) II

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Under performance-based contracts, the Contractor assumes more responsibility and greater risk in exchange for more flexibility and less direct Government involvement in contract activities. However, the Government still has a responsibility to monitor the contractor’s performance over the course of the contract to ensure its acceptability. To meet this responsibility, the Government needs sufficient information on contractor performance to be assured contract requirements are being satisfied.

TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose

1.2 Scope

1.3 Goals and Objectives

1.4 Performance Management Approach

1.5 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

3.1 Quality Assurance Surveillance Plan Changes

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Methodology

4.2 Planned Sampling

4.3 Customer Input

4.4 Periodic Evaluation

4.5 Acceptable Quality Levels

4.6 Communication

4.7 Minimum Contract Meeting Requirements

5 QUALITY ASSURANCE SURVEILLANCE AND DOCUMENTATION

5.1 Surveillance Process

5.2 Performance Monitoring and Scheduling

5.3 Government Property Administration

5.4 Surveillance Documentation

5.5 Resolving Performance Issues

6 Contractor Performance Assessment Reporting System

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QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) sets forth procedures and guidelines that Ames Research Center (ARC) will use to monitor performance of the Contractor under this contract. A copy of this plan will be furnished to the contractor so that the contractor shall be aware of the methods that the Government will employ in monitoring performance on this project and address any concerns that the contractor may have prior to initiating work.

This QASP is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled Ames Facilities Support Services II (AFSS II). This plan sets forth the procedures and guidelines ARC will use in ensuring the required performance standards or services levels are achieved by the contractor.

This QASP is a government developed and applied document used to make sure that systematic quality assurance methods are used in the administration of the performance requirements standards included in this contract and in subsequent task orders issued. The intent is to ensure that the Contractor performs in accordance with performance metrics set forth in the contract documents, that the Government receives the quality of services called for in the contract, and that the Government only pays for the acceptable level of services received.

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 ARC surveillance team, 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.

The QASP is intended to accomplish the following:

• Define the roles and responsibilities of participating Government officials and outside experts

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• Define how contractor’s performance will be measured

• Define what will be assessed and how it will be assessed

• Describe the assessment process

• Define the standards of performance

• Describe the rating procedure

1.2 Scope

The NASA AFSS II contract includes a broad scope of research and institutional facility-related maintenance, operations, environmental and emergency (called “specialty” in the PWS Section 9) support services, and Indefinite Delivery Indefinite Quantity (IDIQ) work. While most of the work is directly in support of NASA ARC in the ARC and Moffett Shenandoah Plaza (MSP) areas and limited functions in the Moffett University Associates (MUA), Moffett Federal Airfield (MFA), and R.T. Jones Road/Moffett Boulevard Improvement areas, other industry partners, tenants, and other Government agencies located at Moffett Field may be supported as directed by the Contracting Officer (CO).

1.3 Goals and Objectives

Obtain a comprehensive, reliable, and cost-effective facilities maintenance, operations, and maintenance engineering program that ensures facilities are fully operational and safe for NASA ARC to carry out its mission. This includes the following technical areas:

Section 1 Table of Contents Section 2 Introduction Section 3 Scope of Work Section 4 Phase-In Requirements Section 5 Management and Administration Section 6 Operations Support Services Section 7 Maintenance Requirements Section 8 Reactive Maintenance Procedures and Requirements Section 9 Specialty Support Services Section 10 IDIQ Procedures and Requirements Section 11 Additional Specifications Section 12 List of Acronyms

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Section 13 Definitions Section 14 List of Performance Work Statement Attachments and Exhibits

1.4 Performance Management Approach

1.4.1 The Performance Work Statement (PWS) structures the acquisition around both ‘what’ service or quality level is required and

‘how’ the contractor should perform the work (i.e., both results and compliance). This QASP will define the performance management approach taken by NASA to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PRS 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.

1.4.2 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.

1.5 Performance Management Strategy

1.5.1 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 Quality Control Plan (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. This QASP enables the government to take advantage of the contractor’s QC program.

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1.5.2 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.

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2 ROLES AND RESPONSIBILITIES

The activities detailed in this plan will be supported and performed by a group of individuals, many with differing levels of responsibilities, but all maintaining a level of consistency in terms of the surveillance strategy, approach, and activities in general. Some of the specific entities and their associated responsibilities/input to the surveillance activities on the Contract are described in the following paragraphs. The Government will provide an appointment list upon Contract Award identifying Government personnel assigned to monitor the Contractor’s performance in the designated functions as described in the PWS. The CO, COR, and ACOR will maintain communication with the Contractor through formal and informal discussions to review progress and identify problems throughout the contract term. This list shall also include Government representative(s) who may also provide contract oversight and/or surveillance, such as but not limited to, Task Managers, Building Managers, Facility Managers or System Managers.

Contracting Officer (CO)

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

Contracting Officer’s Representative (COR) The 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 Quality Assurance (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.

Systems Managers (SMs)

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The SM is senior-level civil servant engineer who provides management and oversight for operations, maintenance, and for new installations of institutional facility systems and equipment. The SMs and the SME/Task Managers (see below) are considered to be subject matter experts of their respective systems. Specifically, the SM is responsible for:

• Defining equipment and system requirements

• Establishing operating policies and procedures

• Maintaining the system knowledge on system capability and capacity

• Maintaining configuration control

In addition, the SM is responsible for approving Area Clearances for system outages, Facility Change Requests (FCR), Operational Safety Permits, and Dig Permits.

Government SME/ Task Manager

Ames civil servant Operations & Maintenance organizational structure aligns the SME function with the SM function (i.e., the High Voltage Systems Manager is paired with a High Voltage Facility Operations Specialist, the HVAC Systems Manager is paired with an HVAC SME, etc.). The Contractor’s field technicians are expected to have daily interactions with the SME.

The SME is responsible for quality assurance and oversight of the Facility Maintenance Contractor’s work. The SME responsibilities include:

• Task definition: The SME will work with the SM to clearly define the scope of work for SR IDIQ work order as required.

• Task tracking: The SME uses the Computerized Maintenance Management System (CMMS) to track the status of all ongoing work. Upon request, the SME can provide pre-established reports on task status.

• Task evaluation: The SME will evaluate a percentage of completed PM/PGM/PT&I work, TCs, and SRs.

• Task communications: The SME communicates with the Building Managers regarding all work on-going within their respective buildings (although the Contractor shall communicate with the Building Managers as well). The SME will also be involved in the Area Clearance Process. The SME communicates with their respective SM regarding all technical matters associated with a given task.

While the SMEs may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, the SMEs are not empowered to make any contractual commitments, authorize any contractual changes on the Government’s behalf, or in any way direct the Contractor to operate in conflict with the contract or order terms and conditions. The Contractor shall, if any direction

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3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and the Performance Requirements Summary (PRS) J.1(a) Attachment 3.

3.1 Quality Assurance Surveillance Plan Changes

The government representative(s) will monitor performance and review performance reports furnished by the contractor, or derived from CMMS from contractor-inputted data, government officials observations, DRD deliverable requirements to determine how the contractor is performing against communicated performance objectives. The government will make determinations 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.

The QASP is a living document and, as such, may be changed as needed. The QASP is not part of the contract and may be changed by the Government unilaterally, without notice, approval, or contractor coordination. However, the CO must approve changes. The COR will submit recommended changes to the CO for approval.

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 at the convenience of the CO. Any changes that the Contractor deems may affect contract price, terms, or conditions shall be referred to the Contracting Officer for action.

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Contract minimum meeting requirements

Required contractor set up meetings with the government to go over contract metrics. Monthly Quality Assurance meetings will be conducted between the COR, ACOR, and government SMEs with Contractor management personnel in order to discuss significant aspects of contract performance. The discussions will address strong and weak points, significant issues, problems and concerns, and any deficiencies deemed pertinent to effective contract performance.

4.2 Planned Sampling

Sampling is used to conduct task-specific surveys and audits. Survey checklists are used to gather objective information to determine whether or not a product or service was provided adequately. Planned Sampling also employs subjectivity based upon the Government’s experience and the size, importance, and dollar value of the contract requirement.

Examples of application of the sampling tool include:

• Sampling contractor-generated work authorization documents using criteria that includes attributes of acceptable work authorization documents.

• Sampling contractor facility maintenance operations using criteria that includes attributes of acceptable facility maintenance actions.

• Pre and post work sampling on as task by task basis to assess the completion of work authorized on the work authorization documentation.

• Timecard and other administrative document sampling.

• Onsite inspection of selected TCs, PM/PGM/PT&I or IDIQ work by appropriate government SME.

4.3 Customer Input

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.

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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 or COR, 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 CO or COR. The COR shall share complaints received with the CO.

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

Customer Feedback: This surveillance tool is utilized by the Government to assure that contractual requirements are met. Its primary purpose is to notify the Government of a problem that may warrant further assessment action. This action may include problem resolution or corrective action guidance. The feedback may indicate an increase in Government surveillance is necessary. Customer feedback is a reactive tool that should not be used alone in surveillance of critical processes and activities. Customer feedback should be validated by the organization having the primary assessment responsibility.

Examples of customer feedback include:

• Log of customer complaints regarding accuracy, timeliness, and general performance of assigned tasks.

• Feedback on TCs, PMs, CTOs performed (i.e. telephone calls, emails, meetings, reports, surveys, etc.)

Examples of customers include:

• Contracting Officer’s Representative (COR)

• Technical Manager Representative

• Center and employees

• Resident agencies at Moffett Field or tenants

This method is an independent evaluation of an activity or process to assess compliance with the terms of the contract. Customer Input may be necessary for certain types of tasks that do not lend themselves to random sampling of 100% inspection. Customer Input may be obtained from the results of formal customer satisfaction surveys or from random customer complaints. It may provide the basis for an incentive payment to the contractor, but it cannot be used on the basis of deduction from payment since it is not a statistically valid method of surveillance. The CO may use validated customer complaints as the basis for actions (other than payment deductions) against the contractor.

4.4 Periodic Evaluation

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A periodic inspection of part of the work uses subjective judgment and analysis of agency resources to decide what work to inspect and how frequently. Through CDRLs, reports, and field inspections.

4.5 Acceptable Quality Levels

A Tiered Performance Requirements Summary (See J.1(a) Attachment 3 Performance Requirements Summary) is established describing performance standards applied to the performance identified. Contractor performance is structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. Levels of performance are keyed to the relative importance of the task to the overall mission performance at ARC. Award Fee impacts for unacceptable work performance will be recommended to the Performance Evaluation Board (PEB). The PEB & the Fee Determining Official will complete the Award Fee process and may adjust the Award Fee accordingly. The ratings will also be used to complete the annual Contractor Performance Assessment Reporting System (CPARS) contract evaluation.

4.6 Communication

Communications is a general surveillance activity. Communications is a two-way process and includes both written and oral communication. Examples of written communications activities that may be used in conducting surveillance include:

a. Exchanges from the Contractor to the Government of plans, procedures, quality records, reports, etc., and/or provision of read-only access to repositories which retain these items.

b. Exchanges from the Government to the Contractor of letters, reports, review results, etc.

c. Ad hoc information submitted by the COR and/or Subject Mater Experts (SME)(s) to the CO related to the Contractor’s electronic mail.

Examples of oral communications activities that may be used in conducting surveillance include:

a. Informal telephone calls, teleconferences.

b. Informal verbal inquiries, discussions, engineering consultations.

c. Working group meetings, technical/status briefings, progress reviews, technical information meetings, and formal and informal reviews.

d. Informal discussions.

4.7 Minimum Contract Meeting Requirements

1. Monthly Business Meeting with Contractor (discuss contract metrics)

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a. Base Operations

b. Any issues

c. IDIQ

2. Monthly RCM/Quality Assurance Quality Control (QAQC) Meeting (Contract Metrics)

a. TCs

b. PM/PGM/PT&I

c. Discuss missed PM/PGM/PT&I from prior month to be rescheduled.

d. RCM data/analysis

e. Contractor RCM recommendations.

3. Biweekly TC Status meeting

a. To make sure prioritized TC are completed on time.

4. Biweekly IDIQ status update meetings

a. Can be broken down by trade for larger trades like HVAC (example)

5. Monthly CMMS working group meeting

a. To go over monthly PM/asset data

i. Frequencies

ii. Work instructions

iii. Asset clean-up

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5 QUALITY ASSURANCE SURVEILLANCE AND DOCUMENTATION

5.1 Surveillance Process

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. Failure to meet the AQL may result in a withholding of payment, at the CO or COR’s discretion, until the problem is rectified.

5.2 Performance Monitoring and Scheduling

5.2.1 The CO may require the contractor’s PM, or a designated alternate, to meet with government personnel as deemed necessary to discuss performance evaluation. The CO 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 government personnel 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

• Issues arising from the performance monitoring processes

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

5.2.3 The CO 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.

5.3 Government Property Administration

The COR or applicable government SME will carry out the following functions.

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a. Validate that all Installation Accountable Government Property (IAGP) is being properly utilized and maintained.

b. Conduct periodic inspection of equipment and its location, compared to the data on the property records.

c. Validate that all existing and new equipment is properly tagged.

d. Validate that Government property is made available in accordance with the terms of the contract.

e. Validate that the Contractor does not modify or provide additional facilities, plant equipment, or real property except as specifically required by the contract or as directed or approved in writing by the CO.

f. Validate that the Contractor is maintaining records for all offsite Government-Furnished Property (GFP), if applicable.

5.4 Surveillance Documentation

The government’s QA surveillance, accomplished by the COR, will be reported using the Quality Assurance Surveillance Plan Template.

The form, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required service levels are being achieved.

5.5 Resolving Performance Issues

It is not unprecedented that NASA and the contractor may discover performance issues or deficiencies through the surveillance process.

The COR will provide a list of any unresolved deficiencies to the contractor's representative to afford him/her the opportunity to show where the problem is already in the process of being worked. If evidence is shown where the contractor’s quality program has already documented the deficiency and timely corrective action is resolving the problem, the COR will follow up with the contractor’s quality assurance personnel to ensure the deficiencies are remedied in a timely manner, in accordance with the PWS.

All deficiencies associated with performance requirements listed on the Performance Requirements Summary, whether remedied by the contractor or not, will be included in the COR’s Status Report regardless of who identified the deficiency.

The Contractor and COR will meet as prescribed in section (above in Section 4.7 Minimum Contract Meeting Requirements) to discuss contract performance. The COR will provide a copy of the meeting minutes to all attendees within 5 working days of the meeting. Should the need arise for an emergency meeting because of unexpected performance issues, these meetings can be called by either the COR or the contractor’s representative.

The COR will retain a copy of all completed QA surveillance forms and documentation. The CO will perform quarterly validation of COR surveillance records.

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Requirements Owner Concurrence:

COR Concurrence:

CO Concurrence: