Amendment 0004_Attachment 2_QASP R7 9.17.19.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS). This plan sets forth the procedures and guidelines that will be used in ensuring the required performance standards and/or service 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 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 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.

1.1.3 This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall communicate/coordinate changes with the contractor. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original

QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

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 that will be used to monitor and manage the contractor’s performance to ensure the expected outcomes and/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 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 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 contractor’s 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 contractor’s 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

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 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.

2.2 The Contracting Officer’s Representative (COR)

The contracting officer’s technical 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 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS / QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and in Attachment 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. If the contractor fails to meet or exceed the required service or performance level may result in a deduction from the monthly amount.

4 METHODOLOGIES TO MONITOR PERFORMANCE

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 (include those that apply)

➢ Random monitoring, which shall be performed by the COR designated inspector.

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

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

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 COR, as opposed to the contractor.

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 Attachment 1, Performance Requirements Summary

Table, for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

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

Performance standards are expressed in the PWS and are assessed in a variety of ways while using the performance requirements shown in Attachment 1.

5.2 Documentation is required to record, evaluate, and report contractor’s performance. The

Government will evaluate the Contractors performance using a variety of methods including the following three reports (Attachments 2, 3 and 4): 1. Monthly Surveillance / Quality Assurance Report; 2. Periodic /

Direct Observation Report; and 3. Quality Assurance Monitoring Report.

The Monthly Surveillance / Quality Assurance Report should be completed each time the contractor submits an invoice for payment to document the overall performance of the contractor.

The Quality Deficiency Report (QDR) is used for documenting and managing particular instances of unacceptable performance. This documentation provides the Contracting Officer (KO) with contractor status as it applies to the performance criteria. Every effort should be made to make this report to the KO as accurate as possible. The COR is required to maintain accurate records of the contractor’s performance and keep the KO informed of all data pertaining to contractor status. Documenting surveillance is of major importance to the total process of surveillance. The KO cannot properly administer the contract without documentation of actual surveillance.

The COR will submit all relevant Quality Assurance documentation to the KO as part of the invoice processing procedure. These reports should support the COR’s determination that the services are acceptable for payment. The COR shall complete the Monthly Surveillance / Quality Assurance Report each month when the contractor submits an invoice for payment and provide a copy to the KO. If the services are not acceptable, prior to certifying the invoice the COR will submit documentation to the KO for determination of whether a payment reduction will be made for the performance deficiency.

All documentation resulting from surveillance must be made part of the contract file. The COR must retain any and all surveillance documentation in their COR files for the life of the contract. Should COR responsibilities be shifted to another individual, the new COR shall be responsible for the maintaining a copy of all records: the historical and current COR files.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 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 also result in a deduction from the monthly payment, using the deduction percentages shown in Attachment 1.

6.2 Reporting

6.2.1 At the end of each month and/or each Ad-Hoc project completion, the COR will prepare a written report for the PM and CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance.

Additionally, the Government will compare the Contractor task and/or Ad-Hoc project performance to the contract standards and AQL. The Government will evaluate each required service based on one or both of the following inspection methods:

a. One hundred (100) percent inspections.

b. Customer complaints.

c. Regular monitoring / random inspections / periodic surveillance reports

Performance of a required service is considered satisfactory when the number of defective units

(unsatisfactory outputs) found by the Government during contract surveillance does not exceed that allowed by the AQL (Attachment 1).

When the number of defective units discovered by the COR exceeds the AQL, the Contractor’s overall performance for that type of service is considered unsatisfactory. The COR will issue the contractor a

Quality Deficiency Report (QDR). The QDR will require the Contractor to explain, in writing, the reasons why the contractor performed in an unacceptable manner, how performance will be returned to satisfactory levels, and how recurrence of the problem will be prevented in the future.

The Contractor shall re-perform, without additional cost to the Government, ALL work found to be unsatisfactory. The COR will determine the amount of time the Contractor will be given to re-perform the work on a case by case basis. Re-performance will not improve the overall rating of the service in question. The Government reserves the right to deduct for all unsatisfactory performed services.

Monthly payment to the Contractor will be reduced for unsatisfactory performance. If performance of required service is unsatisfactory, and the unsatisfactory performance is clearly the fault of the Contractor, an amount equal to the percentage of unsatisfactory performance will be deducted from the referenced item number in the deduction table.

EXAMPLE: Assume an acceptable quality level of 10% for service orders, a monthly total of

100 service orders, 30 unsatisfactory service orders after inspection, and a value of $1,000.00 per service order item number in the deduction schedule. The deduction from the Contractor’s monthly payment is:

Service Order Value Item#/CLIN 4 $ 10,000.00

Percentage of Unsatisfactory Performance Under AQL of 95% (30/100) x 30.00%

Deduction for Item Number $3,000.00

This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Attachment 2), 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 COR may require the contractor’s project manager, or a designated alternate, to meet with the

CO, PM and/or other government personnel as deemed necessary to discuss performance evaluation. The

CO and PM 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. 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

➢ Other, as appropriate

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

6.3.3 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.

6.4 The contract requirements listed in the attached Performance Requirements Summary (PRS)

Attachment 1 summarize specific firm fixed-price tasks which are to be performed under this contract.

The Performance Requirements associated with each contract requirement are as shown in the PRS and include:

a. Contract Requirement. A list of the contract requirements (column 1 of the PRS) most critical tasks to be performed.

b. Standard of Performance. The Standard of Performance for each work requirement

(column 2 of the PRS) by reference to the respective paragraph in Section C which specifies in detail the work to be performed.

c. Acceptable Quality Level (AQL). The standards (column 3 of the PRS) indicate the levels of performance deemed acceptable to the Government.

d. Deduction Table Reference. The item number (column 4 of the PRS) in Attachment

C.22, Schedule of Deductions which corresponds to the PRS contract requirement.

6.5 The COR will evaluate each task or Ad-Hoc project based on the ratings below:

Rating Description

Satisfactory Performance meets or exceeds contractual requirements. The contractual performance reflects few minor problem(s) for which corrective actions taken by the contractor appear or were satisfactory. The COR makes recommends and the Contracting Officer will make a determination of action.

Fair Performance does not meet some contractual requirements. The contractual performance reflects minor problem(s). The minor performance problem(s) do not adversely impact the mission of the Agency.

After satisfactory resolution of any cure notices issued, the COR makes recommends and the Contracting

Officer will make a determination of action.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner.

The contractual performance contains serious problem(s). Payment will be withheld pending resolution of the cure notice(s), additional remedies (up to and including Termination for Default) may be initiated by the Contracting Officer of action.

Timeliness

Good Meets or exceeds contract requirements in terms of timeliness of delivery.

Fair Minor timeliness issues that do not adversely impact the mission of the Agency.

Poor Timeliness issues that are not minor and/or borders on unacceptability. Adverse impact on the mission of the

Agency is possible.

Unacceptable Contractor failed to meet the timeliness requirements. Possible issues include, but are not limited to; one or more deliverables not submitted on time or missed milestones. One or more cure notices may have been issued by the Contracting Officer.

Quality

Good Meets or exceeds contract requirements in terms of quality of work performed.

Fair Performance meets contract requirements with only minor issues and the issues do not adversely impact the mission of the Agency.

Poor Performance narrowly meets contract requirements and either borders on unacceptability in terms of quality, or adverse impact on the mission of the Agency is possible.

Unacceptable Quality of performance has been at a less than acceptable level. Possible issues include, but are not limited to: low quality documents requiring multiple reviews and rewrites, significant or serious complaints submitted by the customers, documents that did not comply with acquisition or policy regulations or one or more cure notices have been issued by the Contracting Officer.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

PERFORMANCE REQUIREMENTS SUMMARY TABLE 1 (PRS)

CONTRACT

REQUIREMENT

STANDARD OF

PERFORMANCE

ACCEPTABLE

QUALITY LEVEL

DEDUCTION TABLE

REFERENCE NO./ CLIN

Alterations and repair of

Heating, Ventilation, Air

Conditioning, Refrigeration, Kitchen Equipment, Specialized

Equipment, Plumbing, Sewage, Roof Drains, Storm Water

Systems and Components.

Section C.1.5 Section C.1.15

Section C.1.16 Section

C.1.17 Section C.1.18

Section C.1.19

95.0% 1.

Alterations and repair of Fire

Protection Systems

Section C.1.20 100.0% 2.

Perform Alterations and Repair on Heating, Ventilation, Air

Conditioning, Refrigeration, Kitchen Equipment, Specialized

Equipment, Plumbing, Sewage, Roof Drains, Storm Water

Systems and Components.

Section C.1.14 Section C, Attachment C.23

98% 3.

Fire Pump Section C.1.14 Section C, Attachment C.23 PM Guide

FSP/PMP/A PM Guide

FSP/PMP/M PM Guide

FSP/PMP/S PM Guide

FSP/PMP/W

100.0% 3.a.

Fire Suppression Section C.1.14 Section C, Attachment C.23 PM Guide

FSP/SYS/A PM Guide

FSP/SYS/M PM Guide

FSP/SYS/Q PM Guide

FSP/SYS/QA PM Guide

FSP/SYS/S PM Guide

FSP/SYS/W

100.0% 3.b.

Air Handlers Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/AHU/A PM Guide

HVC/AHU/M PM Guide

HVC/AHU/Q PM Guide

HVC/AHU/S

98.0% 3.c.

Boilers Section C-1.14 Section C, Attachment C.23 PM Guide

HVC/BLR/A PM Guide

HVC/BLR/M PM Guide

HVC/BLR/Q PM Guide

HVC/BLR/S PM Guide

HVC/BLR/W

100.0% 3.d.

Chillers Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/CHL/A PM Guide

HVC/CHL/Q

100.0% 3.e.

CONTRACT

REQUIREMENT

STANDARD OF

PERFORMANCE

AQL DEDUCTION TABLE

REFERENCE NO./CLIN

Non-Destructive Chiller Tube

Analysis

Section C.1.14 Section C, Attachment C23 PM Guide

HVC/CHL/TA

100.0% 3.f.

Cooling Towers Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/CLT/A PM Guide

HVC/CLT/Q PM Guide

HVC/CLT/M

100.0% 3.g.

Pneumatic Air Compressor Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/CMP/A PM Guide

HVC/CMP/Q PM Guide

HVC/CMP/S

95.0% 3.i.

Convectors Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/CVR/BA

95.0% 3.i.

Electric Water Heater Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/EWH/A

95.0% 3.j.

Fans Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/FAN/Q

95.0% 3.k.

Fan Coil Units Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/FCU/A PM Guide

HVC/FCU/S

95.0% 3.l

Humidifiers Section C-1.14 Section C, Attachment C.23 PM Guide

HVC/HMD/S

95.0% 3.m.

Chillers Section C-1.14 Section C, Attachment C.23 PM Guide

HVC/ICHL/A PM Guide

HVC/ICHL/S PM Guide

HVC/ICHL/M

100.0% 3.n.

Computer Room A/C Units Section C.1.14 Section C, Attachment C.23 PM Guide

HVC/PAC/A PM Guide

HVC/PAC/S PM Guide

HVC/PAC/M PM Guide

HVC/PAC/Q

100.0% 3.o.

Pumps Section C-1.14 Section C, Attachment C.23 PM Guide

HVC/PMP/A PM Guide

HVC/PMP/S PM Guide

HVC/PMP/Q

95.0% 3.p.

Hot Water Pumps Section C.1.14 Section C, Attachment C23 PM Guide

HVC/PMPH/A PM Guide

95.0% 3.q.

HVC/PMPA/S PM Guide

HVC/PMPH/Q

Refrigerant Pump Down Sys. Section C.1.14 Section C, Attachment C23

100.0% 3.r.

CONTRACT

REQUIREMENT

STANDARD OF

PERFORMANCE

AQL DEDUCTION TABLE

REFERENCE NO./CLIN

Unit Heaters Section C-1.14 Section C, Attachment C.23 PM Guide

HVC/UHT/A PM Guide

HVC/UHT/S

95.0% 3.s.

Hot Duct/Vent Units Section .-1.14 Section C, Attachment C.23 PM Guide

HVC/VNT/A PM Guide

HVC/VNT/S PM Guide

HVC/VNT/M

95.0% 3.t.

Gas Water Heaters Section C-1.14 Section C, Attachment C23 PM Guide

HVC/WHR/A PM Guide

HVC/WHR/S PM Guide

HVC/WHR/Q PM Guide

HVC/WHR/M

95.0% 3.u.

Water Treatment Equipment Section C.1.14 Section C, Attachment C23 PM Guide

HVC/WT/A PM Guide

HVC/WT/S PM Guide

HVC/WT/Q

95.0% 3.v.

Backflow Preventer Section C.1.14 Section C, Attachment C23 PM Guide

HVC/BFP/A

100.0% 3.w.

Control Valves Section C.1.14 Section C, Attachment C23 PM Guide

HVC/PNC/A

95.0% 3.x.

Roof Drains Section C.1.14 Section C, Attachment C23 PM Guide

HFC/RFD/S

95.0% 3.y.

Regulating & Safety Valves Section C.1.14 Section C, Attachment C23 PM Guide

HVC/RGV/A

100.0% 3.z.

Sewer Manholes Section C.1.14 Section C, Attachment C23 PM Guide

HVC/SMH/Q

95.0% 3.aa.

Storm Drains Section C.1.14 Section C, Attachment C23 PM Guide

HVC/STD/S

95.0% 3.ab.

Variable Frequency Drives Section C.1.14 Section C, Attachment C23 PM Guide

ELE/VFD/A

95.0% 3.ac.

Refrigeration and Kitchen

Equipment

Section C.1.24 Section C, Attachment C23 PM Guide

100.0% 3.ad.

Perform all Service Calls to the

Heating, Ventilation, Air

Conditioning, Refrigeration, Kitchen Equipment, Section C.1.13 SEE BELOW 4.

Specialized Equipment, Plumbing, Sewage, Roof

Drains, Storm Water Systems and Components

Urgent Service Calls (Does not

Immediately endanger)

Section C.1.13 98.0% 4.b.

CONTRACT

REQUIREMENT

STANDARD OF

PERFORMANCE

AQL DEDUCTION TABLE

REFERENCE NO./CLIN

Emergency Service Calls

(Immediate Danger)

Section C.1.13 100.0% 4.c.

Provide Water Treatment

Services

Section C.1.21 98.0% 5

Provide Building Automation

System Services

Section C.1.18 100.0% 6

Alterations Work Section C.1.23 100.0% 8

ATTACHMENT 2:

MONTHLY SURVIELLANCE / QUALITY ASSURANCE

REPORT

Contract #: __________________ Task Order #: ______________

Contractor: ________________________________________

Performance Period: _________________________________

COR Name: ________________________________________

COR Phone: COR Email: ____________________

Summary of observations (Positive and Negative on all aspects of performance):

Actions taken to remedy any negative findings / discrepancies:

Performance Validation:

___ The Contractor has met all the requirements of the contract

___ The Contractor has NOT met the requirements of the contract

Contracting Officer Representative (COR)

Signature / Date

ATTACHMENT 3:

PERIODIC / DIRECT OBSERVATION REPORT

Date: _______________

Contract Requirements Inspected: AQL’s Observed:

(add more rows if needed)

Summary of observations (Positive and Negative on all aspects of performance):

Actions taken to remedy any negative findings / discrepancies:

Performance Validation:

___ The Contractor is meeting the requirements of the contract

___ The Contractor is NOT meeting the requirements of the contract

Contracting Officer Representative (COR)

Signature / Date

ATTACHMENT 4:

QUALITY ASSURANCE MONITORING REPORT

Service/Performance Standard/Requirement Summary of observations

(add more rows as needed)

DATE of OBSERVATION: _____________

Surveillance Method:

___ Random Sample

___ 100% Inspection

___ Customer Complaint

___ Other

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance Observed:

PREPARED BY: ___________________________________ DATE: _________________