Attachment1.pdf

Attachment 1

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

GREEN PETER / FOSTER PROJECT CULTURAL INVESTIGATION

Contract Number: W9127N-16-

The services in this Contract are to conduct an archaeological inventory of proposed projects within the Green Perter and Foster Project areas.

Contractor:

Issued:

TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Contracting Officer’s Representative

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2: CONTRACTOR DISCREPENCY REPORT

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This plan sets forth the procedures and guidelines the US Army Corps of Engineers will use in ensuring the required performance standards or services 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.

1.2 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 taken 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.

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 government will make determination on whether performance is acceptable or unacceptable, based on whether the goals in the performance work statement were met. 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, cost control, and for resolving any differences between the observations documented by the Contracting Officer’s Representative (COR), Quality Assurance Representative, 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

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 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and within the “Performance Requirements Summary.” If the contractor meets the required service or performance level, it will be paid the amount agreed on in the contract. If a failure to meet the required service or performance level the government may require the Contractor to perform the services again in conformity with contract requirement, at no increase in contract amount.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

In an effort to minimize the performance management burden, 100% inspection surveillance methods shall be used by the government to evaluate contractor performance. If COR discovers deficiencies and/or receives complaints, the COR will pass them on to the contractor’s Quality Control Inspector for correction.

4.2 Allowed Number of Discrepancies

The allowed number of discrepancies are located within the Performance Requirements Summary Table. Contractor performance is 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 is assessed using the performance monitoring techniques shown with the PRS.

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR and QA will be reported using the monitoring form in Attachment 2.

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

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.

6.2 Reporting

6.2.1 The QAR 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 reports, 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 has met 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 COR and other government IPT personnel as deemed necessary to discuss performance evaluation. The 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 COR as often as required or per the contractor’s request. The agenda of the reviews may include:

Daily performance assessments

Issues and concerns of both parties

Projected outlook for upcoming work 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

6.3.2 The QAR 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.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Deliverable of Service Requirement

Measurement / Metric Surveillance Method

Frequency

Procedures to be taken when performance standards not met

Pre-Field Activities Compliance with requirements to include timeliness, accuracy, quality, consistency, and functionality

Submittal Review

Draft Submittal Final Submittal

a. Contractor revision of submittal at own expense;

b. Poor performance evaluation

Kick-Off Meeting:

Work Plan & Quality Control Plan

Compliance with requirements to include timelines, accuracy, quality consistency functionality

Submittal Review

Draft and Final (Work Plan)

a. Contractor revision of submittal;

b. Poor performance evaluation

Field Survey Compliance with requirements to include timeliness, accuracy, quality, consistency, and functionality

25% fieldwork inspection.

Submittal Review

Monthly Contract Update Reports

a. Contractor revision of submittal at own expense;

b. Poor performance evaluation

Report Compliance with requirements to include timeliness, accuracy, quality, consistency, and functionality

Submittal Review

Draft Submittal Final Submittal

a. Contractor revision of submittal at own expense;

b. Poor performance evaluation

Minutes of all significant conversations and meetings

Compliance with requirements to include timeliness, accuracy, quality, consistency, functionality

Submittal Review

Draft and Final a. Contractor revision of submittal;

b. Poor performance evaluation

Monthly Progress Reports

Compliance with requirements to include timeliness, accuracy, quality, consistency, functionality

Submittal Review

Upon Submission

a. KTR revision of submittal;

b. Delay in payment

Monthly Invoices Compliance with requirements to include timeliness, accuracy, quality, consistency, functionality

Submittal Review

Upon Submission

a. KTR revision of submittal;

b. Poor performance evaluation

Monthly Expenditure Reports

Compliance with requirements to include timeliness, accuracy, quality, consistency, functionality

Submittal Review

Upon Submission

a. KTR revision of submittal

Release of Claims Compliance with requirements to include timeliness, accuracy, quality, consistency, functionality

Submittal Review

Upon Submission

a. KTR revision of submittal;

b. Delay in Final Payment

ATTACHMENT 2: Contractor Discrepancy Report

CONTRACT DISCREPANCY REPORT

Instructions: QAP fills in blocks 1, 3, 4, 5 (prepared), and 6. Contractor fills in blocks 9 and 10.

1. CONTRACT NUMBER 2. REPORT NUMBER FOR THIS DISCREPANCY

3. TO: (Contractor and Managers Name) 4. FROM: (Name of QAE)

5. DATES

PREPARED RETURNED BY CONTRACTOR ACTION COMPLETE

6. DISCREPANCY OR PROBLEM: (Describe in detail: include applicable SOW/Contract references: attach continuation sheet if necessary.)

7a. SIGNATURE OF CONTRACTING OFFICER REPRESENTATIVE 7b. SIGNATURE OF CONTRACTING OFFICER

8. TO: (Contracting Officer) FROM: (Contractor)

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE: ATTACH CONTINUATION SHEET IF NECESSARY.

(Cite applicable Q.C. program procedures or new Q.C. procedures.)

10. SIGNATURE OF CONTRACTOR REPRESENTATIVE

DATE

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, rejection; attach continuation sheet if necessary.)

12. GOVERNMENT ACTIONS (Reduced payment, cure notice, show cause, other.)

CLOSE OUT

NAME-TITLE SIGNATURE DATE

CONTRACTOR

NOTIFIED

QAE

COR/CO