Quality_Assurance_Surveillance_Plan.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

REPAIR BUILDING 5

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 Technical Representative

3 REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

3.1 Surveillance Techniques

3.2 Customer Feedback

3.3 Acceptable Quality Levels

4 QUALITY ASSURANCE DOCUMENTATION

4.1 The Performance Management Feedback Loop

4.2 Monitoring Forms

5 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

5.1 Determining Performance

5.2 Reporting

5.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

ATTACHMENT 3: CONTRACT DISCREPANCY REPORT………………………………….8

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the statement of work (SOW) entitled Repair Building 5, Muniz ANG Base, Carolina, PR. This plan sets forth the procedures and guidelines Puerto Rico National Guard (PRNG) 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 SOW 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 project 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.

1.2 Performance Management Approach

1.2.1 The SOW 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 PRNG to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the SOW 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 contract

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 SOW. 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 SOW. 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 (KO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by COR MSgt Efrain Santiago, and the contractor. The KO 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

KO.

2.2 The Contracting Officer’s Technical Representative

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

COTR 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 SOW and in

Attachment 1, “Performance Requirements Summary.” If the contractor meets the required service or performance level, it will be paid accordingly.

3.1 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:

- Random monitoring, which shall be performed by the COTR/COR designated inspector.

- 100% Inspection – Each month, the COTR/COR, shall review the generated.

- Documentation and enter summary results into the Surveillance Activity Checklist.

- Periodic Inspection – COTR/COR typically performs the periodic inspection on a monthly basis.

3.2 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 KO and COR/CORT, 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 COTR/COR. The

COTR/COR will accept those customer complaints and investigate using the Contract

Discrepancy Report in Attachment 3.

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

3.3 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. For certain critical activities such as those involving critical 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 PRNG.

4 QUALITY ASSURANCE DOCUMENTATION

4.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the SOW and are assessed using the performance monitoring techniques shown in Attachment 1.

4.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments 2 and 3. 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.

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

5 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

5.1 Determining Performance

5.1.1 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.

5.2 Reporting

5.2.1 At the end of each month, the COR will prepare a written report for the KO, 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 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.

5.3 Reviews and Resolution

5.3.1 The KO may require the contractor’s project manager, or a designated alternate, to meet with the COR and other government personnel, as deemed necessary, to discuss performance evaluation. The KO 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.

- Issues arising from the performance monitoring processes.

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

5.3.3 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 KO.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Discipline

Task Performance

Standard

Acceptable Quality Level

(AQL)

Surveillance Method/By Whom

Quality Control

a. Quality of Workmanship

b. Adequacy of the CQC Plan

c. Implementation of the CQC Plan

d. Quality of QC Documentation

e. Storage of Materials

f. Adequacy of Materials

g. Adequacy of Submittals

h. Adequacy of Testing

i. Adequacy of As-Built

j. Use of Specified Materials

k. Identification/Correction of deficiency works in a timely manner

100%

98%

Periodic Inspection

COR will review monthly work order logs.

Effectiveness of Management

a. Cooperation and Responsiveness

b. Management

Resources &

Personnel

c. Coordination and Control of Subcontractors

d. Adequacy of Site Clean-up

e. Effectiveness of Job

Site Supervision

f. Compliance with Laws and Regulations

g. Professional Conduct

h. Review/Resolution of Subcontractors Issues

Timely

Performance

a. Adequacy of Initial

Progress Schedule

b. Adherence of Approved Schedule

c. Resolution of Delays

d. Submission of

Required

Documentation

e. Completion of Punch List Items

f. Submission of Updated and Revised Progress

Schedules

g. Warranty Response monthly work order logs.

Compliance with

Safety Standards

a. Adequacy of Safety Plan

b. Implementation of Safety Plan

c. Correction of Noted Deficiencies

COR will review

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

- Random Sampling - 100% Inspection - Periodic Inspection - Customer Complaint

LEVEL OF SURVEILLANCE (Check):

- Monthly - Quarterly - As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: %

Service Provider’s Performance (Check):

- Meets Standards - Does Not Meet Standards

Narrative of Performance during Survey Period:

PREPARED

BY:

DATE:

Attachment #3

CONTRACT DISCREPANCY REPORT 1. Contract

Number

2. TO: (Contractor and Manager Name) 3. FROM: (Name of QAE)

DATES

Prepared Oral Notification Returned by Contractor

Action complete

4. Discrepancy or problem (describe in detail: include reference in PWS directive:

attach continuation sheet if necessary)

5. Signature of contracting officer

6. TO: (Contracting officer) 7. FROM: (Contractor)

8. Contractor response as to cause, corrective action and actions to prevent recurrence. Attach continuation sheet if necessary.

9. Signature of contractor representative 10. Date

11. Government evaluation (acceptance, partial acceptance, rejection: attach continuation sheet if necessary.)

12. Government actions (payment deduction, cure notice, show cause, other.)

Close Out

Name and title Signature Date

Contractor notified

QAR

Contracting officer