A10_Atch_4_QASP_R2_Revised.pdf

US Department of Agriculture (USDA)

Rocky Mountain Region Planting IDIQ

Quality Assurance Surveillance Plan (QASP)

Contents Project Name ......................................................................................................................... Error! Bookmark not defined.

Solicitation / Contract Number ............................................................................................. Error! Bookmark not defined.

Section 1: Introduction

1.1 Purpose

1.2 QASP Relation to the Contract

1.2.1 QASP Revisions

1.2.2 Surveillance of Performance Progression

1.3 QASP Relation to the Quality Control Plan (QCP)

Section 2: Performance Description

2.1 Performance Standards and Acceptable Quality Levels (AQLs)

2.1.1 Allowable Deviation

2.1.2 Substantially Complete

2.2 Non-Performance

2.2.1 Documentation

2.2.2 Remedial Actions

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

3.2.2 Contracting Officer Representative (COR)

3.2.3 Government Technical Monitor (GTM)

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

4.1.1 Work Plan and Schedule

4.1.2 Tree Handling and Care

4.1.3 Planting and Artificial Shade/Animal Damage Control (ADC) Treatment Quality – In Progress

4.1.4 Planting and Artificial Shade/ADC Treatment Quality – Assurance Plots

4.1.5 Quality Assurance – Per Planter per Hour

4.1.6 QCP Inspections

4.1.7 Rework and Re-Inspection After Rework

4.2 Analysis and Results

Appendix A: Performance Requirement Summaries Appendix B: Work Order/Notice of Non-Compliance or Example Discrepancy Report Appendix E: Example Quality Assurance Monitoring Appendix G: Example Surveillance Activity Checklist

Rocky Mountain Region Planting IDIQ

1282B125Q0024, USDA, Planting Support Services

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) titled Rocky Mountain Region Tree Planting IDIQ. This plan sets forth the procedures and guidelines that the USDA, Forest Service will use in ensuring the required performance standards or services levels are achieved by the Contractor.

1.1 Purpose

The purpose of the QASP is to describe the systematic methods used to measure performance and the employed to completed them. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards identified in the PWS. This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the Contractor’s performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 QASP Relation to the Contract

1.2.1 QASP Revisions

The Contracting Officer Representative (COR) may make revisions or changes to the QASP procedures and surveillance methods or increase or decrease the degree of surveillance methods at any time during the contract performance period.

Changes to the Metric must be incorporated into the PWS, Performance Requirement Summary (PRS) and QASP by a bilateral modification to contract that is issued by the Contracting Officer (CO). A copy of the QASP is provided to the Contractor to enable the Contractor to enhance its Quality Control (QC) program to perform in accordance with its Quality Control Plan (QCP).

1.2.2 Surveillance of Performance Progression

As the performance period progresses, the levels of surveillance may be altered for service areas where performance is either consistently excellent or unsatisfactory. If consistently good performance, then the amount of surveillance may be reduced. If observations reveal consistent deficiencies, increased surveillance may be implemented.

1.3 QASP Relation to the Quality Control Plan (QCP)

The QCP is a required element of the contract and the Contractor shall adhere to its established quality control processes and procedures in managing and performing work as described in the contract. While the QCP represents the way in which the Contractor will ensure its quality and timeliness of services, as defined in the PWS, the QASP represents the way in which the Government personnel, specified in Section 3: Contractor and Government Responsibilities, Paragraph 3.2, Government Responsibilities, will evaluate the Contractor’s performance. The Contractor’s QC program and the residual organization’s QASP should be complementary programs as to that ensure successful Contractor performance.

Section 2: Performance Description Performance of the Contractor will be monitored through the surveillance methods described in Section 4: Surveillance Methods to Perform Quality Assurance to assess the Contractor’s performance against PWS requirements.

2.1 Performance Standards and Acceptable Quality Levels (AQLs) For selected activities in the PWS, the PRS provides a performance standard and an AQL. A performance standard is the expected level of Contractor performance. An AQL defines the level of performance that is satisfactory. Depending on the service evaluated and the evaluation method selected, performance standards and AQLs may be stated as a number of occurrences or as a percentage. Performance standards and AQLs for random sampling and 100 percent inspection are generally stated as percentages. For periodic inspections, performance standards may be stated as either percentages or as absolute numbers.

The contract requires the Contractor to perform all work as specified. Any inaccuracies or omissions in services or products are referred to as “defects” on the part of the Contractor. The Contractor shall be responsible for all identified defects and may be required to perform the work at no cost to the government. The AQL’s take into account that in some instances an allowable level of deficiencies (deviations) is possible while overall performance continues to meet the government’s desired level of service.

2.1.1 Allowable Deviation

The AQLs define the level or number of performance deficiencies the Contractor is permitted to reach under this contract.

AQLs take into account the difference between an occasional defect and a gross number of defects. AQLs can be expressed as a percentage of or as an absolute number (e.g., three per month). There may be instances where 100 percent compliance is required, and no deviation is acceptable (e.g., where safety is involved).

2.1.2 Substantially Complete

In some cases, service outputs are evaluated using subjective values (e.g., excellent, satisfactory, unsatisfactory). The criteria for acceptable performance and for defects must be defined for these service outputs. The concept of “substantially complete” should be the basis for inspections based on subjective scales. Work is considered “substantially complete” where there has been no significant departure from the terms of the contract and no omission of essential work. In addition, the Contractor has performed the work required to the best of its ability and the only variance consists of minor omissions or deficiencies.

2.2 Non-Performance

Non-performance occurs when the Contractor’s performance does not meet the AQL for a given requirement.

Requirements may contain multiple performance elements, and therefore, deficiencies may occur in one or more aspects of performance (e.g., timeliness, accuracy, completeness, etc.) or subject areas of effort.

When surveillance indicates that the Contractor's service output is not in compliance with the contract requirements, the Contracting Officer’s Representative (COR) must determine whether the Contractor or the Government caused the deficiency. If the cause of the defect rests with the Government, corrective action must be taken through Government channels. If the cause of the defect is due to action or inaction by the Contractor, the Contractor is responsible for correction of the problem at no additional expense to the Government.

2.2.1 Documentation

Documentation of work non-performed or unacceptable work is essential for tracking Contractor performance. The COR will document deficient work by compiling facts describing the inspection methods and results and to substantiate nonconformance with the contract. A sample documentation reporting form is provided in QASP Appendix B (FS-6300- 12 or Discrepancy Report), as well as related inspections, if applicable (see QASP Appendices E and G). The documentation, with any recommendations, will be forwarded to the CO. In the case of the Contractor, the COR will decide whether to elevate the problem to the CO for corrective action.

2.2.2 Remedial Actions

The Federal Acquisition Regulation allows for penalties in the event that the Contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the CO against the Contractor within the general provisions of the contract for nonconformance to the PWS and PRS.

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility

The Contractor is responsible for delivering products or services in accordance with the contract. Implementing its QCP, which describes the Contractor’s methods for ensuring all products and services under the contract meet established performance standards and AQLs. Maintaining, and providing for audit, quality control records and reports and all records associated with the investigation and complaint resolutions. Appointing a single quality control point-of-contact to act as a central recipient of communication from the COR or CO.

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

The CO is responsible for administering and monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by COR and the Contractor’s performance. The CO may delegate various day-to-day contract administration duties to an Administering ACO (ACO) and/or the COR for performance management and administrative actions such as invoice approval and issuance of Contract Discrepancy Reports may be, and normally are, delegated by the CO to the COR. The CO shall approve any revisions to the QASP processes or standards.

https://www.fs.usda.gov/Internet/FSE_DOCUMENTS/fseprd935427.pdf

3.2.2 Contracting Officer Representative (COR)

The COR is designated in writing by the CO. The COR will ensure that the QA function is properly executed, plays a key role in contract administration and performs the contract surveillance and monitoring. Some key contract administration duties include, but are not limited to, performs surveillance as required by this QASP; make recommendations to the CO for issuance of Discrepancy Reports or Notices of Non-Compliance and acceptance or rejection of completed work, for administrative actions based on unsatisfactory or non-performed work, and revisions or changes to the QASP; and assists the CO in identifying necessary contract modifications and preparing reports of Contractor performance and cost.

The COR may use the form(s) included in the Appendices to perform the inspection or other forms as approved by the CO. The Contractor overall guidance is also provided by FAR clause 52.246-4 on page 18 of the contract.

3.2.3 Government Technical Monitor (GTM)

The CO may designate GTMs to assist the COR in monitoring a Contractor’s performance in accordance with 48 CFR

642.271 and PGI 46.102 and as written on GTM Appointment Forms. This signed form shall be provided to the Contractor, COR, and GTM at the time of appointment and at any time there are changes in GTMs. These forms are maintained in contract files. GTMs will monitor, evaluate, and communicate to the COR Contractor’s performance in complying with contract requirements, possible delays and problems with contract performance, and potential problems associated with labor requirements. GTMs also perform and maintain documentation of inspections showing that the Contractor has or has not met contract requirements. GTMs will assist the COR in maintaining FS-6300-20 Daily Diaries1 (FS-6300-21 Daily Diary continuation sheet; Daily Diary mobile app) as well as maintaining records of Government Furnished Property equipment issued and returned (see Attachment 4, Exhibit 12). The COR has the delegated authority to sign Daily Diaries and any other issuance records as described in contract exhibits/attachments.

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

The surveillance methods used in the QA process are the Government’s tools to monitor the Contractor’s products and services. The best means of determining whether the Contractor has met all contract requirements is to inspect the Contractor’s service products and analyze the results. Further, documented inspection results are an effective tool in contract administration that can confirm the successful achievement of all performance requirements or highlight areas where defects exist and improvements are necessary.

Surveillance notes will be kept on FS-6300-20 and -21 (Daily Diary/Daily Diary Continuation Forms), on inspection forms (see Attachment 4 - Exhibits 07-11), or on Government Furnished Property Tracking Forms (see Attachment 4 - Exhibit 12). The Example Surveillance Activity Checklist (Appendix G) can be used to summarize the suite of all surveillance monitoring that is completed throughout the life of individual task orders.

4.1.1 Work Plan and Schedule

Due to the perishable nature of trees and limited planting period, the Contractor’s schedule is extremely important. The COR and/or Government GTMs will monitor progress and if the Contractor is falling behind schedule, the COR may recommend to the CO that a Discretionary Report or Work Order/Notice of Non-Compliance (QASP Appendix B) be issued (or take another contract action) to ensure the agreed-to schedule is maintained.

4.1.2 Tree Handling and Care

Due to the perishable nature of trees, care and protection of the seedlings is critical. The COR and/or GTMs will observe the operations throughout the planting day after trees are delivered to the delivery point to ensure the Contractor is providing tree care and protection per the contract and that the Contractor is complying with his/her QCP. Trees that are handled in an unsatisfactory manner may be declared ‘wasted’ trees. The Contractor shall pay for wasted trees as actual damages as described in PWS section 10.0. Deliberate wasting of trees, including but not limited to stashing bundles or stuffing extra trees into holes, is not acceptable. The COR may recommend to the CO that a Notice of Non-Compliance be issued and take corrective action consistent with the CO’s direction and with the Contractor’s QCP.

4.1.3 Planting and Artificial Shade/Animal Damage Control (ADC) Treatment Quality – In Progress The COR and GTMs will frequently observe tree planting and artificial shade/ADC treatments in progress, dig trees to check underground planting quality, observe planting and treatment methods, put in occasional “informal plots,” etc., to

1 All links available only to Government personnel. Copies of these forms can be found in Appendix E. The daily diary mobile app is a tablet based data entry form that can be used in place of field paper forms; no separate link will be provided.

https://usdagcc.sharepoint.com/sites/fs-r01-aqm/R1%20AQM%20Procurement%20Library/6300_20ContrDailyDiary.doc https://usdagcc.sharepoint.com/sites/fs-r01-aqm/R1%20AQM%20Procurement%20Library/6300_21ContrDailyDiaryPage2.doc https://usfs.box.com/s/swx8iuus0ii543tqor3vbpbq18rhwfc1 https://usdagcc.sharepoint.com/sites/fs-r01-aqm/R1%20AQM%20Procurement%20Library/6300_20ContrDailyDiary.doc https://usdagcc.sharepoint.com/sites/fs-r01-aqm/R1%20AQM%20Procurement%20Library/6300_21ContrDailyDiaryPage2.doc identify any problems. The COR will report these items to the Supervisor/Contractor’s On-Site Representative to allow problems to be corrected. The COR will not direct the operations of the crew, however, as this is the responsibility of the Contractor. The Government expects the foreman to inspect planting in progress and take corrective action on any planting problems prior to being identified by the COR consistent with the Contractor’s Quality Control Plan. The Contractor may be issued a Notice of Non-Compliance or further contract action may be taken for failure to conduct his/her own quality control while planting is in progress.

4.1.4 Planting and Artificial Shade/ADC Treatment Quality – Assurance Plots The COR and/or GTMs will take representative sample plots in units to verify the Contractor’s planting and artificial shade/ADC treatment quality. The standard plot procedure described in PWS Section 8.0 shall be followed, utilizing the forms in Attachment 3 - Exhibit 07 and 11, with instructions, methods, and examples shown in Contract Exhibits 08-10, but densities and locations may differ from that done by the Contractor. Any deviations must not affect inspection results.

Trees that are mishandled, dropped, or stashed will be declared wasted trees.

The COR and/or GTMs should put in enough plots to assure the Government’s quality assurance plots represent planting quality (adequate to judge if the Contractor’s inspection plots are within 5% of the Government’s). This may be a small sample (e.g., 0.2%) up to 1%, although it generally should not exceed 0.5%, which is half of the Contractor’s requirement.

The CO and COR should determine the sample size, which should be influenced by the real or anticipated problems associated with planting or Contractor quality control.

After all plots have been recorded for a subunit, the quality will be computed using the formula on the forms in Attachment 3 - Exhibits 07 and 11. All computations will be carried out to the thousandths (.000). The final quality percentage will be rounded to the nearest whole percent.

4.1.5 Quality Assurance – Per Planter per Hour

Work under this item will be directed by the Government. Quality control will be visually inspected. Methods similar to those described in QASP Section 4.1.4 may also be used at the Government’s discretion. If quality is unacceptable, the Government will inform the Contractor for immediate correction at the job site.

4.1.6 QCP Inspections

The COR and/or GTMs will monitor the Contractor’s quality inspection plots on a frequent basis to ensure the Contractor is providing inspection consistent with the Contractor’s accepted Quality Control Plan (QCP). The COR and/or GTMs may observe the Contractor’s plots in progress or check them after completion. The Contractor will be put on notice of non-compliance (or another corrective action may be taken) for failure to conduct plot inspections as per his/her QCP.

The Contractor’s Inspector is not permitted to modify plot deficiencies nor influence the planting quality by indicating to the planters of upcoming plot locations. The COR and/or GTMs will review all plot sheets and re-check calculations after receipt. They will then compare the Contractor’s plot results with the Government’s results. The COR will inform the Contractor if the quality is acceptable after comparing the Government assurance plots with the Contractor’s plots after the entire sub-unit is planted. When they are within 5%, the Contractor will be informed that his/her quality control is acceptable for tree planting quality and pay will be calculated based on the Contractor’s plot results. If, after sub-unit completion, the Contractor’s results differ by greater than 5% from the Government’s Quality Assurance Plots, payment will be based on the Government’s plot results (see PWS sections 8.0 and 10.0).

When the COR and/or GTMs compare the Contractor’s inspection to the Government’s assurance plots prior to the unit being completed, it will only be considered an indication of the progress and not considered an acceptance of the Contractor’s work. The COR does not need to reveal the results of their plots but will notify the Contractor if it appears that the Contractor’s inspection is greater than 5% from the Government’s. The Contactor should be notified as soon as it is apparent that there may be a problem so they can improve in their inspection process if it does not conform to the standards.

4.1.7 Rework and Re-Inspection After Rework

If the Contractor fails to meet the minimum AQLs, refer to PWS section 10.0.

4.2 Analysis and Results

When the inspections and validations have been completed, the COR will perform an analysis of the Contractor’s performance. The purpose of the analysis is to ensure Government is receiving high-quality products and services from the Contractor. The COR will review the results, rate the Contractor’s compliance with the performance standards and AQLs, and characterize the Contractor’s overall performance.

The COR will document Contractor’s performance under each contract and for a series of task orders completed in any given base or option year as an interim inspection in the Contractor Performance Assessment Rating System (CPARS).

The COR will complete a Certificate of Final Inspection (Form FS-6300-15 or equivalent) at the completion of each task order. A final inspection will be recorded in CPARS for the life of the contract.

The COR will rate the following Contractor performance categories at both interim and final inspections:

• Technical (quality of product or service)

• Cost control

• Schedule/Timeliness

• Management/Business Relations

• Small Business/Subcontracting

• Other (i.e., tax delinquency, failure to report in accordance with contract terms and conditions, defective cost or pricing data, terminations, suspension, or debarments, etc.)

The COR will utilize these ratings and provide a thorough narrative describing your rating, giving specific examples:

• Exceptional: Performance meets contractual requirements and excess many to the Government’s benefit. The contractual performance of the element or sub element was accomplished with few minor problems for which corrective actions taken by the Contractor were highly effective.

• Very Good: Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub element being evaluated was accomplished with some minor problems for which corrective actions taken by the Contractor was effective.

• Satisfactory: Performance meets contractual requirements. The contractual performance of the element or sub element contains some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

• Marginal: Performance does not meet some contractual requirements. The contractual performance of the element or sub element being evaluated reflects a serious problem for which the Contractor has not yet identified corrective actions. The Contractor’s proposed actions appear only marginally effective or were not fully implemented.

• Unsatisfactory: Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the Contractor’s corrective actions appear or were ineffective.

The CO will review each inspection prepared by the COR and provide access to the Contractor to respective ratings through CPARS. The Contractor will be allowed to respond to the inspections within CPARS.

Appendix A: Performance Requirement Summaries Reference PWS Section 5.0.

Appendix B: Work Order/Notice of Non-Compliance or Example Discrepancy Report FS-6300-12, Work Order and Notice of Non-Compliance Form can be presented to the CO in order to with the Contractor if the Contractor’s Supervisor/On-Site Representative has not complied with COR’s verbal instructions to ensure quality control. Alternatively, the example Discrepancy Report (below) may be used in place of FS-6300-12.

DISCREPANCY REPORT 1. DISCREPENCY

REPORT NO.

2. TO: (Contractor / Project Manager Name) 3. FROM: (Name of COR)

CONTRACT NUMBER:

DATE:

PREPARED ORAL

NOTIFICATION

RETURNED BY

CONTRACTOR

ACTION COMPLETE

4. DISCREPENCY OR PROBLEM (Describe in Detail. Include PWS references. Attach Continuation Sheet if Necessary)

5. SIGNATURE OF COR

6. TO: (Name of COR) 7. FROM: (Contractor / Project Manager)

8. CONTRACTOR RESPONSE AS TO CAUSE, EFFECT, CORRECTIVE ACTION AND ACTIONS

TO PREVENT RECURRENCE (Attach Continuation Sheet if necessary. Cite applicable Contractor QC program procedures or new QC procedures)

9. SIGNATURE OF CONTRACTOR

REPRESENTIVE

10. DATE

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, or rejection. Attach Coordination Sheet if necessary)

12. GOVERNMENT ACTIONS (Cure notice, show cause, other)

CLOSE OUT

KTR NOTIFIED

NAME AND TITLE SIGNATU

DATE

COR

Appendix E: Example Quality Assurance Monitoring Refer to Attachment 3 - Exhibits 07-11 for inspection methods to show achievement of AQLs and Attachment 3 - Exhibit 12 tracking Government Furnished Property and hourly rates of contract crews, when applicable.

FS-6300-20 and FS-6300-21 are included on the following pages. CORs and GTMs may use these forms to document daily activities throughout the life of task orders.

USDA - Forest Service 1. FOREST

CONTRACT DAILY DIARY

2. CONTRACT NO.

(Reference FSH 6309.11)

3. PROJECT

4. CONTRACTOR 5. CONTRACTOR REPRESENTATIVE ON SITE

6. GOVERNMENT OFFICIALS ON SITE

7. DATE 8. DAY OF

9. TIME

10. TIME

11. WEATHER

12.

13. GROUND CONDITION 14. CONTRACT

15. DAYS

16. COMPLETION

Min. Max.

17. TIME USED

18. WORK

19. WORK ON

20. CONTRACTOR'S WORK - (X

YES NO Acceptable Unacceptable - Explain

21. CHANGE ORDERS/AMENDMENTS ISSUED 22. WORK ORDERS ISSUED (Include

23. MATERIALS FURNISHED TO JOB SITE (Furnished By: G-Govt.; C-Cont.; S-Subcont.)

24. LIST EQUIPMENT ON SITE (Furnished by G- Govt.; C-Cont.; S-Subcont.)

25. List Contract Payments, Reports, Correspondence, ETC. 26. Workers On Site

Item

Classification

27. Government Provided Services Adequately and Timely YES NO - Explain in narrative

28 NARRATIVE REPORT

29. SIGNATURE 30. TITLE 31. ADDTL SPACE

(continued on 6300-21)

USDA - Forest Service 1. PROJECT 2. PAGE

CONTRACT DAILY DIARY 2 of 2 Narrative Continuation

3. CONTRACT NUMBER 4. DATE

(Reference FSH 6309.11)

5. NARRATIVE REPORT (continued from 6300-20)

6. SIGNATURE 7. TITLE 8. ADDTL SPACE NEEDED

(continued on 6300-21) On page ______ of _____

Appendix G: Example Surveillance Activity Checklist The following Surveillance Activity Checklist can be used throughout the life of a task order to summarize compliance checks and their results, especially those identified in PWS Section 5.0 identified visual inspections.

Performance Requirement

Performance Standard

Method of Measurement

Performance Metrics

Method of Surveillance

Date Accomplished

Compliance (Exceed, Met, Partial Met)