2.2.1 Attachment IV - Quality Assurance Surveillance Plan.pdf

Department of Homeland Security (DHS)

Federal Emergency Management Agency (FEMA)

Disaster Overseas Transportation (DOTS) Support for

American Samoa, Guam, and Commonwealth of the

Northern Mariana Islands

Quality Assurance Surveillance Plan

(QASP)

1. INTRODUCTION

The contractor shall perform according to the requirements in the DOTS Performance Work

Statement (PWS). Contractor activity will be monitored by the Contracting Officer’s

Representative (COR), with assistance from the Technical Monitor and/or other designated staff to ensure full compliance with contract terms and conditions. The contractor’s performance will be evaluated from the inception of the task order issuance until the demobilization of the transportation support requirement and subsequent retrograde services requirement. This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled DOTS. This plan sets forth the procedures and guidelines Logistics

Management Directorate (LMD)/Transportation Management Division (TMD) will use in ensuring the required performance standards or services levels are achieved by the contractor. Due to the criticality and the nature of this contract in aiding survivors of disasters, FEMA must monitor and evaluate performance to ensure that quality services, supplies, and worked performed are rendered in an expedited manner with nominal impediments. The role of the government is to perform quality assurance to ensure that contract and task order requirements are appropriately achieved.

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 by the contractor. 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 receives the level of quality specified.

1.1.2 This QASP defines the roles and responsibilities of all members of the FEMA 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 by Logistics Management

Directorate (LMD)/ Transportation Management Division (TMD) 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, if 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. An “outcomes” driven approach provides the contractor flexibility to continuously improve and innovate over the course of the contract if 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 (QCP) plan. 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), chiefly the Contracting Officer Representative (COR) 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 determinations regarding performance measurement metric data outlined in the Key

Performance Parameters (KPP’s) and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is executed 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 LMD/ TMD. The CO ensures performance of all requirements of the IDIQ

Contract and Task Orders (TO) to ensure compliance with the terms and conditions of the contract and/or TO. The CO safeguards the interest of the government in the contractual relationship.

The CO will receive all discrepancy reports and forward them to executive management of the contractor for action upon each occurrence of a noted discrepancy. Contracting Officer (CO):

Karley Hoyt, Contracting Officer’s Representatives (COR): Brian Smith, Michael Cimato and program manager (PM): Williford Thomas and the contractor. The CO’s designated full-time COR is the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services rendered, as well as the contractor’s performance, and must be identified and designated by the CO.

2.2 The Contracting Officer’s Representative

The COR is appointed 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. An alternate

COR will be appointed as well to the overall IDIQ. Some task orders will have a different COR than the overall IDIQ COR, but they will also represent the government per the direction contained in the written appointment letter. 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 under Attachment 2, “Key

Performance Parameters.”

4. METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

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 Sampling, which shall be performed by the COR upon the issuance of a tsk order.

➢ 100% Inspection –The COR, shall inspect and evaluate performance each time a task is performed.

➢ Reports

➢ Work Orders or Task Orders

➢ Property Transfer Reports (PTR)

➢ Actual receipt of repairs

➢ Call Logs

➢ Contractor Maintenance/Deactivation logs and/or phone

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 CO, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing, the detailed nature of the complaint, which must be signed, and forwarded to the CO/COR.

4.3 Acceptable Level of Service

The minimum Acceptable Quality Level (AQL) for contractor performance (included in the Key

Performance Parameters (KPPs)) is “Complete Compliance”. There is no monetary reward or penalty proposed, rather adherence or noncompliance to the KPPs will be reflected in the contractor’s CPARS rating. All items contained in the KPPs are deemed critical activities, such as those involving obtaining a crossdocking facility and acquiring the Fully Operational Capacity

(FOC) levels of resources, the desired performance level is established at 100 percent.

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 using the performance monitoring techniques shown in the KPP.

5.2 Monitoring Forms

The government’s QA surveillance accomplished by the COR, will be reported using locally created monitoring forms. 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.

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 objectives/service levels have been met. If the contractor has not met the minimum requirements, the contractor will 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. Additionally, failure to meet the performance objectives/service levels will result in the contractor’s dismissal from the task order award process.

6.2 Quality Assurance Reporting

6.2.1 At the conclusion of each task order execution, the COR will prepare written reports summarizing the overall results of the quality assurance surveillance of the contractor’s performance. These written reports will include the contractor’s submitted report and the completed quality assurance monitoring forms (Attachment 2), which will become part of the QA documentation. These reports enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including scope/cost/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 and other government personnel as deemed necessary to discuss performance evaluation. The CO or 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 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 task orders and progress against expected trends, including a corrective action plan analysis

➢ Recommendations for improved efficiency and/or effectiveness

6.3.2 The CO 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 approved by the CO and incorporated as a contract modification.

ATTACHMENT 1:

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 Weekly 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 2: KEY PERFORMANCE PARAMETERS

The Key Performance Parameters are defined as those attributes or characteristics of this requirement that we consider critical or essential in performance of this contract. They are required to successfully meet the mission of FEMA.

Performance

Objective

PWS

Ref

Performance

Baseline

Performance Objective Methods of

Surveillance

Acceptable

Quality

Level

The

Contractor must be able to acquire the appropriate transportation assets and capacities for air, land, and sea movements.

2.5 Conveyance(s)

shall be at FOC

NLT 72 hours after receipt of task order.

Performance parameter will be determined successful if

FEMA RDD is achieved.

Conveyance(s) shall be at IOC NLT 48 hours after receipt of task order. Performance standard will be determined successful if FEMA RDD is achieved.

100%

Inspection Acceptabilit y is circumstanc e contingent and is based on the availability of transportatio n assets given the disaster environment and market demand. As such, acceptability can be considered satisfactory at 72 or 96 hours after task order award.

Directly owned and/or directly leased real estate for catch yards, empty trailer yards, laydown yards and warehousing.

2.2.1 The Contractor

shall procure the requested real estate NLT

72 hours after task order award. This means, FEMA should be able to gain access to any requested site 48 hours after the task order has been officially awarded to the

Contractor. The site should hold no less than 300 trailers. The site must be within

20 miles of the port of embarkation/cro ss- dock facility.

unless otherwise specified. The site should have office space for

10 FEMA

employees and be able operationally functionable on

24 hours 7 days a week.

The Contractor shall procure the real estate

NLT 48 hours after task order award. This means, FEMA should be able to gain access to any requested site 48 hours after the task order has been officially awarded to the Contractor. The site should be able to accommodate, no less than 300 trailers. The site must be within 20 miles of the port of embarkation/cross-dock facility unless otherwise specified.

The site should have office space for 10

FEMA employees and be able operationally functionable on 24 hours 7 days a week.

100%

Inspection

Any requested sites procured by the

Contractor after 72 hours of the official award of the

FEMA task order will be considered unacceptabl

e. The requested site can under no circumstanc e be further than 50 miles of the port of entry

/cross- dock facility. Any sites located further than

50 miles from the port of embarkation

/ cross-dock facility is considered unacceptabl e.

Cross- dock services and cargo reception in

CONUS.

2.2.2 Cross-dock sites

threshold is to cross-dock a minimum of 7 trailers per hour and have yard space for up to

125 staged trailers.

Cross-dock sites objective is to cross-dock a minimum of 10 trailers per hour and have yard space for up to 150 staged trailers.

Random

Sampling

Inspections

The crossdockin g operation is required to transload a minimum of 7 trailers per hour to be considered acceptable.

This includes physically transloading the commoditie s from a 53ft dry box van trailer into an 20ft or

40ft ocean container, creating and submitting all of the supporting shipping accountabili ty documentati on and the transfer of the essential data exchange from the

Contractor’s system of record to

FEMA’s

LSCMS

Commodities, assets, and equipment containerizati on.

2.1 The Contractor

threshold is required to have the capability to acquire at least

2,000 containers

The Contractor objective is required to have the capability to acquire at least 4,000 containers and chassis available per month.

Random

Sampling

Inspections

It is considered acceptable for the

Contractor to have a and chassis available per month.

capacity for a minimum of 2,000 containers and chassis available per month.

In-Transit

Visibility

(ITV)

2.2.

The Contractor is required to maintain real time visibility of all equipment, resources, and assets under contract task order consignment and shall provide accountability reports within

48 hours of the vessels’ departure or arrival.

The Contractor is required to maintain real time visibility of all equipment, resources, and assets under contract task order consignment and shall provide accountability reports within 24 hours of the vessels’ departure or arrival.

Planned

Sampling and

Customer complaints inspections.

Contractor shall provide initial reports, spot reports and advanced notification of arrival at destination within 24 hours on site.

Cargo /

Equipment documentatio n and labelling.

2.2.

Correctly documenting all shipments and accurately labeling contents of all containers.

Correctly documenting all shipments and accurately labeling contents of all containers.

Random

Sampling

A minimum of 98% accuracy level of cargo listing within any given random sample size.

Well established receipt processes at various transportation nodes.

2.2.

2, 2.2.

The Contractor is required to provide detailed item description of all containerized commodities, assets, and equipment to accurately account for what is in each container.

The Contractor must maintain capabilities to receive, process, and report cargo deliveries in a timely manner

(within 24 hours of receipt/receptio n). The

Contractor is required to provide essential reporting at each node and have the proper processes and capabilities established for reception of commodities, assets, and equipment at nodes to prevent delays and congestion within the transportation network.

The Contractor is required to provide detailed item description of all containerized commodities, assets, and equipment to accurately account for what is in each container. The

Contractor must maintain capabilities to receive, process, and report cargo deliveries in a timely manner

(within 12 hours of receipt/reception). The

Contractor is required to provide essential reporting at each node and have the proper processes and capabilities established for reception of commodities, assets, and equipment at nodes to prevent delays and congestion within the transportation network.

Customer complaints & planned sampling.

The

Contractor is required to process inbound and outbound commoditie s, assets, and equipment at any given node within

18 hours for reporting;

and ensure that less than 10% of all trucks are detention free.

Contractor must ensure there is minimal to no impact to local road network in or around a

FEMA

transportatio n node. The

Contractor shall receive no more than 10 customer complaints per month during any given task order activation.

The

Contractor shall maintain the appropriate

Material

Handling

Equipment

(MHE) and

Container

Handling

Equipment

(CHE)

densities at various transportation nodes.

2.2.

3, 2.2.

The Contractor must be able to manage the through-put at each of the various nodes.

The Contractor must ensure

MHE/CHE

quantities are available at sea / airports and be able to acquire additional

MHE/CHE

where required.

The Contractor must be able to sufficiently manage the through-put at each of the various nodes. The Contractor must ensure adequate

MHE/CHE quantities are onsite and available at

SPOE/APOE/SPOD/A

POD and must be able to acquire additional

MHE/CHE where required.

100%

Inspection

100% compliance at

APOE/APO

D terminals and

SPOE/SPO

D ports. The

Contractor must be able to acquire

MHS /