2025_CSE_QASP.docx

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

Contents

Project Name

2025 Pike National Forest CSE Contract

Solicitation / Contract Number Insert Solicitation / Contract Number

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled CON SPL FY25 Common Stand Exam Collection Contract. This plan sets forth the procedures and guidelines that the USDA, Pike National Forest 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 to identify the reports required and the resources to be employed. 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 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 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 AQLs 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 Appendix B: CSE Inspection Forms. 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.

B: Example Discrepancy Report

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 a 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.

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 Contract Discrepancy Reports or letters of commendation and acceptance or rejection of completed work and 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, see following table:

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES

Clause Number

Title

Date

PERTAINING TO ALL ITEMS

PERTAINING TO SERVICE ITEMS

52.246-4

Inspection of Services—Fixed Price

(Aug 1996)

52.246-20

Warranty of Services

(May 2001)

PERTAINING TO CONSTRUCTION ITEMS

52.246-12

Inspection of Construction

(Aug 1996)

52.246-21

Warranty of Construction

(Mar 1994)

3.2.3 Customers

Customers or organizations/offices that the Contractor provided support may be requested to assist the COR in conducting QA to provide information relating to the Contractor’s performance through Customer Feedback. Information gained from the Customer Feedback may be used in conjunction with other methods of observation to rate the performance of the Contractor.

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.

PERFORMANCE REQUIREMENTS

· Visual inspection—walk through stands to verify plot monumentation

· Periodic verification of compliance with the use of plot inspections

· Written documentation of visual inspection.

4.1.1.1 Performance Standards and AQLs

Performance standards and AQLs are stated as both percentages but may also be based completely on completion of critical aspects of the data collection (i.e. data collection in Exams Mobile and sending data file to COR). Contractor performance will fall into one of the following categories:

Excellent Performance: The result of the Contractor substantially achieving the performance standards at or above 90% with no significant deficiencies and sending data file to COR for all completed plots.

Satisfactory Performance: The result of the Contractor completing the performance standards between 80 and 90% with some deficiencies.

Unsatisfactory Performance: The result of the Contractor completing the performance standards between 70% and 80% with significant deficiencies.

Unacceptable Performance: The result of the Contractor failing to meet the performance standards of at least 70% or if the plot data was not sent to the COR in the Exams Mobile file format.

4.2 Analysis and Results

When the inspections and customer feedback 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. Analysis of all types of contract monitoring will result in one of the following outcomes:

4.2.1 Excellent Performance

Excellent performance is the result of the Contractor substantially achieving the performance standards at or above 90% with no significant deficiencies and completing data file submission for all completed plots.

4.2.2 Satisfactory Performance

Satisfactory performance is the result of the Contractor completing the performance standards between 80 and 90% with some deficiencies. Plots can be re-worked to achieve a higher performance level, or the Government may reduce its level of payment (see section 4.3 Payments, Reductions, and Re-inspection Costs) when the COR determines that the Contractor has not met all performance standards and requirements of the contract.

4.2.3 Unsatisfactory Performance

Unsatisfactory performance is the result of the Contractor completing the performance standards between 70% and 80% with significant deficiencies. Plots can be re-worked to achieve a higher performance level, or the Government may reduce its level of payment (see section 4.3 Payments, Reductions, and Re-inspection Costs) when the COR determines that the Contractor has not met all performance standards and requirements of the contract.

4.2.4 Unacceptable Performance

Unacceptable performance is the result of the Contractor failing to meet the performance standards of at least 70% or if the plot data was not sent to the COR in the Exams Mobile format. Plots can be re-worked to achieve a higher performance level, or the Government may withhold payment when the COR determines that the Contractor has not met performance standards and requirements of the contract.

Disincentives for failure to meet the above standards may be as follows:

(a) Rework will be completed at Contractor’s expense within the period of performance.

(b) If rework is not physically possible, payment deductions will be made for work falling below AQL (Payment Reductions.

(c) Damage to the residual stand or infrastructure will be assessed against the Contractor.

(d) Government re-inspection charges.

(e) Poor performance rating will be given.

4.3 Payments, Reductions, and Re-inspection Costs

Method of Payment Payment will be made for completed task(s) meeting or exceeding the Acceptable Quality Level (AQL). Upon acceptance, payment will be determined on the service less any deductions for any nonconforming or unacceptable performance as noted below.

Reductions

Data is required to be saved and sent to the COR in the Exams Mobile file format. No Payment will be given for plots that are not sent to the COR in the proper format.

For data collected and sent to the COR, payment reductions will be made at the following rates based on data accuracy determined by the evaluation in 4.1.1.2.

Excellent: Payments above 90% AQL or above The Government expects to receive good services. The minimum 90% AQL is required to achieve an Excellent performance rating. Full payment will be made for final work meeting at least 90% AQL and above.

Satisfactory: Payments at 81 to 90% AQL If the plot cannot/will not be reworked to achieve the minimum required 90% AQL, payment of 90% of the plot price will be made for AQL falling between 80 to 90% AQL.

Unsatisfactory: Payments at 70 to 80% AQL If the plot cannot/will not be reworked to achieve the minimum required 90% AQL, payment of 90% of the plot price times the actual AQL received will be made for AQL falling between 70 and 80% AQL.

Example - 75% AQL is achieved. Plot price is $75.00 75 x 90% = 67.50 x 75% = $50.63 price to be paid for plot.

Unacceptable: Below 70% AQL or Data not collected and/or sent to COR in the Exams Mobile file format If plot data cannot/will not be sent to the COR, no payment will be given for plot completion.

Re-Inspection Costs If the original government inspection results are not acceptable to the Contractor, a re-inspection may be requested, in writing, up to seven (7) days after receiving notification of unacceptable work. If the original inspection results in failure due to an unacceptable Form Score or Total Score, but re-inspection results in fully passing score, then the Government assumes the cost of re-inspection. If the re-inspection confirms the results of the original inspection, the Contractor shall reimburse the Government for actual costs incurred for performing re-inspection. The table below lists charge rates for Government re-inspection of work.

*Mileage reimbursement rate in effect January 1, 2025 is $0.70 per mile. Mileage rates change periodically and the most current mileage rates for assessed damages at the time will be used. Most current mileage rates can be found at the General Services Administration website https://www.gsa.gov/travel/plan-book/transportation- airfare-rates-pov-rates/privately-owned-vehicle-pov-mileage-reimbursement-rates

Appendix A: Performance Requirement Summaries Comment by Williams, Matthew - FS, CO: revise

PERFORMANCE REQUIREMENT SUMMARY

Performance Task (PWS Reference)

Performance Indicator

Performance Standard

Acceptable Quality Level (AQL)

Method of Surveillance

Timeliness, completeness, and Accuracy of delivery of Services/Data (PWS, Section 3.0)

Services delivered with data quality that meets inspection standards.

All collected plot data sent to COR in proper Exams Mobile file format Data quality meets inspection standards.

All collected plot data sent to COR in proper Exams Mobile file format 90% of all data plots “pass” in accordance with QASP, section 4.

All collected plot data sent to COR in proper Exams Mobile file format Visual inspection—walk through stands to verify plot monumentation

Periodic verification of compliance with the use of plot inspections

Review of Exams Mobile files to ensure data was sent correctly

Appendix B: Discrepancy Report

CONTRACT NUMBER: DATE:

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

5. SIGNATURE OF COR

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)

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

COR

COMMON STAND EXAM INSPECTION FORMS

side 1

PROJECT NAME --- CONTRACT NUMBER

FOREST / UNIT

DATE BLOCK RECEIVED

S.T. TREE RECORDS INSPECTED:

GSC RECORDS INSPECTED:

VEG. RECORDS INSPECTED:

DOWN WOODY RECORDS INSPECTED:

OFFICE INSPECTION

ALL REQUIRED MATERIALS RETURNED IN GOOD CONDITION

CORRECT NUMBER OF PLOTS COMPLETED IN EACH STAND

ALL REQUIRED FORMS AND FIELDS COMPLETED AND LEGIBLE

MIN. NO. OF SITE/GROWTH TREES COLLECTED FOR EACH SETTING

ALL SETTINGS MEET MINIMUM TREE PER PLOT AVERAGES

ELECTRONIC DATA COMPLETE AND ACCEPTABLE

FIELD INSPECTION

ALL REFERENCE POINTS AND PLOT CENTERS RELOCATABLE

ALL PLOT LOCATIONS CORRECT AND UNBIASED

ALL STANDS HAVE A PLOT DISTRIBUTION THAT EQUALLY SAMPLES ALL PORTIONS OF THE ENTIRE STAND

SUFFICIENT ERRORS ACCUMULATE TO INDICATE A DISCREPANCY TREND

ALL INFORMATION ON SAMPLE DESIGN FORMS COMPLETE AND CORRECT

ALL SETTINGS AND PLOTS HAVE CORRECT SETTING ID

TOTAL FORM SCORE CALCULATION

Field Verification Polygon Data Form Score

Setting Form Score

Sample Design Form Score

Plot Form Score

Total Tree Form Score

Ground Surface Cover Form Score

Vegetation Composition Form Score

Downed Woody Form Score

TOTAL SCORE (sum of all scores)

OFFICE AND FIELD INSPECTION

-- ANY UNACCEPTABLE ITEM FAILS INSPECTION BLOCK

INSPECTION BLOCK

TOTAL FORM SCORE CALCULATION

PASS

FAIL

Errors in any field that has a Point Value of "unacceptable" will fail the block

INSPECTION CREW SIGNATURES:

DATE

DATE

COMMENTS AND FOLLOW-UP ACTION on side 2 side 2

POINTS INSPECTED

COMMENTS -- OFFICE EDIT:

COMMENTS -- FIELD INSPECTIONS:

FOLLOW-UP ACTION:

SETTING INSPECTION FORM

Total Deductions (sum of Col ‘C’)

D

Number of Stands Inspected

E

Setting Form Score (D / E)

F

SAMPLE DESIGN INSPECTION FORM

Total Deductions (sum of column 'C')

D

Number of Stands Inspected

E

Sample Design Form Score (D / E)

F

PLOT INSPECTION FORM

Total Deductions (sum of column 'C')

D

Number of Plots Inspected

E

Plot Form Score (D / E)

F

TREE INSPECTION FORM

SAMPLE PLOT for LARGE TREES (L.T.) -- Variable Radius and/or Fixed Area Plot/Transect

L.T. Deductions (sum of column 'C')

D

L.T. Tree Records Inspected

E

L.T. Sample Score (D / E)

F

1) Tree count accuracy standards

2) DBH/DRC Accuracy Standards

Intensive/Extensive Exam Levels

Quick Plot

(for the purpose of determining trees in or out)

TREE INSPECTION FORM

SAMPLE PLOT for SMALL TREES (S.T.) -- Fixed Area Plot/Transect

S.T. Deductions (sum of column 'C')

D

S.T. Tree Records Inspected

E

S.T. Sample Score (D / E)

F

1) Tree Count Accuracy Standards:

All Exam Levels

2) DBH/DRC Accuracy Standards:

*If non-stocked and tree is recorded, this is an error.

< 0.5 feet

< 0.5 feet

>= 0.5 feet - <4.5 feet

>= 0.5 feet - <4.5 feet

DOWNED WOODY INSPECTION FORM

SAMPLE PLOT for downed woody (DW) data collected on Brown’s Transect

D.W. Deductions (sum of column 'C')

D

D.W. Records Inspected

E

D.W. Sample Score (D / E)

F

Appendix C: Customer Feedback Record

CUSTOMER FEEDBACK RECORD

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR PROJECT:

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE

VALIDATION

ACTION TAKEN BY CONTRACTOR (Responsible officer):

RECEIVED AND VALIDATED BY

Determination: Complaint Valid Complaint Invalid

Appendix D: Inspection List

CONTRACT NUMBER: ___________________________________

SERVICE FUNCTION:

PWS SECTION:

Performance: Excellent (E), Satisfactory (S), Unsatisfactory (U), Not Applicable (N/A)

Overall Rating Of Inspection (E, S, U or N/A)

COR/Inspector Comments:

Contractor Signature: ___ Date: __

COR Signature: ____________________Date: _________________

Appendix E: Quality Assurance Monitoring

CONTRACT NUMBER: ______________________________________

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check the applicable item):

r Random Sampling r 100% Inspection r Periodic Inspection r Customer Complaint LEVEL OF SURVEILLANCE (Check the applicable item):

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______% Service Provider’s Performance (Check the applicable item):

r Meets Standards r Does Not Meet Standards Narrative of Performance During Survey Period:

Prepared By: _______________________________ Date: ______________

Appendix F: Customer Complaint Investigation

CONTRACT NUMBER: _________________________

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

DATE COMPLAINT RECEIVED: ____________

SOURCE OF COMPLAINT: _________________________________________ (Name) _______________________________________________________________ (Organization) ___________________ (Phone No.) _________________________________ (Email Address)

NATURE OF COMPLAINT: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

RESULTS OF COMPLAINT INVESTIGATION: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

DATE SERVICE PROVIDER INFORMED OF COMPLAINT: _____________

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER: _________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Received and Validated By: __________________________________________ Prepared By: _____________________________ Date: _________________

Appendix G: Surveillance Activity Checklist

Performance Requirement Performance Standard Method of Measurement

Performance Metrics Method of Surveillance Date Accomplished Compliance (Exceed, Met, Partial Met) image1.png