QUALITY ASSURANCE SURVEILLANCE PLAN.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

for

Hand Tree Thinning and Stand Improvement Activities

I Introduction. The Government’s Quality Assurance Surveillance Plan (QASP) provides the procedure and guidelines that will be used in evaluating technical performance of the Contractor for tree thinning and stand improvement activities in a performance based statement of work. The Government’s QASP is not part of the contract, but is provided to the Contractor solely as information. A copy of this plan is furnished to the

Contractor in the solicitation package and with the contract so the Contractor is aware of the methods that the

Government will use in evaluating performance on this contract and address any concerns that the Contractor may have prior to initiating work. The QASP is subject to change by the Government during the contract performance period. The Government reserves the right to perform more or less than is outlined in the Plan.

Purpose of the QASP:

o Define the role and responsibilities of participating Government officials;

o Define the types of work to be performed with required end results;

o Describe the evaluation methods that will be employed by the Government in assessing the Contractor’s performance;

o Provide copies of the performance assessment form that the Government will use in documenting and evaluating the Contractor’s performance; and o Describe the process of performance assessment documentation.

II Roles and Responsibilities of Participating Government Officials. [this may be modified]

A. Contracting Officers Representative (COR): The COR is designated by the Contracting Officer to administer the contract within the authority and limitations specified on form FS-R1-6320-27 provided to the

Contractor at the pre-work and at anytime there is a change in COR, the COR, and maintained in the contract file. Refer to FSH 6309.11.04.4, WO Amendment 6309.11-91-1 for a full description of responsibilities.

The COR will monitor the Contractor’s work and may utilize Work Orders and Notice of Non-compliance as tools to communicate in writing with the Contractor. The COR will keep the Contracting Officer and

Contractor informed of progress and contract compliance and any non-compliance issues. The Contracting

Officer will work with the Contractor and COR to correct non-compliance issues. Suspension of work may be necessary to halt operations when compliance issues are at question and continuing work during discussions could cause irreversible damage (e.g., wrong trees being cut).

The COR will maintain Daily Diaries for each day the site visited, as the record of contract progress and compliance, These will include only facts concerning the contract, and will be complete and unbiased as they will be used by the Contracting Officer to make further decisions on contract issues.

The COR designates and supervises the work of the inspectors.

B. Inspectors: The Government inspector(s) are designated by the COR to represent him/her in securing compliance of contract requirements. The Designation of Inspector (R1-FS-6320-29) will be used to designate the inspector and identify the responsibilities. Refer to FSH 6309.11.04.4, WO Amendment 6309.11-91-1. The inspector(s) will monitor Contractor performance and inform the Contractor of contract deviations. The inspector(s) will monitor thinning in progress and conduct quality assurance plots. The inspector(s) will not direct the operations of the crew but rather keep in contact with the foreman, stressing the requirement of

Contractor quality control as well as protect the Government’s interest by assessing the adequacy of thinning and stand improvement activities.

A lead inspector may be designated by the COR when more than one inspector will be on site to act as the leader of the Government inspectors and avoid confusion in communications with the Contractor.

The inspector(s) will maintain Daily Diaries, issue notice of non-compliance to the Contractor when s/he fails to meet contract requirements, and keep the COR informed of all contract progress, and conformance problems.

The inspector(s) will anticipate change orders and inform the COR.

C. District Ranger, Forest Supervisor, Silviculturist and other District, Forest and Regional employees:

The Forest Supervisor is responsible for the administration of the National Forest, and the District Ranger acts as an authorized representative. These and other employees will act as resource advisors to the COR and

Contracting Officer but do not have contract authority. Their role is to provide advice on project implementation, which may be used for contract decisions.

III. Assessing the Contractors Performance

A. Schedule. The COR and inspector will monitor progress and if the Contractor is falling behind schedule, the

COR may issue a work order to ensure the agreed to schedule is maintained.

B. Tree Thinning, Girdling, Pruning The following plan will be used by the Government to assure the

Contractor is providing the quality promised and work meets the performance standard. Surveillance will consist of visual observations of the entire operation and sample plots to determine compliance with the specifications.

1. Work in Progress. The Government inspector will observe work in progress, and may put in occasional

“informal plots” to judge the quality of thinning and other required work. Any problems should be reported to the foreman to allow the problems to be corrected. The inspector and COR will not direct operation of the crew, however, as this is the responsibility of the Contractor. The Government expects the foreman to inspect work in progress and take corrective action prior to being notified by the Government inspector, consistent with the Contractor’s Quality Control Plan. Failure of the Contractor to inspect his work is cause for notice of non-compliance or other contract action.

2. Quality Assurance Plots. The Government inspector will take sufficient sample plots to assure the

Government’s quality assurance plots represent thinning quality (adequate to judge if the Contractor is within

5% of the Government’s and if the work is acceptable). 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 what the Contractor is required to do. The CO and COR should determine the sample size, which should be influenced by the real or anticipated problems associated with the thinning or the Contractor quality control.

3. Plot procedures will be consistent with plot procedures described in Section J (Inspection Plot instructions). Thinning quality will be based on the directions of inspection form. Girdling, is considered in the evaluation of satisfactory trees. Add other codes for required work that is included in the Thinning inspection on the inspection form as well.

The Government’s plot method should mirror the Contractor’s plot method described in the Contractor’s approved QCP and further agreed to, but plots will be in different locations and generally be of a different sample intensity. Any deviations must not affect inspection results. For this reason, the Government’s plot size must be the same as that agreed for use in the Contractor’s QCP (or as specified in Section E). In many cases 4-

6 trees per plot is adequate however a larger plots with more trees is necessary when variability in density is a desired result. Plot sizes may vary between units, but not within a unit.

All computations will be carried to at least thousandths (.000) and the final percentage of quality will be rounded to the nearest whole percent.

The most desirable leave tree should be selected based on the procedures described in the Silvicultural

Summary Prescription (provided in Section J) and the contract. The final thinning quality reflects the

Contractor’s ability to select the proper leave trees and properly cut the excess trees. The ability of the

Contractor to thin to the prescribed density is reflected in the trees coded as acceptable or unacceptable in some way.

The Category C deficiencies should be tallied by plot and compared to the maximum allowable identified in

Section F. It is important to specify if the maximum is by acre and thus any plot which exceeds the maximum would require a rework in the vicinity of the plot OR by the unit thus if the maximum is exceeded, rework of the unit is required.

4. The Government inspector or COR will monitor the Contractor’s quality inspection plots to assure the

Contractor is providing inspection consistent with the Contractor’s accepted Quality Control Plan (QCP). If not included in the QCP, the Contractor and CO/COR will agree to how/when Contractor inspection sheets will be turned in to the COR.

The Government inspector may observe the Contractor’s plots in progress or check them after completion. The

Contractor may be put on notice of non-compliance (or other contract action taken) for failure to conduct plot inspections as per his QCP. The Contractor’s inspector is not permitted to modify plot deficiencies nor influence the work quality by indicating to the thinners (or workers) of upcoming plot locations.

After receipt, the Government inspector or COR will review all plot cards, and re-check calculations after receipt. The COR may reject plot sheets if the Contractor fails to properly fill out the inspection forms including signatures and calculations.

5. The Government inspector will conduct quality assurance plots in a timely manner after unit completion. The COR will inform the Contractor if the quality is acceptable to the Government, after comparing the Government assurance plots with the Contractor’s after the entire unit is treated. When they are within 5%, the Contractor will be informed that his/her quality assurance is acceptable for tree thinning (or other work as applicable) quality and pay will be calculated based on the Contractor’s plot results, assuming

Category C deficiencies are within acceptable levels.

When the Government’s inspector compares 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 Government 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.

Based on FAR 52.246-4 Inspection of Services (attached as reference and included by reference in Section E), the Contractor 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. In some cases with thinning, the Government may not have quality assurance plots prior to unit completion.

If at unit completion, the Contractor’s results differ by greater than 5% from the Government’s QA plots, payment will be based on the Government’s plot results (G.3.1). If the Contractor finds this objectionable, he may request a re-evaluation. The FS will then conduct a 2% sample and if the results confirm the Contractor’s results (or within 5%), payment will be based on the Contractor’s results. However, if the results of the re-evaluation sample indicate the Government results are correct (i.e. greater than 5% difference), then payment is based on the Governments re-verification results and the Contractor pays for the actual costs associated with the re-verification sample. (Refer to E.2.6.1.)

6. When the Contractor’s work is below the performance standard of 90%, the COR may require the

Contractor to rework the unit or portion of the unit where the deficiency occurred and it can be corrected.

When Category C deficiencies exceed the maximum allowable, the Contractor shall rework the area to bring it into compliance. The Contractor shall re-inspect this work and the Government will conduct similar surveillance as the original work. When work cannot be corrected, or at agreement with the Contractor, the

Government may accept work at the reduced price stated in Section G. After being advised that the Contractor has reworked an area, the Government will conduct a new set of plots up to _one__ times after the initial. The

Contractor should submit his quality control inspections indicating that work is complete and acceptable prior to the Government conducting plots. The Contractor can be assessed the cost of the extra plot assessment.

C. Release and other tasks not included in the Tree Thinning inspection:

1. The Government inspectors will conduct quality assurance for release and other TSI work similar to the procedures described for Tree Thinning.

2. Modify the codes on the standard Tree Thinning Inspection form or utilize a local form for inspecting release and weeding or other required activities.

D. Slash Clean up. The COR and inspector will monitor the slash activities according to the Silvicultural

Summary Prescription, contract requirements, and the Contractor’s proposal provided with the technical proposal. The Contractor is required to rework any areas not meeting the requirements and repair damage to improvements. The Contractor may be assessed actual damages when work is unacceptable.

E. Resource Protection. The COR and inspector should monitor the activities to assure resources are being protected. This should be monitored in conjunction with work in progress.

F. Work Schedule. The work schedule will be monitored as previously described. When the Contractor does not complete work within the accepted time schedule, the CO has several options that allow the Contractor to continue to work but s/he may be assessed the actual damages to the Government (i.e., wages, travel and per diem, etc.) for work completed outside the contract time

G. Contractor’s Quality Inspection. When the Contractor’s inspection varies by greater than 5 percent from the Government’s, the Contractor may be required to re-work, essentially re-inspect, the unit, or the

Government may do the work. Refer to FAR 52.24-4 Inspection of Services. The CO or COR will make this determination and make payment and assess costs accordingly. Note that if Government results are used for payment, the Contractor can be charged for the actual Government cost of conducting the re-inspection.

H. Work site and Campsite. The inspector and COR will periodically assess the campsite and daily monitor the worksite to assess if it is clean, and meets the requirements set forth in the contract. The COR will require the Contractor to clean up the work site or campsite or suspend operations if it is a safety hazard. Final payment will be withheld until the worksite is cleaned, including trash that may be left in the unit and the campsite meets the camping permit requirements.

I. Safe Working Conditions. Safety should be discussed at the prework meeting. Emergency numbers and similar information needs to be shared with Contractor. The COR should use common sense in dealing with safety concerns. For example, when there are extreme conditions such as, windy weather in areas with a potential for blowdown, the CO/COR shall use their contract authority to reduce the safety risks. Example of actions to take include moving the operations to a safer unit, posting lookouts, dropping portions of a unit, suspending operations with contract time. When the COR is not on site, the Contractor will need to notify the

COR or CO of such a condition.

If the Contractor brings safety hazard to the attention of the COR, the COR/CO and Contractor must find resolution. Examples of options for resolution include, suspension with contract time, moving to another area until the hazard (like in the case of wind) has ceased, altering specifications to avoid the hazard (an example may be modifying the contract to not work within a certain distance of snags), or falling the trees the Contractor identifies as hazards.

IV. Contractor Final Performance Assessment

A. Final Performance Assessment

The COR will document the Contractor’s performance under this contract/task order. The COR will document his/her understanding of the contract requirements, what was actually completed, and the impact or consequences of what was not completed, and any recommendation for rework.

The COR will summarize the Contractor’s performance in the following aspects:

Quality of TSI activities and related services

Cost Control

Timeliness of Performance

Business Relations

Customer Satisfaction: Was the Contractor committed to customer satisfaction?

Would you recommend the selection of this Contractor again (after contract expiration)? Why?

Utilize these ratings along with a short explanation.

o Unsatisfactory = nonconformance is jeopardizing the achievement of contract requirements despite the use of Agency’s resources.

o Poor = overall compliance requires MAJOR agency resources to ensure achievement of contract requirements.

o Fair = Overall compliance requires MINOR Agency resources to ensure achievement of contract requirements.

o Good = Overall compliances does not impact achievement of contract requirements.

o Excellent = There are no quality problems and Contractor goes beyond what is expected of contract to achieve services.

B. Analysis of Performance Assessment Results

The Contracting Officer will review each Performance Assessment prepared by the COR. When appropriate, the Contracting Officer may investigate the event further to determine if all the facts and circumstances surrounding them even are considered in the COR opinions outlined on the forms. The Contracting Officer will prepare the final Performance Assessment that will be entered into the Past Performance Database. Prior to entering information, the Contracting Officer will provide a copy of the final performance rating to the

Contractor and allow time for the Contractor to provide rebuttal if desired.

QASP Attachment

PERFORMANCE REQUIREMENTS SUMMARY

The following describes the major items in the contract with the incentives and deductions for the work described. This is a duplicate of the PRS in Section C.6; if there are any differences, the PRS in C.6 governs.

Items below are included here as requirements.

Work

Statement

Performance

Standard

Government

Method of

Assessment

Incentive/ deduction

Performance

Standard

Government

Method of

Assessment

Incentive/ deduction

Tree Thinning, C.4.2

Girdling

C.4.3

Pruning

C. 4.4

Quality meets or exceeds performance standard of 90% when considering Satisfactory selected leave trees, and

Category A and

Category B deficiencies as described in the

Inspection Procedure.

AND

The number of

Category C deficiencies do not exceed the maximum stated in

Section F, acceptance and rework.

COR or inspector conduct periodic monitoring of operations and random plots consistent with

Thinning

Inspection Method described in

Section J.

The Contractor’s quality will be reflected in the performance assessment either as positive or negative incentive.

If Contractor achieves 90% or greater quality AND Category C deficiencies are below the maximum allowable, the

Contractor will receive unit price as incentive.

If Contractor exceeds the maximum allowance for Category C deficiencies, the

Contractor is required to rework as per

Section F prior to payment for other thinning work.

If Contractor does not achieve at least

90% quality, deductions as per Section G and adverse performance assessment.

Release

C.4.5

Quality meets or exceeds performance standard of 90%.

COR or inspector conduct periodic monitoring and random plots

The Contractor’s quality will be reflected in the performance assessment either positive or negative.

If Contractor achieves 90% or greater quality, the Contractor will receive unit price as incentive.

If Contractor does not achieve 90% quality, deductions as per Section G.

Adverse performance assessment.

Slash

Treatment

C.4.6

Meets slash treatment requirements.

COR or inspector conduct periodic monitoring

Rework required if Contractor fails to meet standard.

Reserved for additional work item

C.9.

Quality

Control

C4.11

Contractor maintains good quality control on all aspects of operation

Actions not consistent with contract specifications are corrected as per the

Quality Control Plan.

COR or inspector randomly sample and observe operations.

The quality of Quality Control provided by the Contractor will be reflected in the performance assessment as either positive or negative incentive.

If the Contractor fails to meet standards, work may be suspended or put in

Default for failure to take corrective action immediately. Result in adverse performance assessment.

Contractor’s plot inspections are +/-5% of Government’s quality. Inspection completed to meet timeframes. Inspection forms are complete and accurate.

COR or inspector randomly observe

Contractor inspection. Review

Contractor inspection sheets.

The ability of the Contractor to meet the standard will be reflected in the performance assessment as either positive or negative incentive.

When Contractor’s plot inspections meet standards, no deduction.

If quality does not meet standard, pay deduction (Section G) and/or additional costs to the Government will be assessed

Work Plan and

Schedule

C.4. 12.

Work meets schedule as per the accepted work plan.

COR and inspector conduct periodic monitoring.

The Contractor’s ability to maintain the work schedule and complete work on schedule will be reflected in the performance assessment as either positive or negative incentive.

Work not completed on schedule is

Performance

Standard

Government

Method of

Assessment

Incentive/ deduction subject to Default and may result in assessment of actual costs.

REFERENCE INFORMATION FOR THE QASP

FAR 52.242-14 Suspension of Work. (Apr 1984)

(a) The Contracting Officer may order the Contractor, in writing, to suspend, delay, or interrupt all or any part of the work of this contract for the period of time that the Contracting Officer determines appropriate for the convenience of the Government.

(b) If the performance of all or any part of the work is, for an unreasonable period of time, suspended, delayed, or interrupted (1) by an act of the Contracting Officer in the administration of this contract, or

(2) by the Contracting Officer's failure to act within the time specified in this contract (or within a reasonable time if not specified), an adjustment shall be made for any increase in the cost of performance of this contract (excluding profit) necessarily caused by the unreasonable suspension, delay, or interruption, and the contract modified in writing accordingly. However, no adjustment shall be made under this clause for any suspension, delay, or interruption to the extent that performance would have been so suspended, delayed, or interrupted by any other cause, including the fault or negligence of the Contractor, or for which an equitable adjustment is provided for or excluded under any other term or condition of this contract.

(c) A claim under this clause shall not be allowed-

(1) For any costs incurred more than 20 days before the Contractor shall have notified the Contracting Officer in writing of the act or failure to act involved (but this requirement shall not apply as to a claim resulting from a suspension order); and

(2) Unless the claim, in an amount stated, is asserted in writing as soon as practicable after the termination of the suspension, delay, or interruption, but not later than the date of final payment under the contract.

(End of clause)

FAR 52.246-4 Inspection of Services-Fixed-Price. (Aug 1996)

(a) Definition. "Services," as used in this clause, includes services performed, workmanship, and material furnished or utilized in the performance of services.

(b) The Contractor shall provide and maintain an inspection system acceptable to the Government covering the services under this contract. Complete records of all inspection work performed by the Contractor shall be maintained and made available to the Government during contract performance and for as long afterwards as the contract requires.

(c) The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. The Government shall perform inspections and tests in a manner that will not unduly delay the work.

(d) If the Government performs inspections or tests on the premises of the Contractor or a sub-Contractor, the Contractor shall furnish, and shall require sub-Contractors to furnish, at no increase in contract price, all reasonable facilities and assistance for the safe and convenient performance of these duties.

(e) If any of the services do not conform to contract requirements, the Government may require the

Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by reperformance, the Government may-

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the contract price to reflect the reduced value of the services performed.

(f) If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may-

(1) By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

(2) Terminate the contract for default.

FAR 52.249-10 Default (Fixed-Price Construction (Apr 1984)

(a) If the Contractor refuses or fails to prosecute the work or any separable part, with the diligence that will its completion within the time specified in this contract including any extension, or fails to complete the work within this time, the Government may, by written notice to the Contractor, terminate the right to proceed with the work (or the separable part of the work) that has been delayed. In this event, the

Government may take over the work and complete it by contract or otherwise, and may take possession of and use any materials, appliances, and plant on the work site necessary for completing the work. The

Contractor and its sureties shall be liable for any damage to the Government resulting from the

Contractor's refusal or failure to complete the work within the specified time, whether or not the

Contractor's right to proceed with the work is terminated. This liability includes any increased costs incurred by the Government in completing the work.

(b) The Contractor's right to proceed shall not be terminated nor the Contractor charged with damages under this clause, if-

(1) The delay in completing the work arises from unforeseeable causes beyond the control and without the fault or negligence of the Contractor. Examples of such causes include-

i. Acts of God or of the public enemy,

ii. Acts of the Government in either its sovereign or contractual capacity,

iii. Acts of another Contractor in the performance of a contract with the Government,

iv. Fires,

v. Floods,

vi. Epidemics,

vii. Quarantine restrictions,

viii. Strikes,

ix. Freight embargoes,

x. Unusually severe weather, or

xi. Delays of sub Contractors or suppliers at any tier arising from unforeseeable causes beyond the control and without the fault or negligence of both the Contractor and the sub

Contractors or suppliers; and

(2) The Contractor, within 10 days from the beginning of any delay (unless extended by the

Contracting Officer), notifies the Contracting Officer in writing of the causes of delay. The

Contracting Officer shall ascertain the facts and the extent of delay. If, in the judgment of the

Contracting Officer, the findings of fact warrant such action, the time for completing the work shall be extended. The findings of the Contracting Officer shall be final and conclusive on the parties, but subject to appeal under the Disputes clause.

(c) If, after termination of the Contractor's right to proceed, it is determined that the Contractor was not in default, or that the delay was excusable, the rights and obligations of the parties will be the same as if the termination had been issued for the convenience of the Government.

(d) The rights and remedies of the Government in this clause are in addition to any other rights and remedies provided by law or under this contract.