ATCH-2_1240BE24Q0115_MAL_QASP.pdf

1240BE24Q0115_MAL_QASP

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

Road Maintenance Service for the Malheur National Forest

Solicitation: 1240BE24Q0115

Contract: TBD

Contents Project Name Solicitation / Contract Number 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 Customers

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

4.2 Analysis and Results

Appendix A: Maintenance Standards and Quality Levels Appendix B: Example Discrepancy Report Appendix C: Customer Feedback Record Appendix D: Example Guide / Inspection List Appendix E: Example Quality Assurance Monitoring Appendix F: Example Customer Complaint Investigation Appendix G: Example Surveillance Activity Checklist

Project Name BMRD Road Maintenance Service for the Malheur National Forest

Solicitation / Contract Number Solicitation 1240BE24Q0115 Contract Number: TBD

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled road maintenance activities on Forest Service roads. The total mileage for base work is 130.8 miles, and total mileage for optional work is 194.19 miles of surface maintenance. This plan sets forth the procedures and guidelines that the Malheur 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 SOW. 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 SOW, 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 SOW, 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 SOW requirements.

2.1 Performance Standards and Acceptable Quality Levels (AQLs) For selected activities in the SOW, 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 takes 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. 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 SOW 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.

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.

4.1.a 100 Percent Inspection The 100 percent inspection method requires complete inspection each month and will be used for critical contract requirements.

4.1.b Performance Standards and AQLs Calculating Acceptable Quality Level, AQL: Acceptable quality levels AQL will be calculated by dividing the number of acceptable occurrences observed by the number of possible occurrences observed. For example: Paragraph 3.2 in month one the COR observed 20 janitorial services. Of the 20 observed services, 18 were satisfactory. 18 satisfactory observations divided by 20 possible observation equals 0.9 or 90%. Additionally the density and types of defects per mile shall not exceed the allowable defects per mile as listed in specification 811 chart on page 9 and 10.

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. Analysis of all types of contract monitoring will result in one of the following outcomes:

Performance Rating

Criteria

Exceptional

Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated 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 were 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.

Appendix A: Maintenance Standards and Quality Levels

811 SURFACE MAINTENANCE

811.01

Service Required

Smooth and shape native or aggregate surfaced roads including traveled way, shoulders, turnouts, and intersections. Reshape or recondition ditches, water bars, and drain dips.

811.02 Performance Standards

A. Maintenance Level 4 and 5 Roads

A road surface is maintained to standard when the travel way is free of washboards, potholes, or other irregularities. The surface is smooth, compact, crowned or sloped to drain, without segregation of the surfacing materials. Suitable materials have been recovered and incorporated. Unsuitable materials have been removed.

Ditches and road surface drainage structures function efficiently. Unpaved shoulders are shaped to provide a smooth transition from the paved surface and drain efficiently.

B. Maintenance Level 3 Roads

A road surface is maintained to standard when the surface is compact, crowned, or sloped to drain, without segregation of the surfacing materials. The road surface has no ruts or rills, suitable materials have been recovered and incorporated.

Unsuitable materials have been removed. Ditches and road surface drainage structures function efficiently.

C. Maintenance Level 2 Roads

A road surface is maintained to standard when the surface is shaped to drain, and where ditches and road surface drainage structures function efficiently. The road surface has no continuous ruts or rills, and no large concentrations of unsuitable materials remain.

D. All Roads

When ordered by the Contracting Officer to work in a weed infested area the contractor will be required to prevent spreading the infestation into un-infested areas by cleaning vehicles and equipment. The contractor will use wash stations approved by the Contracting Officer.

811.03

Location of Work

As specified on roads listed on the road listing, shown on the plans, marked on the ground, or as ordered by the Contracting Officer. Locations of weed infested areas are marked on the ground. Do not operate in the weed infested areas unless ordered to do so by the Contracting Officer.

811.04 Measurement

Measurement under this Section will be made by the total number of units for each item listed in the SCHEDULE OF ITEMS completed and accepted.

A. Single Lane Roads: Surface maintenance will be measured along the centerline of the roadway. Turnouts are incidental. Measurement will be to the nearest one-tenth (0.1) mile.

B. Double Lane Roads: Surface maintenance will be measured along the centerline of the roadway. Measurement will be to the nearest one- tenth (0.1) mile.

C. Road Mile: Work activity will be measured along the centerline of the road regardless of the number of lanes.

811.05

Payment

The accepted quantities will be paid at the contract price per unit of measurement for the Section 811 pay items listed in the schedule of items. Payment will be full compensation for the work prescribed in this Section.

Pay Item Pay Unit

811(1) Surface Maintenance Level 4 & 5 roads Single Lane Mile 811(2) Surface Maintenance Level 4 & 5 roads Double Lane Mile 811(3) Surface Maintenance Level 3 roads Single Lane Mile 811(4) Surface Maintenance Level 3 roads Double Lane Mile 811(5) Surface Maintenance Level 2 roads Single Lane Mile 811(6) Surface Maintenance Level 2 roads Double Lane Mile

811(7) Shoulder Maintenance Road Mile

Description Major Minor Allowable Defects Required Action Defect Defect Major Minor Major Minor

Surface Irregularities (Level 4&5)

Potholes greater than 2" deep and wider than 1 foot

Potholes 2" or less deep and 1 foot or less wide 0 per mile 1 per mile

Rework if greater than 0 major defects

Rework if greater than 1 minor defects

Washboards greater than 1" deep

Washboards 1” or less deep and not exceeding 20 feet long

0 per mile

1 per mile

Rework if greater than 0 major defects

Rework if greater than 1 minor defects

Surface Irregularities (Level 3)

Potholes greater than 2" deep and wider than 1 foot

Potholes 2” or less deep and 1 foot or less wide 1 per mile 3 per mile

Rework if greater than 0 major defects

Rework if greater than 3 minor defects

Washboards greater than 1" deep

Washboards less than 1" deep and not exceeding 20 feet long

1 per mile

3 per mile

Rework if greater than 0 major defects

Rework if greater than 3 minor defects

Road Cross Section (Level 4&5)

Crown or Cross Slope is not uniform and does not drain as specified on more than 250' of surface per mile

Crown or Cross Slope is not uniform and does not drain as specified on less than 250' of surface per mile

1 per

Rework

Rework if greater than 1 minor defects *

(Level 3)

Crown or Cross Slope is not uniform and does not drain as specified on more than 250' of surface per mile

Crown or Cross Slope is not uniform and does not drain as specified on less than 250' of surface per

2 per than 2 minor defects *

(Level 2)

Road surface does not drain properly and causes erosion, or obstructs high clearance vehicles

Road surface does not drain properly, but does not cause erosion

3 per than 1 major defects than 3 minor defects

Oversized Material (Level 3&4 aggregate surfaced roads)

Material greater than 3" diameter remaining on the road surface

Material less than 3" diameter remaining on the road surface and traffic safety is not compromised

Rework if greater than 0 major defects

Rework if greater than 2 minor defects

Oversized Material (Level 2)

Objects in traveled way that obstruct high clearance vehicles

Debris in traveled way that may impede high clearance vehicles

Description Major Minor Allowable Defects Required Action Defect Defect Major Minor Major Minor

Aggregate Surface Quality

Gradation of surface aggregate is degraded by more than 10 %

Gradation of surface aggregate is degraded by less than 10 %

1 per unit

Rework Rework if greater

A loss of more than 10 CY/mile

A loss of less than 10 CY/mile 0 1 per unit Replace or recover lost material Accept the loss of material surfacing is segregated over more than a 100 square yard area per 1000 linear feet of road and traffic safety is compromised surfacing is segregated over less than a 100 square yard area per 1000 linear feet of road and traffic safety is not compromised

N/A

Accept the loss of surface quality*

Backslopes

Undercut backslope will result in destabilization of slope

Undercut backslope will not result in destabilization of slope

1 each

Repair and Stabilize Revegetate if greater

Compaction

Visible displacement occurs under hauling, spreading equipment, or water tender

Ditches and Road Drainage Structures

Impeded flow or water diverted out of drainage structures

< 20% impeded, but water will stay in the channel

0 2 per

Rework Rework if greater

Unpaved Shoulders (Level 3, 4, & 5)

Elevation difference between pavement and shoulder is greater than 1"

Elevation difference between pavement and shoulder is less than 1"

5 per mile

Rework Rework if greater than 5 minor defects

Material greater than 1/4" diameter remaining on the road surface

Material 1/4" diameter or less remaining on the road surface and traffic safety is not compromised

5 per mile

Rework Rework if greater than 5 minor defects

Does not drain away from pavement

Does not drain away from pavement

0 0 Rework Rework

Working outside of project limits

Area contains invasive weeds

Repair and treat affected areas as directed by the

Contracting Officer

Appendix B: Example Discrepancy Report The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

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 SIGNATURE DATE

COR

Appendix C: Customer Feedback Record The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

CUSTOMER FEEDBACK RECORD

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR PROJECT:

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE

VALIDATION

DATE AND TIME CONTRACTOR INFORMED OF COMPLAINT NAME OF CONTRACTOR REPRESENTATIVE INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer):

RECEIVED AND VALIDATED BY

Determination: Complaint Valid Complaint Invalid

Appendix D: Example Guide / Inspection List The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

CONTRACT NUMBER: ___________________________________

SERVICE FUNCTION:

PWS SECTION:

1 Method of Surveillance:

2 Lot Size:

3 Sample Size:

4 Performance Requirement: Performance is Excellent (E) when ___________or fewer defects are discovered per month. Performance is Satisfactory (S) when ________ or fewer defects are discovered per month. Performance is Unsatisfactory (U) when _______ or more defects are discovered per month.

5 Sampling Procedure: Instructions on how to select the sample must be clear and complete

6 Inspection Procedure: The procedure must be detailed enough to allow a yes/no objective decision as to the acceptability of performance by anyone making the inspection. Explain when evaluation is to occur and what is acceptable/unacceptable

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

PRS Requirements Timeliness Quality of Work Notes

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

COR/Inspector Comments:

Contractor Signature: ___ Date: __

COR Signature: ____________________Date: _________________

Appendix E: Example Quality Assurance Monitoring The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

CONTRACT NUMBER: ______________________________________

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check the applicable item):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check the applicable item):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check the applicable item):

Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

Prepared By: _______________________________ Date: ______________

Appendix F: Example Customer Complaint Investigation The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

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: Example Surveillance Activity Checklist The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

Performance Requirement

Performance Standard

Method of Measurement

Performance Metrics

Method of Surveillance

Date Accomplished

Compliance (Exceed, Met, Partial Met)