Attach 5. - Draft Quality Assurance Surveillance Plan.pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

DRAFT

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

2.2 Non-Performance

2.2.1 Documentation

2.2.2 Remedial Actions

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility ....................................................................................................................................................... 4s

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

3.2.2 Contracting Officer Representative (COR)

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

4.2 Deduction Methods

4.3 Analysis and Results

Appendix A: Performance Requirement Summary

Appendix B: Discrepancy Report

Appendix C: Employee Feedback Record

Appendix D: Quality Assurance Monitoring

Appendix E: Surveillance Activity Checklist

Project Name Saucier Grounds Maintenance

Solicitation / Contract Number 1144901

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the statement of work statement (SOW) entitled Sau Janitorial. This plan sets forth the procedures and guidelines that the USDA, Southern Research Station, 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 methods used to assess the Contractor’s performance. The Government reserves the right to perform assessments more or less often than outlined in this QASP.

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 SOW, the SOW 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.

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

Deviation from an AQL may be acceptable if there is a verified building or weather safety issue.

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

The COR will maintain a quality assurance file. The file will contain all reports, evaluations, recommendations, and any actions related to quality assurance, including the originals of all surveillance activity checklists. All such records will be retained for the life of this contract. The COR must forward these records to the contracting officer at termination or completion of the contract.

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 services in accordance with the contract. Implementing its QCP, which describes the Contractor’s methods for ensuring all 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 Program Manager 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 will use the forms included in the Appendices to perform the inspection or other forms, such as a Microsoft form as approved by the CO. The Contractor overall guidance is also provided by FAR clause 52.212-4(a) of the contract.

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

The Government will evaluate the Contractor’s performance under this contract. The PRS is provided in Appendix A. The COR will keep a record of surveillance activities in the Surveillance Activity Checklist in Appendix E. The surveillance methods may include:

4.1.1 Monthly Inspections

4.1.2 Random Inspections

4.1.3 Review of Contractor’s Quality Control documentation

4.1.4 Employee Feedback

4.2 Deduction Methods

The AQL for grounds maintenance is no more than three defects a month for tasks listed in the SOW. After three defects there will be a deduction in payments to the Contractor for that task. Upon notice of the defect(s), the contractor will be given 24 hours to correct prior to a deduction being taken. For each day the defect remains after 24 hours, the contractor will have a 1/30 deduction at the rate for the SOW task.

4.2.1 Example:

1. Four defects for SOW task 3.3.2 were reported.

2. On the fourth defect Contractor was notified on May 1 and they did not correct it till May 4. The deduction is three days.

3. If PWS tasks 3.3.2 monthly rate is $400, then the deduction would be 1/30 of $400 per day the defect remains uncorrected.

4. The deduction in this example would be $40 (1/30 x 400 x 3).

4.3 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:

4.3.1 Outstanding Performance

Outstanding performance is the result of the Contractor substantially exceeding the performance standards with significant achievements and no significant deficiencies. The Government may reduce its level of surveillance when the COR determines that the Contractor provides sustained performance that significantly exceeds the requirements with no significant deficiencies.

4.3.2 Excellent Performance

Excellent performance is the result of the Contractor meeting the performance standards with significant achievements and no significant deficiencies with minimal complaints that are immediately addressed and corrected.

4.3.3 Satisfactory Performance

Satisfactory performance is the result of the Contractor meeting most performance standards with achievements and minor deficiencies. The Government may increase its level of surveillance when the COR determines that the Contractor provides a pattern of decreased performance that leads to an increase in deficiencies.

4.3.4 Unsatisfactory Performance

Unsatisfactory performance is the result of the Contractor failing to meet performance standards and major deficiencies.

Appendix A: Performance Requirement Summary

PERFORMANCE REQUIREMENT SUMMARY

Performance Objective Performance Threshold Method of

Surveillance

Basic Maintenance Services 95% of all facilities are without customer complaints for the month

Random Sampling and Customer Complaint

Pick up of debris, limbs, or trash each mowing.

Random sampling of inspection reports by COR

Random Sampling and Customer Complaint

Mowing around the HEF/SIFG campus buildings, and grounds twice monthly. All clippings and trimming in this area MUST NOT have any blown materials thrown towards buildings, parked vehicles, HVAC units, or scientific instruments. This is a Critical Element as to how to mow/blow.

The COR will provide the specifics on site as to not disrupt the scientific data.

100% of work must been done correctly in this area.

Random Sampling and Customer Complaint

Mow and maintain the grasses on the HEF/SIFG campus in a manner to continually maintain a height range of a minimum of 3.5 inches and maximum of 4.5 inches during the growing season (April through October). Clippings on lawn areas should be removed when there is such a concentration of clippings the life of the plants are in danger. Grass cutting shall be accomplished in a manner such that it is free of scalping rutting, bruising, and uneven and rough cutting. Contractor mower blades are to be sharp to provide a high-quality cut. 100% of work must been done correctly in this area.

Random Sampling and Customer Complaint

All clippings are to be removed from sidewalks, parking areas, curbs, and all entrances to buildings immediately the day of mowing, trimming, and edging. 100% of work must been done correctly in this area.

Random Sampling and Customer Complaint

Edging and trimming shall be accomplished concurrently with grass cutting operations.

Edging of sidewalks and other paved surfaces, and around other cultivated areas is to be accomplished to match the height and appearance of surrounding vegetation.

Edging is to be accomplished in a manner such that it is free of scalping, rutting, bruising, uneven and rough cutting. Edging shall include removal of vegetation from cracks in sidewalks, driveways, parking areas, and curbs. Trees, plants, and shrubs shall not be damaged by trimming operations. If damage the Contractor will replace or repair within 48 hours at no additional cost to the customer. 100% of work must been done correctly in this area.

Random Sampling and Customer Complaint

Performance Objective Performance Threshold

Periodic Maintenance Services 95% of all facilities are without customer complaints for the month

Random Sampling and

Customer Complaint

Keep all sidewalks and driveways and paved parking areas weed free. Contractor will remove and control weed growth in hedges, and plants around buildings, and parking areas; utilizing an approved and safe herbicide or other eradiation treatment, physical removal by hand, or with garden tools. Herbicides should follow all local, state and federal regulations and are to be followed when applying pesticides.

However, NO SPRAY should be used in the area around the greenhouses and growing area where research materials are being grown.

100% of work must been done correctly in this area. Random Sampling and Customer Complaint

Appendix B: Discrepancy Report

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: Employee Feedback Record

EMPLOYEE FEEDBACK RECORD

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR PROJECT:

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

SNATURE 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: Quality Assurance Monitoring

CONTRACT NUMBER:

SERVICE or STANDARD:

SURVEY DATE:

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):

Outstanding Performance

Outstanding Performance

Satisfactory Performance

Unsatisfactory Performance

Narrative of Performance During Survey Period:

TOTAL DEFFECTS (if applicable):

Prepared By: _______________________________ Date: ______________

Appendix E: Surveillance Activity Checklist

Performance Requirement

Performance Standard

Method of Measurement

Performance Metrics

Method of Surveillance

Date Accomplished

Compliance (Yes/No)