Attachment 2 Upland Raptor Survey QASP.pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

Contents Project Name ................................................................................................................... Upland Raptor Survey Solicitation Number…………………………………………………………………………..1240LQ24Q0093 Section 1: Introduction

1.1 Purpose

1.2 QASP Relation to the Purchase order

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

4.0 Surveillance Methods

4.1 Analysis and Results

Appendix A: Performance Requirement Summaries Appendix B: Discrepancy Report Appendix C: Customer Feedback Record Appendix D: Inspection List Appendix E: Quality Assurance Monitoring Appendix F: Customer Complaint Investigation Appendix G: Surveillance Activity Checklist

Upland Raptor Survey 1240LQ24Q0093 San Juan National Forest Mancos-Dolores Ranger District

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Upland Raptor Survey Purchase order. This plan sets forth the procedures and guidelines that the USDA, San Juan National Forest, Mancos-Dolores Ranger District 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 Purchase order

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 the Contract, and the Contractor shall adhere to its established quality control processes and procedures in managing and performing work as described in the Purchase order. 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.

2.0 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 Purchase order 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 consider 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.

2.0.1 Allowable Deviation

The AQLs define the level or number of performance deficiencies the Contractor is permitted to reach under this Purchase order. AQLs consider 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).

2.0.2 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 Purchase order 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.

2.1 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 Purchase order 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.

2.1.1 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 Purchase order. A sample documentation reporting form is provided in Appendix B: Example Discrepancy Report. 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

2.1.2 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 Purchase order 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 Purchase order.

Implementing its QCP, which describes the Contractor’s methods for ensuring all products and services under the Purchase order 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 Purchase order compliance, Purchase order 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 Purchase order administration duties to an Administering ACO (ACO) and/or the COR for performance management and administrative actions such as invoice approval and issuance of Purchase order 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 administration, performance, surveillance and monitoring. Some key Purchase order administration duties include, but are not limited to, performs surveillance as required by this QASP; make recommendations to the CO for issuance of Purchase order 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 Purchase order modifications and preparing reports of Purchase order or 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’s 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 Purchase order requirements is to inspect the Contractor’s service products and analyze the results. Further, documented inspection results are an effective tool in Purchase order administration that can confirm the successful achievement of all performance requirements or highlight areas where defects exist, and improvements are necessary.

4.1.1 DISINCENTIVES FOR FAILRUE TO MEET STANDARDS

(a) Rework will be completed at Contractor’s expense.

(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.

4.1.2 PAYMENTS, REDUCTIONS & 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

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

Performance Objective

Required Task or Deliverable

Performance Standard Method of Surveillance

Positive/Negative Incentive % for NOT meeting the Task

Completion of WTS and BAS surveys (90% acceptable level of performance)

Data Collections Quality meets specifications (ESRI Survey 123 forms are properly filled out and GPS location information is provided)

Visual review of submitted data.

Rework required if contractor fails to meet standard. And/or payment reduction.

Rework required within 48 hours of identification.

Nest Identification (90% acceptable level of performance)

Nest Identification

Nest structures are properly identified as raptor nests

Visual Inspection of documented nest structures

Rework required if Contractor fails to meet standard.

Additional training for staff to provide correct identification. And/or payment reduction.

Rework required within 48 hours of identification.

Payments at 81 to 89% AQL If the unit cannot/will not be reworked to achieve the minimum required 90% AQL, payment of 90% of the unit price will be made for AQL falling between 80 to 89% AQL.

Payments below 80% AQL If the unit cannot/will not be reworked to achieve the minimum required 90% AQL, payment of 90% of the unit price times the actual AQL received will be made for AQL falling below 80% AQL.

Example - 75% AQL is achieved. Unit price is $10,000.00

10,000 x 90% = 9,000 x 75% = $6,750.00 price to be paid for unit.

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.

If rework of task(s) is required, the Contractor will be assessed the costs incurred by the Government in performing such activities. The table below lists charge rates for Government re-inspection of work.

Activity Charge rate

Government wages (per employee performing re-inspection) $50.00/hour

*Government mileage $0.58/mile

*Mileage reimbursement rate in effect January 1, 2019 is $0.58 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

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 Purchase order monitoring will result in one of the following outcomes:

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

(a) Rework will be completed at Contractor’s expense.

(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.

http://www.gsa.gov/travel/plan-book/transportation-http://www.gsa.gov/travel/plan-book/transportation-

Appendix A: Discrepancy Report

DISCREPANCY REPORT 1. DISCREPENCY REPORT NO.

2. TO: (Contractor / Project Manager Name) 3. FROM: (Name of COR)

PURCHASE ORDER 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 B: Customer Feedback Record

CUSTOMER FEEDBACK RECORD

DATE AND TIME OF COMPLAINT PURCHASE ORDER 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 C: Guide / Inspection List

PURCHASE ORDER 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 D: Quality Assurance Monitoring

PURCHASE ORDER 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):

r Monthly r Quarterly r 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):

r Meets Standards r Does Not Meet Standards

Narrative of Performance During Survey Period:

Prepared By: Date:

Appendix E: Customer Complaint Investigation

PURCHASE ORDER 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 F: Surveillance Activity checklist

Performance Requirement

Performance Standard

Method of Measurement

Performance Metrics

Method of Surveillance

Date Accomplished

Compliance (Exceed, Met, Partial Met)