Attachment 4 - QASP.pdf

FOR INFORMATIONAL PURPOSES ONLY

ATTACHMENT 4

QUALITY ASSURANCE SURVEILLANCE

PLAN

DoDEA PACIFIC

SCHOOL TRANSPORTATION SERVICES

Okinawa, Japan

I. INTRODUCTION

1. This Quality Assurance Surveillance Plan (QASP) provides guidance and procedures to Government personnel responsible for surveillance of the contractor’s performance for work performed under Contracts for DoDEA Pacific. Its primary focus is to ensure:

That contractor compliance and/or failure to comply with the terms and conditions of the contract are systematically identified, accurately documented and reported in a timely manner;

That a basis is provided to support contract administration decisions regarding acceptance of services, payment for services, and evoking contractual remedies for failure by the contractor to perform as required; and, That the Government's interests in its business dealings with the contractor are protected and served.

2. Through responsible surveillance of contractor performance, utilizing the methods and procedures prescribed herein, the QASP serves as an effective mechanism to ensure acceptance of the level of quality of services required by contractual requirements. It comports directly with the contract’s Performance Work Statement (PWS), which identifies specific task requirements the Government will focus on during its inspection of services. The QASP is a stand-alone document internal to Government use and is provided to the contractor “For Informational Purposes Only.” The QASP is not a material or legally binding part of the contract itself.

The plan is developed on the premise that the Contractor, not the Government, is responsible for implementing effective management and quality control measures to ensure compliance with performance requirements.

Nonconformance with contract requirements is termed a “Deficiency”. The term “Deficiency” refers to performance of a service requirement that does not meet the associated contractual requirement defined in the contract’s PWS.

Inspection and acceptance of contractor services will be accomplished pursuant to the provisions of FAR Clause FAR 52.212-4 Contract Terms and Conditions – Commercial Items in the contract.

For services that do not conform to contract requirements, the Government may require the Contractor to re-perform to ensure conformity and acceptance at no increase in contract amount.

In the event substandard services cannot be corrected through re-performance the Government will require the contractor to:

-- To take necessary action to ensure that future performance conforms to contract requirements, or;

-- Reduce the contract price in accordance with the associated deduction allowed for in the Standard Deductions.

In the event substandard performance occurs, should the contractor fail to take the necessary action to ensure future conformance with contract requirements, or promptly re-perform services to an acceptable level, the Government may:

-- Have the services performed by other means and charge to the contractor any cost incurred, or;

-- Terminate the contractor for cause.

3. Suggestions for changes, additions and improvements to this QASP are encouraged and will be subject to final approval by the Contracting Officer (CO). Written or telephonic coordination for changes, supplementation or improvements may be initiated by the Contracting Officer’s Representative (COR) with concurrent information retained by the District Transportation Supervisor and the Student Transportation Office.

4. It is important to emphasize that quality control is the sole responsibility of the contractor; not the Government. The Government surveils and inspects the contractor’s performance for purposes of “Assuring” the level of quality of services agreed to in the contract are received. Hence, the Government is responsible for quality assurance.

5. The Government has the right under this contract to perform quality assurance at any time or place as long as it does not interfere with the progress of the work. This means the Government may conduct inspections at any point in performance including:

Inspection of materials prior to incorporation into the work, or, inspection of the contractor's preparations;

Inspection during the work process itself, especially where quality characteristics may not be obvious from simple visual inspection of the output; and, Inspection of the completed item or service.

6. There are essentially five elements to quality assurance:

The output, service, or requirement the contractor is obligated to perform by the PWS;

The requirements established by the PWS, whether relating to quality, timeliness, and/or other measures;

The quality assurance method, including the frequency of its application;

The documentation and reporting of results, including checklists, work sheets, summary forms, and contract discrepancy reports (CDRs); and, Follow-up to ensure any required corrective action has been taken by the contractor.

II. DEFINITIONS

Alternate Contracting Officer's Representative (ACOR) - This individual will be designated by the CO.

The ACOR is responsible for surveilling and inspecting contractor performance and providing written recommendation for acceptance of services. This individual shall have overall responsibility for the coordination of contractor performance in accordance with the performance work statement and any resulting task order that may be issued by the CO. Duties also include technical assistance to the CO and surveillance and compliance duties as further enumerated in this plan.

Contract - An agreement between the government and contractor enforceable by law.

Contract Administration - All interrelated activities with the purpose of ensuring contract terms and conditions are met by both the contractor and the government.

Contracting Officer (CO) - An official in a contracting office authorized by written appointment to enter into, administer, and terminate contracts and place delivery orders under contracts.

Contracting Officer's Representative (COR) - This individual will be designated by the CO. The COR is responsible for surveilling and inspecting contractor performance and providing written recommendation for acceptance of services. This individual shall have overall responsibility for the coordination of contractor performance in accordance with the performance work statement and any resulting task order that may be issued by the CO. Duties also include technical assistance to the CO and surveillance and compliance duties as further enumerated in this plan.

Inspection - Examination of services by Government personnel utilizing applicable inspection methodologies to determine conformance to contract requirements, terms, and conditions.

Quality Assurance (QA) - Actions taken by Government personnel, including inspection, to determine if the products/services delivered by the contractor meet the contract requirements. Quality assurance involves a broader range of activities than just inspection.

Quality Control (QC) - Actions taken by a contractor to ensure that the product or service delivered under the contract meets the contract requirements.

Performance Work Statement (PWS) is a Statement of Work (SOW) for Performance-Based Acquisitions that clearly describes the performance objectives and standards that are expected of the contractor. When a contract is awarded, the PWS is legally binding upon the contractor and the U.S. Government.

Surveillance - Quality assurance and other actions taken by Government personnel to determine contractor conformance and nonconformance with contract performance requirements. Surveillance is a broader term than inspection or QA because it encompasses the examination of the business as well as the technical aspects of the contract. However, the term "quality assurance surveillance" refers to those surveillance actions directly related to quality assurance.

III. QASP PROCEDURES

1. Quality Assurance Surveillance Schedule - The COR and/ or ACOR, as applicable, will develop internal monthly surveillance schedules in calendar format for Government use only based on key performance requirements in the PWS and inspection methodology established herein. End of month inspection reports documenting contractor performance will be provided quarterly to the DoDEA-HQ Procurement Office contract administrator and the District Transportation Supervisor (DTS).

2. Method of Inspection - The methods of inspection to be utilized, at Government discretion, to assure quality services are received under the contract are identified below. These methods are “Scheduled Inspection” and “Record of Customer Complaint.” Note that the Government reserves the right to unilaterally change its methods of inspection, and if accomplished, will promptly provide a copy of the revised QASP to the contractor for informational purposes:

Scheduled Inspection - The COR/ACOR will develop a monthly surveillance schedule in calendar format based on select requirements in the PWS. Table 1 provided with this QASP highlights select requirements for potential inspection. The COR/ACOR will complete and distribute each monthly surveillance schedule not later than the last workday of the preceding month beginning with the first month following the date of contract award. The COR/ACOR will send a signed copy of the schedule and any updates during the month to both the DoDEA HQ Procurement Office contract administrator and the District Transportation Supervisor (DTS). A signed copy of the completed monthly surveillance schedule to include any updates shall be retained in the COR file. Every page of the monthly surveillance schedule shall be marked “FOR OFFICIAL USE ONLY”. The surveillance schedule shall not be provided to the contractor in order to maintain the integrity of the process associated with quality assurance.

-- The COR/ACOR is responsible for selecting and scheduling routes and vehicles for inspection.

The COR/ACOR will utilize the Vehicle Quality Assurance Checklist as a guide for vehicle inspections.

-- Determination of various routes and vehicles for scheduled inspection is subjective. However, to provide consistent surveillance, and as a basis for comparing trends from month to month, the COR/ACOR will apply consistent criteria in selecting and scheduling routes and vehicles for scheduled inspection.

-- The COR/ACOR should vary routes, runs and vehicles to be inspected, so the same services or vehicles are not inspected every time and inspections do not follow an obvious pattern. Document the method used in scheduling inspections and apply it consistently from surveillance period to surveillance period so trends may be identified.

-- The COR/ACOR should schedule additional inspections for emphasis on known or suspected problem areas, plus to follow up on customer complaints. As needed, monthly surveillance schedules should be revised for additional inspections in problem areas. The COR/ACOR must establish a clear pattern of increased inspections to focus on problem areas, giving the contractor greater incentive to improve performance because known problem areas are being closely observed.

Record of Customer Complaint - At any time during the life of the contract, the COR/ACOR may receive customer complaints about the quality of services. The complainant or COR/ACOR should properly record all complaints. The COR/ACOR shall:

-- Investigate complaints as they are received to ensure they are valid and document the complaint on the form provided at Attachment 1; Record of Customer Complaint. Notify the contractor manager of any validated complaint and annotate the complaint form with the means, date, and time the contractor was notified. Retain validated complaint forms in the COR file.

-- Customer complaints are seldom used to reject a service. However, validated customer complaints can reinforce the accuracy of sample results. At the end of each month, count all validated complaints to determine if overall performance is acceptable or unacceptable. Forward a copy of each form to the CO’s with the COR/ACOR’s recommendation for further action, when necessary. When scheduled inspections also indicate unsatisfactory service, validated complaints may support seeking remedies other than or in addition to no payment for unacceptable services.

-- Customer complaints, like incidental COR/ACOR observations, may be the bases for scheduling follow-up observations under scheduled inspections, focusing attention on known or suspected problem areas. Revise or initiate scheduled inspection schedules as needed for emphasis on unsatisfactory areas of performance.

3. Documentation/Reports

a. Contractor Discrepancy Report:

A Contractor Discrepancy Report (CDR) is generally prepared by a COR to notify the contractor of a pending discrepancy of non-performance or failure to meet an objective. The purpose of a CDR is to allow the contractor to correct their discrepancy without interference from the Government. If the contractor fails to correct the discrepancy within the time given in the CDR, the CO has the option of elevating the issue. The COR will generate the CDR and forward directly to the assigned Contract Specialist (CS)/Contracting Officer (CO) within the DoDEA-E Procurement Division not later than the following business day. Upon receipt, the CS/CO will work jointly with the COR to ensure all information contained in the CDR is accurate, sufficient and credible. Once determined valid, sufficient and supportable the CS/CO will issue the CDR to the contractor the following business day. The Contractor will provide a written position in response to the CDR and return the document to the CS/CO within two (2) business days after receipt. The CO will render a final position of the CDR from the Contractor and issue the completed CDR to the Contractor. A copy will be provided to the COR with the original document being retained in the official contract file.

For every observed defect and validated customer complaint, the COR will initiate a CDR to document defects and track the steps taken to finalize the action. Fill in blocks 1-7 of the CDR as follows:

(1) Block 1: Enter the contract and current task order numbers.

(2) Block 2: Enter a CDR report number. Number CDR’s in sequence for each contract as defects occur. Maintain a log of CDR’s in report number sequence on a locally developed log which includes, as a minimum, the contract and task order numbers, the CDR report number, the date of defect, the dates sent to and received back from contractor, the date sent to DEPO, and the close-out date.

(3) Block 3: Enter the names of the contractor and contract manager.

(4) Block 4: Enter the COR’s name, title, and field office.

(5) Block 5: Enter Dates, prepared, and returned by contractor, action complete.

(6) Block 6: Describe the deficiency in detail; at a minimum, enter the date, time, bus route and run, CLIN, deficiency, and references in the contract specification.

(7) Block 7: The COR identified in Block 4 will sign representing the CO.

Table 1 below provides a list of select requirements within the PWS that represent areas of potential inspection in the Government’s surveillance of contractor performance. Note that the Government reserves the right to inspect any PWS requirement it deems necessary to ensure adequate and comprehensive surveillance of contractor performance.

Performance Objective

Performance Standard

AQL Inspection Method

Student Ridership Report

PWS 2.6.1.18

100%

Contractor will have reports readily available

Upon Request from COR or

KO

Accident/Incident Report

PWS 2.6.12

100%

Reports will be provided at the end of the next business day from accident/incident

As each Accident/Incidents Occurs

Background Checks

PWS 3.3.6

100% All contractor personnel should have a clean background check on file

Upon Request from COR or

KO

Deductions will be taken for non-compliance as stated in the PWS (Schedule Deduction). The CDR will explain the circumstances and findings concerning the incomplete or unsatisfactory service. The CDR will cite each discrepancy by PWS requirement as listed in the Performance Requirements Summary. The CO may take other actions as deemed appropriate. CDR procedures may change as directed by the CO.

Inspection of services will be conducted by the COR and/or ACOR primarily on a planned sampling and customer complaint basis. For planned sampling, the sample selected for surveillance may be randomly selected or may focus on service areas perceived as critical to the U.S. Government. In a few cases, 100 percent inspection is appropriate for specific one-time events. Incidental surveillance may be conducted while the Contractor is performing services under the contract. The COR and/or ACOR will verify customer complaints before recording defects in Contractor performance; this compliments the planned sampling surveillance method.

ATTACHMENT 1

RECORD OF CUSTOMER COMPLAINT

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

NAME SCHOOL CONTRACT REFERENCE PHONE NUMBER

NATURE OF COMPLAINT

INVESTIGATION

RESULTS OF INVESTIGATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

ATTACHMENT 2

CONTRACTOR DISCREPANCY REPORT

CONTRACT DISCREPANCY

REPORT

1. CONTRACT NUMBER 2. REPORT NUMBER FOR THIS DISCREPANCY

3. TO (Contractor and Manager's Name) 4. FROM (Name of QAE)

5. DATES (YYYYMMDD)

a. PREPARED b. RETURNED BY CONTRACTOR c. ACTION COMPLETE

6. DISCREPANCY OR PROBLEM (Describe in detail. Include reference to PWS Directive; attach continuation sheet if necessary.)

7. SIGNATURE OF CONTRACTING OFFICER

8a. TO (Contracting Officer) b. FROM (Contractor)

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE.(Cite applicable Q.C. program procedures or new Q.C. procedures. Attach continuation sheet(s) if necessary.)

10. SIGNATURE OF CONTRACTOR REPRESENTATIVE b. DATE

(YYYYMMDD)

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, reflection. Attach continuation sheet(s) if necessary)

12. GOVERNMENT ACTIONS (Reduced payment, cure notice, show cause, other)

13. CLOSE OUT

NAME

(1)

TITLE

(2)

SIGNATURE

(3)

DATE

(YYYYMMDD)

(4)

a. CONTRACTOR

NOTIFIED

b. QAE

c. ACO

ATTACHMENT 3

QUALITY ASSURANCE MONITORING FORM

QUALITY ASSURANCE MONITORING FORM

(If more space is needed, use reverse and identify by number)

1. CONTRACT/TASK

ORDER NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY

ASSURANCE

PERSONNEL

(COR)

SIGNATURE

AND DATE

5.

COR

PHONE

6.

SUSPENSE

DATE

I. SURVEILLANCE METHOD (check)

7. Random Sampling (CHECK

ALL BOXES THAT APPLY)

100% Inspection Periodic Inspection Customer Complaint Incidental Observation

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

9. NARRATIVE OF PERFORMANCE DURING

SURVEY PERIOD

10. SERVICE PROVIDER’S PERFORMANCE (check)

MEETS STANDARDS

DOES NOT MEET STANDARDS

SUPPORTING DOCUMENTS ATTACHED (e.g. Customer Complaint Form, Transportation Office Reports, Emails)

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE

CONCUR NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF

COR CITED DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS