ATTACHMENT 8_QASP.pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

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: Example Performance Requirement Summaries Appendix B: Example Discrepancy Report Appendix C: Customer Feedback Record Appendix D: Example Guide / Inspection List ............................................................................................. Error! Bookmark not defined.

Appendix E: Example Quality Assurance Monitoring Appendix F: Example Customer Complaint Investigation Appendix G: Example Surveillance Activity Checklist ................................................................................. Error! Bookmark not defined.

Project Name US Forest Service (USFS) Southwestern Region Toilet Pumping and Wastewater Services BPA Contract

Solicitation / Contract Number

127EAV23R0001

1.0 Introduction

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the statement of work of this contract. This plan sets forth the procedures and guidelines that the USDA, USFS Southwestern Region 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 Statement of Work. 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 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.

2.0 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 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 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

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 as attachment 11.3 USFS Task Order Form, 11.4 Template List, and attachment 11.5 Basic Inspections form. 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 PWS and PRS.

3.0 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 an Administering CO (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. The Contractor overall guidance is also provided by FAR clause 52.212-4.

3.2.3 Customers

Insert this Section if applicable 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.

4.0 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.

Explain how the PRS method of surveillance will be measured.

Included in the attachments are form 11.3 USFS Task Order Form, 11.4 Template List, and 11.5 Basic Inspections Form, all documents will be methods to determine contractor compliance. In addition, the time it takes for the contractor to deliver the service requested by each of the units is listed in the Statement of Work: Contractor must provide services listed in each task order issued within 10 days from the date of the issued task order. For Emergency or single services, contractor must provide services within 48 hours of the date listed on each task order issued.

Surveillance Methods See Appendix A for Surveillance methods for each task associated.

4.2 Analysis and Results

When the inspections, pumping services, basic 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:

4.2.1 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.

4.2.2 Satisfactory

Satisfactory performance is the result of the Contractor meeting 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 satisfactorily meets the requirements with little to significant deficiencies.

4.2.3 Unsatisfactory

Unsatisfactory performance is the result of the Contractor does not meet the performance standards and has significant deficiencies. The Government may increase its level of surveillance when the COR determines that the Contractor does not provide sustained services in accordance with the performance requirements.

Appendix A: Example Performance Requirement Summaries The following documents are to be used in the QASP. Note: Appendix B – E may be used in conjunction with any or all of the performance requirements listed below.

PERFORMANCE REQUIREMENT SUMMARY

Performance Requirement

Number

Performance Task (PWS Reference)

Performance

Indicator

Performance Standard

Acceptable Quality Level

(AQL)

Method of Surveillance

Date Accomplished

Compliance

Timeliness: Delivery of Services

Services delivered on time and within allotted time frame for completion.

Services must be delivered 10 days from the date of the issued task order. For Emergency or single services, contractor must provide services within 48 hours of the date listed on each task order issued.

100% of all deliveries on time and in compliance with time requirement.

Inspection of Monthly Sales and Delivery Report.

See Appendix D for an Example Quality Assurance Monitoring form.

Upon completion of each task order issued.

Levels of compliance:

Outstanding, Satisfactory, Unsatisfactory

Payment

Contractor must be able to accept credit cards, registered in the SAMS database with a DUNS number to expedite payment.

Payment methods 100% Upon receipt of each transaction/task order completed.

Upon completion of each task order issued.

Levels of compliance:

Outstanding, Task 1.) Pumping services

Pump 100% of holding cell contents and deliverable to appropriate wastewater treatment plant.

Inspection by the issuing forest unit.

90% of all pumping services must be 100% pumped out completely. This is to account for some trash that cannot be removed from vaults without extraneous effort to remove it.

After issuance of each task order, forest unit will verify toilet contents have been removed appropriately. See Appendix B:

Example Discrepancy Report

Upon completion of each task order issued.

Levels of compliance:

Outstanding, Task 2.) Basic Inspections

Basic inspection tasks shall be completed as described and included in the statement of

Receipt of documentation of inspection.

90% of all deficient items shall be captured by the contractor.

Forest issuing task order shall receive documentation and upload it into an appropriate electronic file for submission to the COR Monthly.

Upon completion of each task order issued.

Levels of compliance:

Outstanding, work and documentation shall be provided as provided for the contractor in attachment 11.5.

Task 3.) Cleaning

Listed in the Statement of Work are the tasks associated with cleaning toilet facilities.

Visual observation Restrooms shall be cleaned to 90% of the listed items in the statement of work.

Forest unit will inspect randomly, 1 toilet per group of toilets listed per each task order to determine acceptable quality levels of cleanliness.

Upon completion of each task order issued.

Levels of compliance:

Outstanding, Task 3.) Cleaning

Utilizing government furnished toilet paper and communicating with each forest unit to ensure that toiletry is properly filled in each restroom serviced.

Good repour with each forest unit. Ease of communicating and working with contractor/USFS forest unit.

95% of the time it shall be a positive experience to work with the contractor.

Flexibility and communication are key to this relationship.

Conversations with the forest until requesting the order and with the contractor. For Discrepancies, see Appendix C below for form to be completed.

Upon completion of each task order issued.

Levels of compliance:

Outstanding, Forms – Attachments 11.3, 11.4, & 11. 5

Completion of each of the forms as required by each task order issued.

Forms must be submitted prior to payment. Forms must be filled out to the maximum extent possible for each task issued.

80% - Because filling out the forms will be a subjective inspection, where the contractor will tell us what is wrong with the site.

See Appendix E for Customer Complaint form.

The Forest Unit will spot check at least 1 contractor completed inspection form, within each cluster of systems included on each task order issued.

Upon completion of each task order issued.

Levels of compliance:

Outstanding, Appendix B: Example Discrepancy Report The following document 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 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 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:

Depending on the number of sites in each task order, randomly survey 1 facility per task order at a minimum ____

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

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

Outstanding

Satisfactory

Narrative of Performance During Survey Period:

Prepared By: _______________________________ Date: ______________

Appendix E: 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: _________________