ATTCH 4 20R2005 QASP.pdf

HE1254-20-R-2005 Attachment 4

FOR OFFICIAL USE ONLY

U. S. DEPARTMENT OF DEFENSE DEPENDENTS SCHOOLS-EUROPE

STUDENT TRANSPORTATION SERVICES (STS) PROGRAM

QUALITY ASSURANCE SURVEILLANCE PLAN

I. INTRODUCTION

1. The quality assurance surveillance plan (QASP) is a U.S. Government living document that details the various functions, including inspection, performed by the Government to determine whether a contractor has fulfilled the contract obligations pertaining to quality and quantity. Therefore, this plan establishes guidance and procedures for Government personnel responsible for quality assurance inspection and surveillance of contractor’s performance and delivery of services under DoDEA-Europe

Student Transportation Services (STS) programs.

2. Plan Objectives.

a. Ensure that contractor performance fully meets student bus transportation requirements and standards as detailed in the contract’s performance work statement (PWS).

b. 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.

c. Ensure that contract administration decisions regarding acceptance of services, payment for services, or application of contractual remedies for failure by the contractor to perform are substantiated and documented.

d. Ensure that the US Government’s interests in its business dealings with the contractor are protected and served.

3. 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.

a. The plan is grounded on the premise that “quality control” is the sole responsibility of the contractor, not that of the Government. That means that the contractor shall implement and carry out active measures to ensure compliance with performance requirements and standards. Conversely, Government inspects and surveys the contractor’s performance and delivery of services mainly to

“assure” the level of quality of contractor performance and service delivery specified in the contract is being or has been received.

b. Non-compliance with contract requirements is termed a “deficiency”. The term “deficiency” refers to performance of a service that does not meet its associated contractual requirements and standards as specified in the contract PWS.

c. Inspection and acceptance of contractor services is carried out pursuant to the provisions of

FAR clause 52.212-4, Contract Terms and Conditions – Commercial Items, as referenced in the contract.

d. If the Government’s quality assurance inspection and surveillance of contractor performance finds a service that does not conform to contract requirements, the Government may require the contractor to re-perform the service to bring it into conformity and acceptance at no increase in the amount specified by its contract line item number. In the event a service found to be non-compliant cannot be corrected through re-performance, the Goverment will require the contractor to take action necessary to ensure that future performance conforms to contract requirements.

e. Should the contractor, when directed, fail to re-perform a substandard service promptly to bring it into conformity and acceptance, or fail to take prompt action necessary to ensure future conformance with contract requirements in the case of a service that cannot be corrected through re-performance, the Goverment may:

(1) Perform, or arrange to have performed, the service in question by other means and charge to the contractor any costs incurred.

(2) Terminate the contractor for cause.

4. The Goverment has the unilateral right under the contract to perform quality assurance inspection and surveillance at any time or place as long as it does not interfere with the progress of the work.

Accordingly, the Goverment may conduct inspections at any point including:

a. Inspection of materials prior to incorporation into the work or inspection of the contractor's preparations.

b. Inspection during the work process itself, especially where quality characteristics may not be obvious from simple visual inspection of the output.

c. Inspection of work or service.

5. Five elements comprise the quality assurance process.

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

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

c. The quality assurance method including the frequency of its application.

d. The documentation and reporting of results, including checklists, work sheets, summary forms and contract discrepancy reports (CDR).

e. Follow up to ensure any required corrective action has been taken by the contractor.

II. QUALITY ASSURANCE INSPECTION AND SURVEILLANCE PROCEDURES

1. Schedule and Requirements — DoDEA-Europe’s Contracting Officer’s Representative (PM/COR) will plan inspection and surveillance requirements and schedules, and organize and direct completion by

DoDEA-Europe field personnel. In the interests of maintaining integrity of the inspection and surveillance process and credibility of results, inspection and surveillance of contractor personnel performance and delivery of services neither are announced to the contractor in advance of execution, nor is the contractor informed in advance of the subject-matter areas that will be inspected or surveyed.

2. Method of Inspection and Surveillance — The principal method is planned and unplanned, periodic inspection and surveillance to determine whether the contractor is performing tasks or services required by the PWS and whether the level of performance meets the requirements and standards specified in the PWS.

3. Scope, Requirements and Procedures.

a. When circumstances so require, the PM/COR may adjust or postpone scheduled inspection and surveillance to account for such events as adverse weather, school cancellations or early dismissal or other impinging circumstances. Such adjustments or postponements are the exception, with every effort made to carry out scheduled inspection and surveillance as planned.

b. The PM/COR may also direct ad hoc or additional inspection and surveillance to explore known or suspected problem areas that arise independently, or to follow up on contractor remedies of such problems when they coincidently arise.

4. Reporting Procedures.

a. The PM/COR will collect and report results of inspection and surveillance. Such reports will be furnished to the Contracting Officer, with copy to the Contract Specialist, by the seventh (7th) business day of the month following the month in which the inspections and surveillance were carried out.

b. When inspection and surveillance identify apparent deficiencies or problem areas that require contractor review and explanation, the PM/COR will at that time draft and submit a CDR to the

Contracting Officer for referral to the contractor.

c. 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.

III. PERFORMANCE REQUIREMENTS SUMMARY [FOR USG USE]

1. The Performance Requirements Summary (PRS) lists performance objectives/services that will be monitored during the term of the contract. The PRS also lists the surveillance method that will be used during monitoring, as well as the performance standards and Acceptable Quality Levels (AQL), and the remedies for non-compliance that are available if the Contractor fails to perform at the acceptable quality level. The PRS is used to create the Quality Assurance Surveillance Plan (QASP).

2. The standards identified the PRS are intended to be consistent with the Contract terms and conditions and the PWS, and are not meant in any case to create, extend, revise, or expand any obligation of the Contractor beyond that defined in the Contract terms and conditions and PWS. In any case of apparent inconsistency between the standards as stated in the Contract terms and condition, the PWS, and the PRS, the Contract terms and conditions and the PWS shall prevail.

3. The goal is to maintain reliable and consistent delivery of services to ensure safe student transportation from home to school and return. If the Contractor’s performance does not meet the acceptable quality level, the Government may apply any or all of the remedies for non-compliance as stated below.

Quality

Objective

Standards or

Performance

Requirements

Acceptable

Quality Level

(AQL)

Method of

Surveillance

Incentive/Remedy

Transportation

Objective

Objectives 1 – 4 [PWS

2.1, 2.2, 2.3, and 2.4]

98%

Compliance

Planned Sampling/

Validated Customer

Complaint

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

Reporting

Objective

PWS 2.1, 2.2, 2.3, 2.4,

and 3.5

No more than 1 late per month

Planned Sampling/ meeting suspense date

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, Quality

Objective

Standards or

Performance

Requirements

Acceptable

Quality Level

(AQL)

Method of

Surveillance

Incentive/Remedy document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

Security

Objective

PWS 3.1 100%

Compliance

Planned Sampling/

Validated

Customer

Complaint

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

Safety

Objective

PWS 3.1 & 3.2 100%

Compliance

Planned Sampling/

Validated Customer

Complaint

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

Vehicle

Standards

Objective

PWS 3.3 100%

Compliance

Planned Sampling/

Validated Customer

Complaint

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

Personnel

Standards

Objective

PWS 3.4 98%

Compliance

Planned Sampling/

Validated Customer

Complaint

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

Accident /

Incident

Objective

PWS 3.5 98%

Compliance

Planned Sampling/

Validated Customer

Complaint

If contractor performance does not meet the acceptable quality level, the Government will issue a contract discrepancy report, document the Contractor

Performance Assessment Report for non-compliance, and/or may terminate the contract for cause.

4. Surveillance Methods

a. 100 Percent Inspection: Under this method, performance is inspected/evaluated for acceptance

IAW the commercial terms (REF: 52.212-4a) at each occurrence or delivery.

b. Periodic Inspection: Under this method, sometimes called “planned sampling,” performance is inspected/evaluated on specific dates or according to time intervals.

IV. TERMS OF REFERENCE

1. Contract — An agreement between the Government and contractor enforceable by law.

2. Contract Administration — A set of inter-related procedures and activities whose purpose is to ensure the contract’s terms and conditions are met by both the contractor and the DoDEA-Europe.

3. Contracting Officer — An official authorized by U. S. Government warrant to enter into, administer and terminate contracts and place delivery orders under contracts.

4. Contracting Officer's Representative (COR) — An official appointed by the Contracting Officer who is responsible for planning, scheduling and conducting inspection and surveillance of contractor performance and delivery of services, and recommending acceptance or non-acceptance of services delivered by the contractor. The COR has responsibility overall for coordinating contractor performance and delivery of services in accordance with the contract statement of work and task orders issued by the

Contracting Officer.

5. Inspection — Examination of the product of the contractor’s delivered services by DoDEA-Europe personnel under the direction of the Contracting Officer’s Representative to evaluate contractor conformance with contract requirements, terms and conditions.

6. Performance Work Statement (PWS) — A statement of work for performance-based acquisitions that describes the required results in clear, specific and objective terms with measurable outcomes. It establishes and sets forth performance requirements and standards, management and technical, the contractor shall meet. The PWS may include technical exhibits essential to the contractor’s performance and delivery of services.

7. Surveillance — Active measures taken by DoDEA-Europe personnel to observe contractor performance and delivery of services at the time the contractor carries out the tasks and associated actions, for the purpose of evaluating contractor conformance with contract and PWS requirements and standards. Surveillance differs from inspection in its methodology, meaning that the former observes and evaluates contractor performance and delivery of services in the real-time setting as they occur, versus the latter that is largely after the fact product examination.

8. Quality Assurance — The body of procedures and actions taken by DoDEA-Europe personnel to determine whether the contractor’s performance overall and the product of services delivered as a whole meet contract requirements. Quality assurance involves a broader range of activities than just inspection and surveillance. Quality assurance is the sole province of DoDEA-Europe.

9. Quality Control — The body of procedures and actions taken by the contractor to ensure that its performance overall and the product of its delivered services as a whole meet contract requirements.

Quality control is the sole province of the contractor.