B08b_Attachment_1_-_Exhibit_1_-_Quality_Assurance_Surveillance_Plan_-_WWI_Memorial.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

National Park Service (NPS) National Mall and Memorial Parks (NAMA)

WWI Memorial

Rev. 0322

Quality Assurance Surveillance Plan World War I Memorial

Page i QASP Controlled Document Approved: draft Rev. 0322

TABLE OF CONTENTS

1. INTRODUCTION

2. OBJECTIVE

3. REVISION TO THE QASP

4. HOW TO USE THE QUALITY ASSURANCE SURVEILLANCE PLAN

5. PERFORMANCE REQUIREMENT SUMMARY (PRS)

6. METHODS OF SURVEILLANCE

6.1 Random Sampling

6.2 Planned Sampling

6.3 Unsatisfactory Inspections

7. 100 PERCENT INSPECTION

8. SURVEILLANCE ACTIVITY CHECKLISTS

9. MASTER INSPECTION SCHEDULE SURVEILLANCE

10. CUSTOMER COMPLAINTS

11. OBSERVATIONS

12. CONTRACTOR PERFORMANCE

13. REDUCED INSPECTION

14. REDUCED SAMPLE SIZE - ACCEPTANCE/REJECTION NUMBERS

15. RETURNING TO NORMAL INSPECTION

16. RETURNING TO REDUCED INSPECTION

17. POOR PERFORMANCE

17.1 Tightened Inspections

17.2 Tightened Sample Size and Acceptance/Rejection Numbers

18 Return to Normal Inspection 19 Verbal Unwritten Communication 20 Written Communication 21 Unsatisfactory Inspection Report 22 Contract Discrepancy Report 23 Contracting Officer’s Monthly Report 24 Re-Performance

ENCLOSURES:

Rev. 0322

1. INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is provided in order to allow a contractor to understand that the Government will be performing quality assurance on his services in accordance with (IAW) this established plan.

This QASP has been developed to provide the Quality Assurance Evaluator (QAE), Contracting Officer’s Representative (COR) and other Government evaluators a summary of the key performance standards required in the contract, performance levels, and methods of surveillance. It is designed to aid the Contracting Officer's Representative (COR) in providing effective and systematic surveillance of all aspects of the WW I Memorial operations and maintenance services being provided under the contract. This plan provides for monitoring all contract requirements through a combination of methods; they are:

a) Random/Planned Sampling.

b) 100 Percent Review, 10 Percent Inspection.

c) Surveillance Activity Checklists.

d) Management Information System (MIS) Surveillance.

e) Customer Complaints.

f) Observations.

g) COR observations.

h) Unscheduled inspection.

2. OBJECTIVE

The object of this surveillance plan is to evaluate the performance and effectiveness of the contractor in key areas. The Government is primarily interested in the final product or service the contractor is providing and not in the details of how the contractor provides the product or service.

The primary method of surveillance will be a random sampling of the total population of a specific evaluation period of contractor actions. The plan contains Sampling Guides and Inspection Checklists to be used when random sampling is the method of surveillance.

When contractor actions are critical in nature (relative to Health and Safety), actions performed must be inspected. One hundred percent inspection may be used as the method of surveillance.

While the first two methods of surveillance are based on the requirements contained in the Performance Requirements Summary (PRS), the Inspection Checklist may be used for surveillance of contractor actions that are required in the Performance Work Statement (PWS) but not listed in the PRS. This method of surveillance may also be used for in-depth surveillance of contractor actions, listed on the PRS, when the Government suspects problems or for which the Government has concern.

Quality Assurance is based on the premise that the Contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The Government will follow the guidance in FAR 52.212-4, Contract Terms and Conditions— Commercial Products and Commercial Services when performance is other than satisfactory.

The Government has the right to inspect and test all services called for by the contract to the maximum extent practicable during the term of the contract. Observations by the Quality Assurance Evaluator (QAE) of the contractor's work effort will be accomplished, in addition to the other means of surveillance discussed here, and will provide an additional basis for evaluating the contractor's performance.

Rev. 0322

3. REVISION TO THE QASP

Revisions to this surveillance plan are the responsibility of the COR and the CO.

4. HOW TO USE THE QUALITY ASSURANCE SURVEILLANCE PLAN

This surveillance plan has been developed for use by the COR, through QAEs, to evaluate contractor compliance IAW the contract. It is the responsibility of the COR to develop schedules for inspection activities based on the requirements of the PRS and the surveillance plan.

5. PERFORMANCE REQUIREMENT SUMMARY (PRS)

The PRS captures key requirements of the Performance Work Statement (PWS) at an outcome level (performance standard) and states the performance level and method of surveillance for the requirement. The absence of any contract requirement from the PRS does not limit the rights or remedies of the Government within the contract.

6. METHODS OF SURVEILLANCE

The PRS provides the surveillance method(s) the Government will use to evaluate the Contractor’s performance for the listed tasks. The primary surveillance methods used will be random sampling, planned sampling, 100% surveillance, periodic surveillance, or customer complaints.

6.1 RANDOM SAMPLING

The QAEs will use the random table from ANSI/ASQC Z1.4-1993 or equivalent based on population determines which line items are to be inspected. Inspection results will be recorded and maintained.

6.2 PLANNED SAMPLING

The QAEs will select the inspection events based on subjective criteria, i.e., concern for specific types of work, concern for specific types of equipment or facilities, past evaluation results, etc.

Planned sampling can be selected parts of the whole lot, or the planned sample may be individually selected inspection events for specific facilities, equipment, etc.

6.3 UNSATISFACTORY INSPECTIONS

Whenever the result of an inspection shows that the service is unsatisfactory, the QAE will prepare an Unsatisfactory Inspection Report (UIR) for the inspection.

The tally of observations and defects at the end of each inspection cycle will be compared to the accept/reject criteria appearing in the Sampling Guide. These documents will then become a formal Government record for later reference or action and will be retained for the term of the contract.

If the Minimum Acceptance Quality Limit (AQL) on the Sampling Guide is exceeded, (i.e., the reject level is met or exceeded), the contractor's service is considered unsatisfactory for that cycle in the applicable functional area PRS element.

If performance in any area is determined unsatisfactory for the lot, the contractor may be given a Contract Discrepancy Report (CDR) by the COR.

When issued, the CDR, along with the Inspection Checklist, becomes the documentation supporting contract actions, as necessary, for the contractor's compliance or noncompliance with contract provisions.

Rev. 0322

Any quality problems or defects found during the course of the surveillance, even if not of sufficient degree to render the service unsatisfactory in terms of AQL parameters, will require the contractor to re-perform the work at no cost to the government.

7. 100 PERCENT INSPECTION

When the method of inspection is 100 percent inspection, the Inspection Checklist for that contractor action will be the basis for and record of the inspection. The QAE will inspect each contractor action for that PRS line item and enter the results on the Inspection Checklist. The QAE will prepare an Unsatisfactory Inspection Report (UIR) for each unsatisfactory inspection.

8. SURVEILLANCE ACTIVITY CHECKLISTS

When the QAE determines that inspection of a service, furnished by the contractor, is in the best interests of the Government, the QAE will perform an unscheduled inspection of that service. The QAE will perform the inspection using the appropriate Inspection Checklist for that service. The QAE will prepare a UIR for each unsatisfactory inspection.

9. MASTER INSPECTION SCHEDULE SURVEILLANCE

Master Inspection Schedules will be completed by the last workday of each month for use during the following month. To build these schedules, the QAE will select the inspection events based on subjective criteria, i.e., concern for specific categories of work, concern for specific work status, concern for specific priorities of work, etc. The QAE will enter the results of the inspection on the Inspection Checklist and determine if the inspection is satisfactory or unsatisfactory.

10. CUSTOMER COMPLAINTS

Customer complaints are an important method of detecting unsatisfactory contractor performance.

Each complaint shall be thoroughly investigated and validated for accuracy prior to notifying the contractor of the complaint.

• The COR may receive complaints from customers about the quality of service provided by the contractor. Each complaint must be investigated and validated or rejected. When the complaint has been validated the complaint will be considered an unscheduled inspection and results will be counted as an unsatisfactory inspection.

• The COR will document the complaint and track validated customer complaints which will be used in analyzing the effectiveness of the contractor. Analysis of these trends may be cause for methods to improve service to include revisions to the surveillance plan.

11. OBSERVATIONS

The COR/QAE may observe unsatisfactory performance by the contractor during their inspections of other contractor services. These observations will be reported as unscheduled inspection reports and the contractor will be informed of these observations.

12. CONTRACTOR PERFORMANCE

When a contractor's Quality Control Program works, good performance results. If the results of the COR's surveillance shows consistently good performance, the amount of surveillance can be decreased.

13. REDUCED INSPECTION

Reduced inspection can be used when the following conditions have been met:

• The preceding 4 lots, i.e., last 4 inspection cycles have been acceptable.

Rev. 0322

• The number of defects in each of the preceding 4 lots is less than one half of the acceptance number. For example, with an AQL of 10 percent and a sample size of 30, the acceptance number is 7, if two or less defects were found in each of the last 4 lots, reduced inspection could be used.

• The normal sample size is being used.

• The Contracting Officer and the COR agree to use reduced inspection.

14. REDUCED SAMPLE SIZE - ACCEPTANCE/REJECTION NUMBERS

Reduced inspection decreases the sample size. In addition, the acceptance and rejection numbers may change. In order to make the changes to the existing Sampling Guide, the following steps shall be used:

• Find the new sample size. Take the lot size and find the reduced sample size using the appropriate table in ANSI/ASQC Z1.4-2003 for reduced sampling.

• Use the AQL in the Sampling Guide and the new reduced sample size for the new acceptance and rejection numbers. Note that there is a gap between the acceptance and rejection numbers, e.g., sample size is 20 and AQL is 10 percent, accept is 5 and reject is 6, this means that the lot would not be rejected unless 6 defects were found. However, a number of defects greater than 5 will be cause for returning to normal inspection, e.g., return to the sample size and acceptance and rejection numbers used in the original Sampling Guide.

15. RETURNING TO NORMAL INSPECTION

When reduced inspection is in effect, return to normal inspection the next lot under the following conditions.

• When the number of defects exceeds the acceptance number under reduced sampling, or,

• The Contracting Officer and the COR deem it necessary to return to normal inspection.

16. RETURNING TO REDUCED INSPECTION

If during the first month normal inspection has been resumed, the number of defects again found is less than 50 percent of the reject level, a return to reduced inspection may be done on the next inspection cycle. If the number of defects is over 50 percent of the reject level, then normal sampling must be accomplished until 4 inspection cycles of less than 50 percent of reject level defects is found.

17. POOR PERFORMANCE

When a contractor's Quality Control Program is not working, poor performance is the result. If the COR's surveillance shows consistently poor performance, the surveillance criteria may be tightened.

17.1 TIGHTENED INSPECTIONS

Tightened inspection can be used when the following conditions have occurred.

• The AQL has been exceeded for two out of three consecutive inspection cycles.

• The normal sample size is being used.

• The Contracting Officer and the COR agree to use tightened inspection.

17.2 TIGHTENED SAMPLE SIZE AND ACCEPTANCE/REJECTION NUMBERS

Tightened inspection does not increase the sample size; however, the acceptance and rejection numbers do change. In order to make the changes to the existing Sampling Guide, use the AQL

Rev. 0322 in the Sampling Guide to determine the new acceptance and rejection numbers from ANSI/ASQC Z1.4-2003 from the tables for increased inspection.

18 RETURN TO NORMAL INSPECTION

When tightened inspection is in effect, return to normal inspection the next inspection cycle under the following conditions:

• The number of defects falls within the acceptance range under tightened inspection for five consecutive inspection cycles.

• The Contracting Officer and the COR approve returning to normal inspection.

19 VERBAL UNWRITTEN COMMUNICATION

Verbal Unwritten Communications with the contractor, normally the contractor's Project Manager, for minor discrepancies which do not cause delay, prevent or hinder an operation or a service, which can be corrected, on the spot, within a few minutes without additional parts or materials.

The COR will make a Memorandum for Record of the discrepancy for the contract file and will furnish a copy of the Memorandum for Record to the Contracting Officer. Repeated minor discrepancies may warrant issuance of a CDR.

20 WRITTEN COMMUNICATION

Written Communications with the contractor, normally the Project Manager, for repeated minor discrepancies. The COR will place a copy of the communications in the contract file and will provide an information copy to the Contracting Officer. Continued minor discrepancies may warrant issuance of a CDR.

21 UNSATISFACTORY INSPECTION REPORT

An UIR will be sent to the contract Project Manager for each inspection of services which results in a failed inspection. The report will be sent by the COR within two working days following the date of the inspection. The UIR will serve as formal notification to the contractor of the deficiency.

The contractor will return the UIR to the COR within two working days detailing the contractor's actions to correct the unsatisfactory condition.

22 CONTRACT DISCREPANCY REPORT

When the contractor's performance of work is unsatisfactory, the COR will initiate a Contract Discrepancy Report (CDR) for all defects that could not be re-performed and for all defects not corrected by the Contractor in a timely or satisfactory manner when requested by the Government. The COR will issue the CDR to the contractor and furnished a copy to the Contracting Officer. The COR will issue the contractor a CDR when:

• The UIR exceeds the AQL in any functional area.

• Necessary to correct deficiencies in contractor's performance not directly related to inspections. The COR will prepare and forward the CDR to the contractor, the contractor shall correct the discrepancy, if possible, and enter the corrective actions taken on the CDR, enter what actions the contractor will take to prevent recurrence of the deficiency in the future, and return the CDR to the COR with copy to the Contracting Officer.

23 CONTRACTING OFFICER’S MONTHLY REPORT

The COR provides a monthly report to the Contracting Officer on the contractor's performance.

The COR will base the monthly report on the observed performance of contractor actions as surveyed by Random/Planned Sampling, Inspection Checklists, Customer Complaints, and the

Rev. 0322

COR's personal observations. The COR's report will be based on a descriptive evaluation provided by the QAE for the QAE's functional area(s) of responsibility, at the end of each month.

24 RE-PERFORMANCE

The contractor will be required to re-perform work, tasks or services previously provided to the Government that fall below the AQL of performance, as determined by any inspection method listed in this QASP. Such re-performance will be at no additional costs to the Government. Any re-performance requires re-inspection by the Government to ensure that the minimum acceptable standards have been achieved or that demonstrate compliance with the requirements of the PWS.

The rights of the Government and remedies described in this QASP are in addition to all other rights and remedies set forth in the solicitation. Specifically, the Government reserves its rights under FAR 52.246- 4 Inspection of Services-Fixed-Price and FAR 52.249-8 Default (Fixed-Price Supply and Service). The contractor shall not be relieved of the responsibility for full performance of services.

ENCLOSURES:

Enclosure 1 - Performance Requirements Summary Enclosure 2 - Inspection Checklist Enclosure 3 - Customer Complaint Record Enclosure 4 - Unsatisfactory Inspection Report (UIR) Enclosure 5 - Contract Discrepancy Report (CDR)

Enclosure 1 - Performance Requirements Summary

Performance Objective

PWS

Para Performance Standard Acceptable Quality

Limit Method of

Surveillance The Contractor shall provide operations, maintenance, and repair services for the WW I Memorial.

Section D.2

The WW I Memorial’ must be kept and maintained in “Exceptional Appearance”

Continuous contractor objective.

AQL = 0

Random Sampling & Customer Complaints

Service Calls Response

Section D.3.6

The service calls are received and responded to within the time frames specified.

Must respond by contacting the COR within a one-hour time frame.

All service calls must be completed within 24 hours after COR and contractor review.

AQL = 2

Random Sampling & Customer Complaints

Bronze Maintenance Section D.3.10

Complete work on schedule per PWS

Completes work on time per submitted schedule.

AQL = 0

100% Surveillance

Masonry Cleaning Section D.3.11

Complete work on schedule per PWS.

Daily Log maintained?

Completes work on time per submitted schedule.

AQL = 0

100% Surveillance

Landscape and Grounds Maintenance

Section D.3.12

Responsible for management, routine maintenance, repairs, improvements and/or enhancements to the existing memorial grounds.

All improved grounds shall look well-manicured at all times.

AQL = 0

Random Sampling & Customer Complaints

Lighting Section D.3.5.1

Light features are on and running at night. Bulbs are replaced or repaired within 24 hours of outage.

Customer complaint shall not exceed 1 per month.

AQL = 1

Random Sampling & Customer Complaints

Water and Pool Features

Section D.3.5.5

Water features run continuously throughout year as weather allows.

Water quality is clean and clear.

Customer complaint shall not exceed 1 per month.

AQL = 1

Random Sampling & Customer Complaints

Snow/Ice Removal Section D.3.9

Snow/ice shall be removed as noted in the PWS Table1.

Customer complaint shall not exceed 1 per month.

AQL = 1

Random Sampling & Customer Complaints

Objective

PWS

Para Performance Standard AQL Method of

Surveillance Litter Removal Section

D.3.12.15 Site is kept free of litter.

Contractor responds to reports of litter within 1 hour of call.

Customer complaint shall not exceed 2 per month

AQL = 2

Random Sampling & Customer Complaints

The contractor shall provide landscape maintenance services characterized by an all end-compassing environmentally sound horticulture program.

Section D.3.12

Landscaping healthy aesthetically and functionally acceptable 99% of the time.

Customer complaints shall not exceed 1 per month.

AQL = 1

Random Sampling & Customer Complaints

Safety All employees, occupants, and visitors are protected from injury/death.

Emergency assistance members and instructions are conspicuously posted.

An effective and active safety training schedule is followed.

All related OSHA safety requirements and standards are met and followed.

All accidents are reported and full cooperation is given to the COR.

100% of oil or hazardous substance spills are immediately reported to the

COR.

All personnel use appropriate PPE that meets NIOSH, MSHA, and ANSI requirements for the task at hand.

Periodic and/or random inspection Customer Feedback User’s input

AQL = 0

100% Surveillance &

Objective

PWS

Para Performance Standard AQL Method of

Surveillance Communication and Documentation

Section D.3.3.

All data and reports are accurate.

Effectiveness of all landscape management actions are systematically self-evaluated/audited.

All information is available and provided upon request.

Reports are turned in on time per timelines provided in Section D.3.3.

AQL = 0

100% Surveillance

Business Relationship

The Contractor is cooperative, committed to customer satisfaction, and has a business-like concern for the interest of the customer.

The Contractor is reliable 100% of the time.

Customer complaints shall not exceed 1 per month.

AQL = 1

Random Sampling &

Enclosure 2 – Inspection Checklist (EXAMPLE)

Service Area As Identified in the contract PWS

Service Requirement As Identified in the contract PWS – Include PWS items on the checklist

NOTE: S = Satisfactory Performance U = Unsatisfactory Performance N/A = Not Applicable Requirement S U N/A

Was work performed per required schedule?

Was work performed IAW applicable Federal, State and Local Codes and Regulations including Safety?

Were appropriate reports completed and submitted as required in the functional areas for which the work was performed?

Does work appear to have been performed in a professional manner?

Was all work required by the work document performed?

Was the work site cleared of debris after completion of work?

Was service call responded to and completed within specified time frame?

Comments: Overall assessment of service -

QAE Name: Signature: Date:

Contractor Comments/Re-performance/Re-work

Date of Re-work Issued: Completed:

Contractor Comments:

Contractor Name: Signature: Date:

Enclosure 3 – Customer Complaint Record

Date/Time Complaint Received: Control #:

Name of Complainant:

Phone #: Email:

Complaint Description:

Work Order #: Date/Time Received:

Description of original work request:

List All Action Taken to Resolve (Include dates / times of all contacts):

Name of Person taking complaint:

Date/Time complaint resolved:

Attach a copy of the following:

• Original work request

• Copy of Re-work Order

• All correspondence related to the complaint

Enclosure 4 – Unsatisfactory Inspection Report (UIR)

Contractor: Contract Number:

Report Date: Inspection Date:

PWS Paragraph:

Work Document # (If applicable): Area:

QAE Name: COR:

Description of unsatisfactory performance:

Signature of COR: Date:

Contractor response as to cause, corrective action, and actions to prevent recurrence:

Signature of contractor representative: Date:

Check if contractor additional response information is attached. _____

Enclosure 5 – Contract Discrepancy Report (CDR)

Enclosures: