C04c Attachment 2 Quality Assurance Surveillance Plan 1284LM26Q0117.docx

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

Contents

Project Name Programmatic LMP Amendment Support for Greater Sage Grouse

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Land Management Planning Environmental Impact Statement Support. This plan sets forth the procedures and guidelines that the USDA Mountain Planning Service Group 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 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 consistently either 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.

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.

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.

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).

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.

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.

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 in Appendix B: Quality Assurance Monitoring. Appendix C: Surveillance Activity Checklist may be used to summarize the various surveillance methods used throughout the period of performance. 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.

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.

Section 3: 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

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 ACO (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.

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 52.212-4(a) Commercial Items-Inspection/Acceptance.

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 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.

4.1.1 Inspection of Services

According to the Inspection of Services clause FAR 52.212-4(a) Commercial Items-Inspection/Acceptance, the government will evaluate the contractor’s performance under this contract. The Performance Requirements Summary (PRS) (Appendix A) lists tasks that will receive quality assurance surveillance. The CO and COR will follow the methods of surveillance specified in the PRS.

4.1.2 Surveillance of Other Tasks or by Other Methods

Government surveillance of tasks not listed in the PRS or by methods other than those listed in the PRS (such as provided for by the inspection of Service clause) may occur during the performance period of this contract. Such surveillance will be done according to standard inspection procedures or other contract provisions. An action taken by the CO as a result of surveillance will be in accordance with the terms of this PWS.

4.1.3 Corrective Actions

The following corrective actions shall be implemented, as needed, to ensure the Forest Service receives the required services. If any of the services do not conform to the contract requirements, the government may require the contractor to perform the services again in conformity to the contract requirements with no increase in contract amount. When the defects in services cannot be corrected by re-performance, the government may:

i. Require the Contractor to re-perform the services at no additional cost to the government;

ii. Require the contractor to take necessary action to ensure that future performance conforms to contract requirements, including expediting contractor tasks to meet schedule requirements;

iii. Require the contractor to reimburse the Forest Service, via deduction to the contract, if the Forest Service has to re-procure the services;

iv. Terminate the PWS or individual Task for cause.

4.1.4 Performance Evaluation Meetings

The CO may require the contractor's point of contact to meet with the CO and COR. The contractor may request a meeting with the CO when he or she believes such a meeting is necessary. Written minutes of any such meetings must be recorded in the contract and signed by the contractor and the CO or contract administrator. If the contractor does not concur with any portion of the minutes, such non-concurrence must be provided in writing to the CO within 5 calendar days following receipt of the minutes.

4.2. Analysis and Results

When the 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 Performance Assessment

All products produced, or related services performed by the Contractor shall meet the “good” performance assessment. The Contractor's performance will be assessed by the COR throughout the PWS. Performance measures will be established by the government. For the annual reporting of performance in the Contractor Performance Assessment Reporting System (CPARS), the Contractor is rated according to the following categories:

1. Excellent. Exceptional strength resulted in achieving all Task Order requirements (can exceed Task Order requirements).

2. Good. Effective performance, with minor issues, that did not impact achievement of all Task Order requirements for this element. Element is in compliance with applicable law, regulation and policy identified for this task.

3. Fair. Ranges from performance supported achievement of most Task Order requirements to weakness compromised achievement of Task Order requirements.

4. Unsatisfactory. Task Order requirements have not been achieved for this element. Element is not in compliance with applicable law, regulation and policy identified for this task or element.

The ratings of excellent, good, fair, and unsatisfactory, for each element, shall take into account: quality, cost control, timeliness of performance, responsiveness, application of requirements and guidance, planning, staffing, communications, teamwork and cooperation.

4.2.2 Acceptance Criteria

The Contractor will deliver all products concurrently to the CO, COR, and Forest Service PM.

Deliverables will follow the following criteria:

1. Completeness – Initial requirements (as identified) are satisfied in all sections.

2. Accuracy – Documents will be accurate in presentation, technical content, and adherence to accepted elements of style.

3. Clarity—Documents will be clear and concise; project management and terms shall be used, as appropriate. The Contractor will edit all documents to read like one voice, reduce redundancy, and use the active voice (not passive). All diagrams shall be easy to understand and be relevant to the supporting narrative.

4. Specification Validity—all deliverables must satisfy the requirements of the Forest Service as specified herein.

5. File Editing—All text and diagrammatic files will be provided in Microsoft Office Version 2010 or higher (Word, Excel, PowerPoint, Visio, etc.) and Adobe pdf so that they can be edited by the Forest Service.

6. Format—Documents will be submitted electronically whenever possible and as a print-ready (camera ready) product. Hardcopies will be provided upon request. The document’s format may change from Subtask to Subtask.

7. Timeliness—Deliverables will be submitted on or before the due date specified in the Schedule of Deliverables Section of the PWS or submitted in accordance with a later scheduled date determined solely by the Forest Service.

Appendix A: Performance Requirement Summaries

Appendix B: Quality Assurance Monitoring

CONTRACT NUMBER: ______________________________________

SERVICE OR DELIVERABLE:

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

ANALYSIS OF RESULTS:

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

☐Excellent. Exceptional strength resulted in achieving all Task Order requirements (can exceed Task Order requirements).

☐ Good. Effective performance, with minor issues, that did not impact achievement of all Task Order requirements for this element. Element is in compliance with applicable law, regulation and policy identified for this task.

☐ Fair. Ranges from performance supported achievement of most Task Order requirements to weakness compromised achievement of Task Order requirements.

☐ Unsatisfactory.

Narrative of Performance During Survey Period:

Prepared By: _______________________________ Date: ______________

Appendix C: Surveillance Activity Checklist

Performance Requirement Performance Standard Method of Measurement

Performance Metrics Method of Surveillance Date Accomplished Compliance (Exceed, Met, Partial Met) image1.png