C08_QASP_NFBR_Habitat_Enhance.pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

Timber Stand Improvement and Fuels Reduction for the Whitman Ranger District on the Wallowa-Whitman National Forest

North Fork Burnt River Habitat Enhancement

Solicitation: TBD

BPA Call: TBD

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)

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

4.2 Analysis and Results

Appendix A: Detailed Unit Information Sheet Appendix B: Example Discrepancy Report

Project Name North Fork Burnt River Habitat Enhancement

Solicitation / Contract Number

TBD / TBD

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled NFBR Habitat Enhancement. This plan sets forth the procedures and guidelines that the USDA, Forest Service will use in ensuring the required performance standards or services levels are achieved by the contractor.

The Whitman Ranger District on the Wallowa-Whitman National Forest is securing services for Thinning and Sectioning. The services consist of a total of 904 acres for thinning and handpiling all existing within the Patrick Project Area. Specific performance tasks are listed in paragraph 3 of the Performance Work Statement.

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 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.

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.

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.a Performance Requirement Measures (PRS)

Task Standard Acceptable Quality Level Incentive/Disincentive Deliverables Provide the deliverables within the stated time limit

100% The Contractor’s ability to meet the standard will be reflected in the performance evaluation, either positive or negative

Thinning Standard:

Leave Tree Selection

Select the best leave tree using the specified criteria (DUIS).

90% Rework. No pay for uncorrectable quality below 80%.

Thinning Standard:

Cut Trees

Meet stump height requirements and no live limbs

90% meet stump height.

100% meet no live limb requirement.

Rework

Slash Treatment

Meet requirements for material to be sectioned

90% of the required slash treatment meets specifications.

Rework

Protection of Resources

Follow all standards listed under protection of resources

100% Contractor shall bear the costs of restoration.

Pull back Meet pullback requirements

90% of material requiring pullback has been moved

Rework

Quality Control

Contractor follows their provided quality control program

Contractor’s quality control is +5/-5% of the government’s quality assurance

The Contractor’s ability to meet the standard will be reflected in the performance evaluation, either positive or negative

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 in Appendix B Discrepancy Report. 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.

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

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 a 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.

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.

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.a Surveillance Methods for PRS tasks

Each unit shall be inspected separately and inspection results on one unit shall not be averaged or combined with those of any other unit. Determination of the acceptabilty of the work performed shall be based on these inspections and shall be considered conclusive.

Government inspections for acceptance of tasks may consist of informal visual inspections. When informal visual inspections show unacceptable work, formal plots shall be taken. Final determination of acceptable work shall be based on these formal plots.

1. Deliverables COR records in daily diary that all deliverables are received within stated time frame

2. Leave Tree Selection and Cut Trees Formal Plot Inspection Procedure

a. The Government shall install a series of circular plots. Plots shall be located throughout the unit to obtain a representative sample of the work.

b. A minimum of one plot per ten acres shall be taken, and no less than 4 plots per unit. Plot size shall be 1/20th acre (26.3 feet radius) with slope correction.

c. Inspection plots shall be marked on the ground with flagging to locate plot center, and identified with plot number and date of inspection.

d. On each plot the items listed below shall be examined and recorded.

a. Number of trees to be left.

b. Number of trees left.

c. Satisfactory trees.

d. Number of trees deficient.

e. Number of trees excess.

f. Remarks (brief description of deficient or excess trees, plot percentage, etc).

The quality of leave tree selection and cut trees shall be calculated as follows: (No. of deficient trees + No. of excess trees) / (No. of trees to be left) x 100 = %Unsatisfactory

100% - %Unsatisfactory = %Work Quality

AQL must be 90% or greater

3. Handpiling

Number of piles with acceptable slash treatment / Total number of piles X 100 = _______%

4. Slash Treatment Section a cut tree’s bole, and pre-existing down logs, into 6–8-foot pieces. Do not section existing down logs that are 12” diameter or larger at the smallest end. Additionally, Western Juniper should be sectioned and lopped so the bole is touching the ground.

5. Protection of Resources

Through visual inspection methods, COR ensures standards for protection of resources are being met and records in daily diary AQL must be 100%

6. Pull Back Through visual inspection methods, COR ensures standards for pull back are being met and records in daily diary

7. Quality Control COR requests copies of records from contractor that demonstrate the implementation of their quality control plan. Contractor’s quality control is +5/-5% of the government’s quality assurance.

Contractor’s quality control is +5/-5% of the government’s quality assurance

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:

Performance Rating

Criteria

Exceptional

Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good

Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Marginal

Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory

Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

[THIS PAGE IS FOR INFORMATIONAL PURPOSES]

The Contacting Officer must include as attachments or exhibits the appropriate performance requirement summary, forms, checklists, etc. in the QASP that will be used during surveillance / monitoring for the applicable contract.

Appendix A: Detailed Unit Information Sheet

DETAILED UNIT INFORMATION- NFBR Habitat Enhancement Wallowa-Whitman National Forest, Whitman Ranger District

Unit Slash Treatment Remarks

All Units Standard Provisions

Definition. Overstory Trees: Those trees exceeding the maximum cut DBH.

System Roads:

• Fall all trees on cut slopes and within 10 feet of road surfaces up to the max cut DBH.

• Fall all trees within the road surface up to the max cut DBH.

• Remove all tree limbs extending into the road surface by pruning or felling trees.

Interface National Forest/Other Ownership: Within 150 feet of the National Forest/Other Ownership lands boundaries, space trees no closer than 25 feet x 25 feet. Favor the tallest and healthiest Western White Pine, western larch, ponderosa pine, and Douglas-fir in order of retention priority.

Fences: Do not fall trees used as fence posts. Remove felled trees that are within 6 feet either side of a fence.

Stump Height: Stump Height shall not exceed 3” in height unless cutting is obstructed by natural obstacles. All stumps shall be cut below the lowest live limb, and completely severed from the bole of the tree.

Minimum Tree Height: Trees less than a height of 1’ are not required to be cut

Maximum Cut DBH: 9 inches DBH.

Clearing Around Ponderosa Pine 21+ D.B.H. Trees: Fall all trees, up to and including the maximum cut DBH, within 30 feet (measured from the bole), around live ponderosa pine greater than or equal to 21.0 inches D.B.H.

Clearing Around Aspen: Fall all live trees, up to and including the maximum cut D.B.H., within 50 feet of any live aspen.

Western Juniper: Fall all juniper. There is no maximum cut DBH with Juniper. Juniper must be sectioned and lopped so bole is touching the ground.

Mountain Mahogany:Fall all conifers, up to and including the maximum cut DBH within 30 feet of live Mahogany growing in rocky otherwise unsuitable soil.

Whitebark Pine: Retain all Whitebark Pine.

Unit Slash Treatment

Remarks

All Units

Hand Pile. Cut trees and existing down logs into no larger than 4 feet in length. Do not section existing down logs that are 12” diameter or larger at the smallest end.

Species preference:

Fall all white fir, grand fir, lodgepole pine, Englemann spruce up to and including the maximum cut DBH of 9 inches.

Species Leave Priority (Best to Worst): Western White Pine, Western larch, ponderosa pine, Douglas-fir.

Dead, diseased, damaged, or suppressed trees:

Fall all dead, damaged, poor crown trees, and those infected with dwarf mistletoe up to and including the maximum DBH.

Overstory Trees with dwarf mistletoe:

Fall trees all trees, up to and including the max cut diameter, of the same species within 30 feet of the overstory tree bole.

Spacing:

Minimum spacing of 20 feet for the remaining trees. Do not space off of lodgepole pine, white fir, or Englemann spruce that are greater than the max cut dbh.

Boundaries are designated with Pink ribbon and Yellow tags

Unit Slash Treatment

Remarks

All Units

Sectioning. Section a cut tree’s bole, and pre-existing down logs, into 6-8 foot pieces. Do not section existing down logs that are 12” diameter or larger at the smallest end. Juniper must be sectioned and lopped so bole is touching the ground.

Species preference:

Fall all white fir, grand fir, lodgepole pine, Englemann spruce up to and including the maximum cut DBH of 9 inches.

Species Leave Priority (Best to Worst): Western White Pine, Western larch, ponderosa pine, Douglas-fir.

Dead, diseased, damaged, or suppressed trees:

Fall all dead, damaged, poor crown trees, and those infected with dwarf mistletoe up to and including the maximum DBH.

Overstory Trees with dwarf mistletoe:

Fall trees all trees, up to and including the max cut diameter, of the same species within 30 feet of the overstory tree bole.

Spacing:

Minimum spacing of 20 feet for the remaining trees. Do not space off of lodgepole pine, white fir, or Englemann spruce that are greater than the max cut dbh.

Boundaries are designated with Pink ribbon and Yellow tags

Appendix B: Example Discrepancy Report 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.

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: Example Contract Daily Diary