HE1280-13-B-0001_QASP_for_MED_Dist_School_Transportation__Services_Aviano _Italy_Attachment_1.pdf

Attachment 1

FOR INFORMATIONAL PURPOSES ONLY

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

MEDITERRANEAN DISTRICT

SCHOOL TRANSPORTATION SERVICES

AVIANO AREA OF OPERATION

SOLICITATION NO: HE1280-13-B-0001

SAMPLE

14 February 2013

I. INTRODUCTION

1. This Quality Assurance Surveillance Plan (QASP) provides guidance and procedures to Government personnel responsible for surveillance of the contractor’s performance for work performed under

Contracts for the Mediterranean District. Its primary focus is to 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;

That a basis is provided to support contract administration decisions regarding acceptance of services, payment for services, and evoking contractual remedies for failure by the contractor to perform as required; and , That the Government's interests in its business dealings with the contractor are protected and served.

2. 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 Statement of

Work (SOW), 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.

The plan is developed on the premise that the Contractor, not the Government, is responsible for implementing effective management and quality control measures to ensure compliance with performance requirements.

Nonconformance with contract requirements is termed a “Deficiency”. The term “Deficiency” refers to performance of a service requirement that does not meet the associated contractual requirement defined in the contract’s SOW.

Inspection and acceptance of contractor services will be accomplished pursuant to the provisions of FAR Clause FAR 52.212-4 Contract Terms and Conditions – Commercial Items in the contract.

For services that do not conform to contract requirements, the Government may require the

Contractor to re-perform to ensure conformity and acceptance at no increase in contract amount.

In the event substandard services cannot be corrected through re-performance the Government will require the contractor to:

-- To take necessary action to ensure that future performance conforms to contract requirements, or;

-- Reduce the contract price in accordance with the associated deduction allowed for in the Standard Deductions.

In the event substandard performance occurs, should the contractor fail to take the necessary action to ensure future conformance with contract requirements, or promptly re-perform services to an acceptable level, the Government may:

-- Have the services performed by other means and charge to the contractor any cost incurred, or;

-- Terminate the contractor for cause.

3. Suggestions for changes, additions and improvements to this QASP are encouraged and will be subject to final approval by the Contracting Officer (CO). Written or telephonic coordination for changes, supplementation or improvements may be initiated by the Contracting Officer’s Representative (COR) with concurrent information retained by the District Transportation Supervisor and the School Bus Office.

4. It is important to emphasize that quality control is the sole responsibility of the contractor; not the

Government. The Government surveills and inspects the contractor’s performance for purposes of

“Assuring” the level of quality of services agreed to in the contract are received. Hence, the Government is responsible for quality assurance.

5. The Government has the right under this contract to perform quality assurance at any time or place as long as it does not interfere with the progress of the work. This means the Government may conduct inspections at any point in performance including:

Inspection of materials prior to incorporation into the work, or, inspection of the contractor's preparations;

Inspection during the work process itself, especially where quality characteristics may not be obvious from simple visual inspection of the output; and, Inspection of the completed item or service.

6. There are essentially five elements to quality assurance:

The output, service, or requirement the contractor is obligated to perform by the SOW;

The requirements established by the SOW, whether relating to quality, timeliness, and/or other measures;

The quality assurance method, including the frequency of its application;

The documentation and reporting of results, including checklists, work sheets, summary forms, and contract discrepancy reports (CDRs); and, Follow-up to ensure any required corrective action has been taken by the contractor.

II. DEFINITIONS

Contract - An agreement between the government and contractor enforceable by law.

Contract Administration - All interrelated activities with the purpose of ensuring contract terms and conditions are met by both the contractor and the government.

Contracting Officer (CO) - An official in a contracting office authorized by written appointment to enter into, administer, and terminate contracts and place delivery orders under contracts.

Contracting Officer's Representative (COR) - This individual will be designated by the CO. The COTR is responsible for surveilling and inspecting contractor performance and providing written recommendation for acceptance of services. This individual shall have overall responsibility for the coordination of contractor performance in accordance with the performance work statement and any resulting task order that may be issued by the CO. Duties also include technical assistance to the CO and surveillance and compliance duties as further enumerated in this plan.

Inspection - Examination of services by Government personnel utilizing applicable inspection methodologies to determine conformance to contract requirements, terms, and conditions.

Quality Assurance (QA) - Actions taken by Government personnel, including inspection, to determine if the products/services delivered by the contractor meet the contract requirements. Quality assurance involves a broader range of activities than just inspection.

Quality Control (QC) - Actions taken by a contractor to ensure that the product or service delivered under the contract meets the contract requirements.

Statement of Work (SOW) - Represents technical and management requirements of the contract including any applicable technical exhibits essential to the contractor’s performance of services.

Surveillance - Quality assurance and other actions taken by Government personnel to determine contractor conformance and nonconformance with contract performance requirements. Surveillance is a broader term than inspection or QA because it encompasses the examination of the business as well as the technical aspects of the contract. However, the term "quality assurance surveillance" refers to those surveillance actions directly related to quality assurance.

III. QASP PROCEDURES

1. Quality Assurance Surveillance Schedule - The Quality Assurance Evaluator (QAE) or COR, as applicable, will develop internal monthly surveillance schedules in calendar format for Government use only based on key performance requirements in the SOW and inspection methodology established herein.

End of month inspection reports documenting contractor performance will be provided quarterly to the

DoDDS-Europe Procurement Office (DEPO) contract administrator and the Mediterranean District

Transportation Supervisor (DTS).

2. Method of Inspection - The methods of inspection to be utilized, at Government discretion, to assure quality services are received under the contract are identified below. These methods are “Scheduled

Inspection” and “Record of Customer Complaint.” Note that the Government reserves the right to unilaterally change its methods of inspection, and if accomplished, will promptly provide a copy of the revised QASP to the contractor for informational purposes:

Scheduled Inspection - The COR/QAE will develop a monthly surveillance schedule in calendar format based on select requirements in the SOW. Table 1 provided with this QASP highlights select requirements for potential inspection. The COR/QAE will complete and distribute each monthly surveillance schedule not later than the last workday of the preceding month beginning with the first month following the date of contract award. The COR/QAE will send a signed copy of the schedule and any updates during the month to both the DoDDS Europe Procurement Office

(DEPO) contract administrator and the Mediterranean District Transportation Supervisor (DTS).

A signed copy of the completed monthly surveillance schedule to include any updates shall be retained in the COR file. Every page of the monthly surveillance schedule shall be marked “FOR

OFFICIAL USE ONLY”. The surveillance schedule shall not be provided to the contractor in order to maintain the integrity of the process associated with quality assurance.

-- The COR/QAE is responsible for selecting and scheduling routes and vehicles for inspection.

The COR/QAE will utilize the Vehicle Quality Assurance Checklist as a guide for vehicle inspections.

-- Determination of various routes and vehicles for scheduled inspection is subjective. However, to provide consistent surveillance, and as a basis for comparing trends from month to month, the

COR/QAE will apply consistent criteria in selecting and scheduling routes and vehicles for scheduled inspection.

-- The COR/QAE should vary routes, runs and vehicles to be inspected, so the same services or vehicles are not inspected every time and inspections do not follow an obvious pattern.

Document the method used in scheduling inspections and apply it consistently from surveillance period to surveillance period so trends may be identified.

-- The COR/QAE should schedule additional inspections for emphasis on known or suspected problem areas, plus to follow up on customer complaints. As needed, monthly surveillance schedules should be revised for additional inspections in problem areas. The COR/QAE must establish a clear pattern of increased inspections to focus on problem areas, giving the contractor greater incentive to improve performance because known problem areas are being closely observed.

Record of Customer Complaint - At any time during the life of the contract, the COR/QAE may receive customer complaints about the quality of services. The complainant or COR/QAE should properly record all complaints. The COR/QAE shall:

-- Investigate complaints as they are received to ensure they are valid and document the complaint on the form provided at Attachment 1; Record of Customer Complaint. Notify the contractor manager of any validated complaint and annotate the complaint form with the means, date, and time the contractor was notified. Retain validated complaint forms in the COR file.

-- Customer complaints are seldom used to reject a service or deduct money from contractor payments. However, validated customer complaints can reinforce the accuracy of sample results.

At the end of each month, count all validated complaints to determine if overall performance is acceptable or unacceptable. Forward a copy of each form to the CO’s with the COR/QAE’s recommendation for further action, when necessary. When scheduled inspections also indicate unsatisfactory service, validated complaints may support seeking remedies other than or in addition to monetary deductions.

-- Customer complaints, like incidental COR/QAE observations, may be the bases for scheduling follow-up observations under scheduled inspections, focusing attention on known or suspected problem areas. Revise or initiate scheduled inspection schedules as needed for emphasis on unsatisfactory areas of performance.

3. Documentation/Reports

a. Contractor Discrepancy Report:

For unsatisfactory or incomplete services, a Contract Discrepancy Report (CDR), Attachment 2, will be issued. Deductions will only be taken for services not performed (e.g., failure to complete a run).

The CDR will explain the circumstances and findings concerning the incomplete or unsatisfactory service. The CDR will cite each discrepancy by SOW requirement as listed in the Performance

Requirements Summary. The Contracting Officer’s Representative (COR) in conjunction with the

Contracting Officer (CO) will issue the Contractor a CDR within two (2) business days of the discrepant event or later if the circumstances of the event warrant. The Contractor shall provide a written position in response to the CDR and return the document to the COR within two (2) business days after receipt or later if indicated on the CDR. In the case of a dispute the CO will render a final position within five (5) business days of receipt of the CDR from the Contractor and issue the completed CDR through the COR to the Contractor. The CO may take other actions as deemed appropriate. CDR procedures may change as directed by the CO. 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. Fill in blocks 1-7 of the CDR as follows:

(1) Block 1: Enter the contract and current task order numbers.

(2) Block 2: Enter a CDR report number. Number CDR’s in sequence for each contract as defects occur. Maintain a log of CDR’s in report number sequence on a locally developed log which includes, as a minimum, the contract and task order numbers, the CDR report number, the date of defect, the dates sent to and received back from contractor, the date sent to DEPO, and the close-out date.

(3) Block 3: Enter the names of the contractor and contract manager.

(4) Block 4: Enter the COR’s name, title, and field office.

(5) Block 5: Enter Dates, prepared, and returned by contractor, action complete.

(6) Block 6: Describe the deficiency in detail; at a minimum, enter the date, time, bus route and run, CLIN, deficiency, and references in the contract specification.

(7) Block 7: The COR identified in Block 4 will sign representing the Contracting Officer.

Table 1 below provides a list of select requirements within the SOW that represent areas of potential inspection in the Government’s surveillance of contractor performance. Note that the Government reserves the right to inspect any SOW requirement it deems necessary to ensure adequate and comprehensive surveillance of contractor performance.

STATEMENTS STANDARDS ACCEPTABLE

QUALITY

LEVEL

SURVEILLANCE

METHOD

INCENTIVE/REMEDY

Vehicle

Standards and

Requirements

SOW paragraph

5.7.1. thru

5.7.8

Contractor shall provide vehicles and safety equipment, and vehicle records, which, at minimum, meet the standards required by Host

Nation laws and regulations.

100% compliance

100% inspection of vehicles, vehicle record and specialized safety, and security equipment

If contractor performance does not meet the acceptable quality level, the government shall take deductions up to

€300.00 for unsafe vehicles, inoperable specialized safety and security equipment or failure to provide vehicle records per day, document the

Contractor Performance

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

Transportation

Standards and

Procedures

SOW

Paragraph

5.8.1. thru

5.8.13.

Contractor shall comply with all procedures for program duty in accordance with the approved standards and procedures when operating vehicles, verifying passengers, inbound and outbound procedures.

100% compliance

100% inspection of daily inbound and outbound procedures quality level, the government shall take deductions for non compliance of transportation standards and procedures by the run performed, document the Contractor Performance

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

Danger Zone

Safety

5.10.

Contractor shall ensure drivers comply with vehicle danger zones procedures, entering and departing bus stops and school loading/unloading zone procedures.

100% inspection at the school for vehicle entry and departure and loading and unloading of students

If contractor performance does not meet the acceptable quality level, the government shall take deductions for non-compliance of safety procedures by the run performed, document the

Contractor Performance

Assessment Report for non-compliance, and/or may

Security

5.4.

Contractor shall ensure drivers complete security in complying with the removal and storage of route sign and school transportation documents.

100% compliance

Monthly Periodic inspection of route sign removal and proper storage school transportation documents.

quality level, the government shall take deductions for non-compliance with security procedures by the run performed, document the

Contractor Performance

Assessment Report for non-compliance, and/or may

STATEMENTS STANDARDS ACCEPTABLE

QUALITY

LEVEL

SURVEILLANCE

METHOD

INCENTIVE/REMEDY

Generation and delivery of accidents and incident reports

Paragraph 5.5.

thru 5.5.4.2.

Contractor shall report, generate, and deliver by means of electronic mail a written accident or incident report not later than next duty day with the minimum items included.

100% compliance

100% inspection of contactor written report.

quality level, the government shall take deductions up to

€100.00 per occurrence for non compliance with accident/incident reporting, document the Contractor

Performance Assessment

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

Contractor

Personnel

Standards /

Requirements

Paragraph 4.4.

thru 4.6.

Contractor shall complete annual safety & security training, first aid, cardiopulmonary resuscitation and special needs training in accordance with approved standards, and requirements.

100% compliance

100% inspection annually of contractor bus drivers and security guides/aide training files and records.

quality level, the government shall take deductions for unqualified contractor personnel by the number of runs performed, document the

Contractor Performance

Assessment Report.

Background

Check

Paragraph 4.7.

Contractor shall maintain the most current Host

Nation criminal record background check on file and shall make them available if requested.

Monthly Periodic

Inspection of personnel files.

If contractor performance does not meet the acceptable quality level, the government shall take deductions for unqualified contractor personnel by the number of runs performed, document the

Contractor Performance

Assessment Report, and/or may terminate the contract for cause.

Student

Misbehavior

Paragraph 5.9.

Contractor shall complete student misbehavior in writing by the end of the day if incident occurred on a morning run, and by

10:00 AM the next school day for the afternoon run.

Weekly, no more than five percent (5%) of total reports submitted after

24 hrs.

100% inspection If contractor performance does not meet the acceptable quality level, the government shall document the Contractor

Performance Assessment

Report for non-compliance.

SURVEILLANCE METHOD

100 Percent Inspection: With this method, performance is inspected/evaluated at each occurrence.

Periodic Inspection: This method, sometimes called “planned sampling,” consists planned sampling at specific dates or time intervals.

ATTACHMENT 1

RECORD OF CUSTOMER COMPLAINT

Date of Complaint: ____________________ Time of Complaint: ___________________

Source of Complaint: __________________ School/Facility: ______________________

Individual: ___________________________ Contract Reference: __________________

Nature of Complaint:

Validation:

Date/Time Contractor Informed: ________________

Action Taken by Contractor:

Date Received/Validated by: