Attachment_2_-__QASP_-_KMC_Special_Needs.pdf

FOR INFORMATIONAL PURPOSES ONLY

ATTACHMENT 2

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

KAISERSLAUTERN MILITARY COMMUNITY

SPECIAL NEEDS SCHOOL TRANSPORTATION SERVICES

KAISERSLAUTERN DISTRICT

CONTRACT SOLICITATION NO: HE1280-13-B-0013

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 Contract Number HE1280-13-D-XXXX. 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 either by the Contracting Officer’s Representative (COR) through the District Transportation Supervisor to the DoDDS-Europe Procurement Division, Attn:

Mr. Andrew Christen, Commercial 06134-604685, with concurrent information retained by the requisite 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 COR 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 monthly to the DoDDS-Europe Procurement Office (DEPO) contract administrator and the Kaiserslautern 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 Kaiserslautern 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 School Transportation Vehicle Inspection Checklist as a guide for vehicle inspections. The vehicle inspection checklist is provided at Attachment 1.

-- 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 2; 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.

(1) A Contractor Discrepancy Report (CDR) is generally prepared by a COR/QAE to provide the contractor of a pending discrepancy. 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 contracting officer has the option of elevating the issue.

(2) For every observed defect and validated customer complaint, the COR/QAE will initiate a CDR, DP Form 802 (Attachment 3), to document defects and track the steps taken to finalize the action.

(3) CDR Procedures.

(a) Once a CDR is generated, it will be forwarded directly to the assigned Contract Specialist (CS) within the DoDDS-Europe Procurement Division not later than the following business day. Note:

the CS and Contracting Officer (CO) may be one in the same for a given procurement.

(b) Upon receipt, the CS will work jointly with the COR to ensure all information contained in the CDR is accurate, sufficient, and credible. The CS will then forward the CDR to the Contracting Officer (CO) for review. Once determined valid, sufficient, and supportable by the CO, the CO will issue the CDR to the Contractor the following business day.

(c) The Contractor will provide a written position in response to the CDR and return the document to the CO within two (2) business days after receipt.

(d) The Contracting Officer will render a final position and may take other actions as deemed appropriate. The CO (or CS) will 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. CDR procedures may change as directed by the CO.

b. Quality Assurance. 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.

Table 1 - Quality Assurance

SOW Reference

Requirement

Means of

Measurement SOW Addendum E: all paragraphs except paragraphs E.3., E.4.2., E.4.3., E.4.4., E.5.2., E.5.5., and E.6.

Host Nation and SOW Vehicle Standards/ Requirements Planned Sampling

SOW Addendum F, paragraph F.5. Perform all scheduled runs or service all stops Planned Sampling/ Customer Complaint

SOW Addendum F: all paragraphs except paragraphs F.5. and F.14.

Compliance with Transportation Standards and Procedures Planned Sampling/ Customer Complaint

SOW Addendum D Compliance with Safety Procedures/Standards Planned Sampling/ Customer Complaint

SOW Addendum E, paragraph E.5.5. Maintain 18-30 degree Celsius passenger compartment temperature

Planned Sampling/ Customer Complaint

SOW Addendum E, paragraph E.4.2., E.4.3., and E.4.4.

Compliance with seat belt or child safety restraint system standards

Planned Sampling/ Customer Complaint

SOW Addendum H, paragraph H.4. Report accidents or incidents verbally to COR 100 Percent Inspection SOW Addendum H, paragraph H.5. Submit written accident report or incident report to the

COR by close of business next day 100 Percent Inspection

SOW Addendum C Compliance with Contractor Personnel Standards/ Requirements

Planned Sampling/ Customer Complaint

SOW Addendum B, paragraph B.1.

and B.5.

Compliance with Security Standards/ Requirements Planned Sampling/ Customer Complaint

SOW Addendum B, paragraph B.4.

and Addendum E, paragraph E.3.

Completed Daily Vehicle Safety/ Security Inspection Checklist (and completed the expanded School Transportation Security Inspection Checklist when ordered)

Planned Sampling/ Customer Complaint

SOW Addendum F, paragraph F.14.1. Notification to the COR of a time delay of 10 minutes or longer in completing a run

Planned Sampling/ Customer Complaint

SOW Addendum F, paragraph F.14.2. Delay not corrected within 60 minutes of contractor notification to the COR

100 Percent Inspection

SOW Addendum G Report 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 a midday or afternoon run

Planned Sampling/ Customer Complaint

SOW Addendum E, paragraph E.5.2. Vehicle is clean and provides a smoke-free environment Planned Sampling/ Customer Complaint

1. For unsatisfactory or incomplete services, a Contract Discrepancy Report (CDR) 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 Contractor shall provide a written position in response to the CDR and return the document to Contracting Officer within two (2) business days after receipt. The Contracting Officer will render a final position and issue the completed CDR to the Contractor. The Contracting Officer may take other actions as deemed appropriate. CDR procedures may change as directed by the Contracting Officer.

2. Inspection of services will be conducted by the COR and/or QAE primarily on a planned sampling and customer complaint basis. For a planned sampling, the sample selected for surveillance may be randomly selected or may focus on service areas perceived as critical to the U.S. Government. In a few cases, 100 percent inspection is appropriate for specific one-time events. Incidental surveillance may be conducted while the Contractor is performing services under the contract. The COR and/or QAE will verify customer complaints before recording defects in Contractor performance; this compliments the planned sampling surveillance method

ATTACHMENT 1

SCHOOL TRANSPORTATION VEHICLE INSPECTION CHECKLIST

KAISERSLAUTERN DISTRICT

CONTRACTOR: “S” = Satisfactory

“U” = Unsatisfactory

BUS #: “N/A” = Not Applicable

ITEM SCORE

Is overall appearance of bus satisfactory? Look at the whole bus, nothing should appear broken or have exposed, dangling components.

Is each light fixture operative and in place?

Is windshield and side glass clean, clear, free of cracks and obstructions?

Are puddles, indicating leaking fluids, observed under the bus?

Is the exhaust system tight with no indication of escaping exhaust coming from the underneath the bus?

Do tires appear to be equally inflated & have even wear patterns on the same axle?

Are recaps permitted only on the rear axles?

Are tread areas and side walls of tires free of cuts or bulges?

Is the entrance and step well into the bus clean and properly accessible?

Is the entrance door secure? Does it open completely and form a tight seal when fully closed?

Is the hand rail secure and designed to prevent snagging students clothing, back packs, or other articles attached to the student’s clothing?

Is Fire Extinguisher accessible, fully charged, and in accordance with contract specifications?

Is First Aid Kit accessible to driver and passengers?

Are emergency window breaking device(s), i.e., hammer(s), in full view and readily accessible?

Is driver compartment free from unwarranted distractions? (For example, permanent or temporary decorations or signs that distract from driver’s visibility.)

Are exterior and interior mirrors properly located and functional?

Are heating and/or air conditioning control switches and systems functional?

Is required communications equipment functioning properly?

Are folding seat locks functional?

Is interior free from dirt and debris?

Are seats, overhead racks, and support rails securely attached?

Are seats frames in good repair and free from protrusions that could cause injury?

Are seat covers clean and in good repair?

Do vehicles rated sixteen (16) passengers or less have seat belts installed at each seating position?

When installed, are seat belts clean, in good repair, and functional?

Are motor vehicle safety inspections current in accordance with host nation law?

NOTES:

COR SIGNATURE Date:

ATTACHMENT 2

RECORD OF CUSTOMER COMPLAINT

Complainant’s Name: _________________________________ Date/Time of Complaint: ____________________

Unit/Organization: ___________________________________ Home Phone: ____________________________

___________________________________ Work Phone: ____________________________

Date/Time of Incident: ________________________________ Contract Reference:________________________

Student’s Name/Grade: _________________________________ Route Number (as applicable): __________ (as applicable)

Details of Complaint:

Complainant’s Signature: _______________________________ Date/Time: ______________________________ (if completing in person)

Complaint Received By: ________________________________ Date/Time: ______________________________ (School Bus Office Representative)

Results of Investigation:

Investigation Completed By: _____________________________ Date/Time: ______________________________

Notification to Contract Manager: _________________________ Date/Time: ______________________________

Method of Notification: __________________________________

Action Taken By Contractor:

ATTACHMENT 3

CONTRACT DISCREPANCY REPORT

1. CONTRACT NUMBER:

2. REPORT NUMBER:

3. TO: (Contractor and Manager’s Name)

4. FROM: (Name of COR)

5. DISCREPANCY (Describe in full detail, include reference to SD or SOW paragraph (if no SD is involved, attach continuation sheet if necessary)

6. GOVERNMENT ACTIONS (For reduction of payment, include all calculations)

UNACCEPTABLE SERVICES DEDUCTION

7. SIGNATURE OF QUALITY ASSURANCE EVALUATOR

(Required only when QAE observed the discrepancy)

DATE:

8. SIGNATURE OF COR/CONTRACTING OFFICER (Required always)

DATE:

CONTRACTOR’S RESPONSE

9. TO: (Contracting Officer/COR)

10. FROM: (Contractor)

11. CONTRACTOR RESPONSE (Include cause, corrective action and action taken to prevent recurrence, attach continuation sheet if necessary)

12. SIGNATURE OF CONTRACTOR:

13. DATE:

CONTRACTING OFFICER’S DETERMINATION

14. CONTRACTING OFFICER’S EVALUATION (Acceptance, partial acceptance, rejection; attach continuation sheet if necessary)

15. NAME OF CONTRACTING OFFICER 16. SIGNATURE OF CONTRACTING OFFICER 17. DATE:

DP Form 802, 1 Jan 99