QASP 07 OCT 2021.pdf

Quality Assurance Surveillance Plan for

GRANULATED ACTIVATED CARBON SERVICE

CONTRACT

75 CES/CEOS

07 October 2021

THIS DOCUMENT IS USED FOR SURVEILLANCE BY THE CONTRACTS OFFICER

REPRESENTATIVE (COR)

TABLE OF CONTENTS

SECTION A – PURPOSE Page 4

SECTION B - ROLES AND RESPONSIBILITIES Page 5

SECTION C – PROCEDURES Page 6

SECTION D - METHODS OF SURVEILLANCE Page 7

SECTION E - UNACCEPTABLE PERFORMANCE Page 8

SECTION F - CERTIFICATION OF SERVICES Page 9

SECTION G – SURVEILLANCE GUIDES Page 10-12

SECTION H - CONTRACTORS QUALITY AND SAFETY PLAN Page 13

SECTION I – CUSTOMER COMPLAINT PROCEDURES Page 14-15

SECTION A

PURPOSE

This Quality Assurance Surveillance Plan (QASP) has been developed to evaluate contractor actions while implementing the Performance Work Statement. It is designed to provide an effective surveillance method of monitoring contractor performance for each listed objective on the Service Delivery Summary (SDS) in the maintenance contract.

The QASP provides a systematic method to evaluate the services the contractor is required to furnish.

This QASP is based on the premise the government desires to maintain a quality standard in cleaning and servicing Granulated Activated Carbon tanks at Building 575. The service contract to provide the service is the best means of achieving that objective.

The contractor, and not the government, is responsible for management and quality control actions to meet the terms of the contract. The role of the government is quality assurance to ensure contract standards are achieved.

In this contract the quality control program is the driver for product quality. The contractor is required to develop a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program approved at the beginning of the contract provides the measures needed to lead the contractor to success.

Once the quality control program is approved, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program.

SECTION B

ROLES AND RESPONSIBILITIES

INSTALLATION COMMANDERS; shall implement the requirements of AFI 63-124 at their installations.

CHIEF OF AF CONTRACTING: shall establish and maintain a Quality Assurance Program to implement and oversee. Appoint training for the Contracts Officer Representative (COR) and periodic briefings to commanders and FD/FCs on the Quality Assurance Surveillance Plan (QASP) and specific service contracts. Advise and assist commanders and FD/FCs in related service contract matters.

FUNCTIONAL DIRECTORS/COMMANDERS (FD/FC); shall prepare PWS’s and QASP’s and obtain contracting officer coordination on the final product. Nominate qualified individuals as COR’s. Ensure COR’s maintain proficiency and evaluate the COR’s job performance not less than annually. Ensure all personnel within the functional area who may have contract with contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

CONTRACTING OFFICERS (CO); shall advise and assist functional area personnel and COR’s. Inform the contractor of the duties and limitations of the COR. Review and coordinate with the FD/FC and COR the contractor’s quality control plan and notify the contractor of acceptability and deficiencies in the plan. Periodically assess the COR’s performance and advise the FD/FC of any problems.

COR; shall maintain technical competency in the functional area surveyed. Obtain proficiency in surveillance procedures. Perform surveillance according to the QASP and provide documentation of surveillance observations to the CO. Certify acceptance of services and calculate unacceptable service prescribed by the CO. Help in preparing PWS and QASP’s.

QUALITY ASSURANCE PROGRAM COORDINATOR; is the coordinator for the FD/FCs and provides training for the FD/FCs and Quality Assurance Personnel.

CONTRACTOR; shall be responsible to comply with all the terms and provisions of the contract.

SECTION C

PROCEDURES

1. CONTRACTS OFFICER REPRESENTATIVE (COR) SCHEDULE

The COR will develop a surveillance schedule, based on this surveillance plan’s requirements.

The schedule must be completed no later than 7 calendar days before the beginning of the period it covers. The COR must give one copy of the surveillance schedule to the Contracting Officer before the start of the surveillance period. The FD/FC must either be given a copy for review or must review the original and return it to the COR not later than the last day of the month preceding the month scheduled.

Changes to the surveillance schedule will be posted weekly and copies sent to the Contracting Officer and FD/FC. Documentation of the reason for the change will be included.

2. ACTUAL SURVEILLANCE

Customer complaints shall be verified by the COR as valid, or invalid in accordance with the

PWS.

100% inspections that occur will be evaluated in accordance with the checklists contained in this document, and by the constraints of the PWS.

SECTION D

METHODS OF SURVEILLANCE

RANDOM INSPECTION:

When this type of surveillance is used the COR must inspect and evaluate the contractor’s performance each time it is performed. The result of the contractor's overall performance is then evaluated to determine acceptability.

CUSTOMER COMPLAINT:

The COR will receive and investigate complaints. The COR shall be responsible for initially validating customer complaints. The CO shall make final determination of the validity of customer complaint(s) in cases or disagreement with the COR and the Contractor. Validated customer complaints shall be re-performed after notification by the CO or COR.

Exceeding the performance threshold for performance objective in any one month period may result in a warning or letter of concern from the CO.

Exceeding the performance threshold for performance objectives for any two, or more consecutive or non-consecutive months during a contract period may constitute an immediate Progress Meeting with the Multi-Functional Team. All remedies shall be in accordance with the FAR 52.212-4 (a), Contract Terms and Conditions – Commercial Items, Inspection/Acceptance.

The COR is the point of contact and must collect all customer complaints. All complaints and any resulting resolution of such complaints must be documented. Customer complaints become a permanent part of the COR surveillance records.

SECTION E

UNACCEPTABLE PERFORMANCE

When performance is deemed unacceptable, the COR must inform the contractor’s on-site representative that performance is unacceptable and why, and request his or her initials and date on the surveillance record. By initialing and dating the record, the contractor’s on-site representative is acknowledging that he or she has been told of the unacceptable performance.

He or she is not necessarily agreeing that the performance is unacceptable. If the contractor wants to dispute the results of the surveillance, the COR must refer them to the CO for resolution of the matter.

If, at any time during the surveillance period, the results of surveillance show that the number of unacceptable observations during the period exceeds the performance threshold, and the COR determines that it is not government caused, the COR notifies the CO in writing. The CO evaluates the comments and contacts the contractor. The CO and Contractor will evaluate the situation and negotiate some means of compensation for unacceptable performance. The authority used is the Inspection of Services clause.

SECTION F

CERTIFICATION OF SERVICES

The COR is required to accept contractor services and determine payments due. At the completion of each contract payment period, the COR must certify the services actually received under the contract. A contractor’s invoice may be used to certify services.

REVISIONS TO PERFORMANCE PLAN:

Revisions to this surveillance plan are the joint responsibility of the FD/FC, the Administrative CO, and the QA Program Coordinator. A copy of the revised QASP will be distributed to anyone who has a copy of the original QASP.

SECTION G

SURVEILLANCE GUIDES

SURVEILLANCE GUIDE FOR SDS # 1

1. Method of Surveillance: CUSTOMER COMPLAINT

a. Performance is unacceptable when the contractor has 1 valid customer complaint during the month.

2. Performance Threshold: The following performance thresholds will be used by the COR during periodic checks to evaluate the contractor’s performance.

Performance Objective PWS para. Performance Threshold

Perform sufficient quantity replacement of Granulated Activated Carbon

Paragraph 1, 1.1, 1.2, and 1.3

No valid customer complaints per month

3. INSPECTION PROCEDURES:

A complaint log is maintained by the COR that records all valid complaints that are received either through e-mail or by telephone. The log contains the following information: Time and date of complaint, organization, building number, name, telephone number, and nature of complaint. The government evaluator will receive complaints from base personnel and pass them to the contractor's quality control inspector (QCI) for correction.

Any base employee who observes unacceptable services, either incomplete or not performed, for any of the above service items should immediately contact the government evaluator, who will complete appropriate documentation to record the complaint. The evaluator will consider the customer complaint valid upon receipt from the customer. The evaluator should inform the customer of the approximate time the defect(s) will be corrected and advice the customer to contact the evaluator if not corrected. The evaluator will consider customer complaints as resolved unless notified otherwise by the customer. The evaluator shall verbally notify the Contractor’s Quality Control Inspector (QCI) to pick up the written customer complaint. The QCI will be given two hours after verbal notification to correct the unacceptable performance. If the QCI disagrees with the complaint after investigation of the site and challenges the validity of the complaint, the QCI will notify the evaluator. The evaluator will conduct an investigation to determine the validity of the complaint. If the evaluator determines the complaint as invalid, he will document the written complaint of the findings and notify the customer. The evaluator will retain the annotated copy of the written complaint for his/her files. If after investigation the evaluator determines the complaint as valid, the evaluator will inform the QCI and the QCI will be given an additional hour to correct the defect. A defect will not be recorded if proper and timely correction of the unacceptable condition(s) is accomplished. However, a defect in Contractor’s Quality Control program will be recorded for QCI’s failure to recognize a valid customer complaint. The QCI shall return the written customer complaint document, properly completed with actions taken, to the evaluator, who will file the complaint for monitoring future recurring performance. Three or more defects will be recorded and reported to the contracting officer for appropriate action in accordance with FAR 52.212.4, Contract Terms and Conditions- Commercial Items (May 1997).

SECTION G

SURVEILLANCE GUIDES

SURVEILLANCE GUIDE FOR SDS # 2

1. Method of Surveillance: RANDOM INSPECTION

a. Performance is acceptable when the contractor has 0 valid deficiencies during the month.

b. Performance is unacceptable when the contractor has 1 or more valid deficiencies during the month.

2. Performance Threshold: The following performance thresholds will be used by the COR during periodic checks to evaluate the contractor’s performance.

Performance Objective PWS para. Performance Threshold

Perform sufficient quantity replacement of Granulated Activated Carbon

Paragraph 1, 1.1, 1.2, and 1.3

No deficiencies permitted

INSPECTION PROCEDURES:

The contractor shall notify the COR when replacement of GAC has been performed. The COR will conduct 100% inspection contractor’s performance.

SECTION H

CONTRACTORS QUALITY AND SAFETY PLAN

In compliance with the FAR, the Contractor shall establish and maintain a Quality Control Plan to ensure the requirements of this contract are provided as specified. The contractor shall provide a Quality Control Plan describing the inspection system for the requested services listed in the PWS. The Contractor shall develop and implement procedures to identify, prevent and ensure non-recurrence of defective services. The written Quality Control Plan will be required when proposals are submitted. The CO will notify the Contractor of acceptance or required modifications to the Plan. The Contractor shall make appropriate modifications (at no additional cost to the Government) and obtain acceptance of the plan by the CO before the start of the performance period. The plan shall be updated as changes occur and shall be submitted for review and acceptance by the government.

The Contractor shall adhere to all Government safety requirements. The Contractor shall not employ persons on this contract if such employee is identified to the Contractor by the CO as a potential threat to the health, safety, security and or general well being or operational mission of the installation and its population.

SECTION I

CUSTOMER COMPLAINT PROCEDURES

The customer must complete the section highlighted in yellow before sending to the government evaluator. The completed form may be emailed, faxed, or hand carried to the government evaluator.

The government evaluator will receive complaints from base personnel and pass them to the contractor’s quality control inspector (QCI) for correction. Any base employee who observes unacceptable services, either incomplete or not performed should immediately contact the government evaluator, who will ensure the customer has a customer complaint form and the form is filled out correctly. The evaluator will consider the customer complaint valid upon receipt from the customer. The evaluator will inform the customer of the approximate time the defect(s) will be corrected and advise the customer to contact the evaluator if not corrected. The evaluator will consider customer complaints as resolved unless notified otherwise by the customer. The evaluator shall verbally notify the QCI to pick up the written customer complaint. If the QCI disagrees with the complaint after investigation of the site and challenges the validity of the complaint, the QCI will notify the evaluator. The evaluator will conduct an investigation to determine the validity of the complaint. If the evaluator determines the complaint as invalid, he/she will document the written complaint of the finding and notify the customer. If the complaint is valid the contractor must re-perform the unsatisfactory service. If the defect is recurring it will be reported to the contracting officer for appropriate action in accordance with FAR 52.212.4, Contract Terms and Conditions-Commercial Items (May 1997). The evaluator will retain the annotated copy of the written complaint for his/her files.

The contractor is responsible for:

Replacement of Granulated Activated Carbon in accordance with the requirements, frequency and schedules as outlined in the PWS.

Time: Date:

Name:

Phone number(s):

Complaint:

Time: Date:

COR Comments:

Time: Date:

Contractor Comments:

COR Signature & Date Contractor Signature & Date

Customer Complaint Form

Return completed form to the Granulated Activated Carbon COR

COR initals:

Contractor's initals:

TABLE OF CONTENTS