QASP - Warehouse Support.docx

W90BRJ-08-D-0010

Modification No. P00010 Attachment 7

Quality Assurance Surveillance Plan (QASP) for

Warehouse Support Services

HE1254-21-P-4XXX

1.0 INTRODUCTION

1.1 Scope of Work. The scope of this PWS encompasses Contractor support to include logistics support services for the DoDEA Pacific Region Office (Bldgs. 290 and Building 291) located on Torii Station, Okinawa, Japan as well as DoDEA Pacific South District Office (DSO), schools, and other DSO facilities located on Camps Kinser, McTureous, Foster, Lester and Kadena Air Base. The warehouse and logistics support requirement includes planning and implementation of a comprehensive warehouse support program to include inventory management, shipping and receiving, inventory/stocking, furniture assembly/maintenance, interior and exterior building maintenance including touch up painting and typhoon support. Occasional support, not to exceed once per week, to Pacific South schools will be required in the form of moving supplies or equipment, setting up workspaces, or providing logistical support for event setup. The Contractor shall be required to provide management, oversight, direction, and supervision for all work under this contract, to include all matters pertaining to work identification, performance of services, and delivery of data; employee hiring, orientation and training, utilization, payment and administration; purchasing and subcontracts; and establishment and maintenance of records.

1.2 Purpose. This Quality Assurance Surveillance Plan (QASP) is a government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

· What will be monitored

· How monitoring will take place

· Who will monitor

· How monitoring efforts and results will be documented

1.2.1 The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan (QCP). The QASP provides the structure for the government’s surveillance to ensure the contractor’s performance meets contract standards. It is the government’s responsibility to be objective, fair, and consistent in evaluating contractor performance.

1.2.2 The QASP is not part of the contract nor is it intended to duplicate the contractor’s QCP. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

1.2.3 The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the government recognizes utilization of the QASP includes consideration of foreseen or uncontrollable circumstances may occur outside the control of the contractor.

1.2.4 The QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

2.0 AUTHORITY. Authority for issuance of this QASP is provided under FAR 37.604 and FAR 46.4, which provides for inspection, acceptance, and documentation of the service called for in the contract. This acceptance is to be executed by the Contracting Officer (CO) or a duly authorized representative.

3.0 ROLES AND RESPONSIBILITIES. The following personnel comprise the Multi-Functional Team (MFT) and shall oversee and coordinate surveillance activities:

3.1 Contracting Officer (CO). The CO is responsible to safeguard the interests of the United States in contractual relationships. Only the CO is authorized to bind the government and then, only to the extent of the authority delegated to them through the issuance of a warrant.

3.1.1 The CO ensures performance of all necessary actions for effective contracting, compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship.

3.1.2 The CO ensures the contractor receives impartial, fair, and equitable treatment under this contract.

3.1.3 The CO determines the final assessment of the contractor’s performance.

3.1.4 The CO delegates authority for inspection and/or acceptance in accordance with the terms of the contract.

3.1.5 The CO informs the contractor of the names, duties, and limitations of authority for all quality assurance personnel assigned to the contract.

Assigned CO: Thatsanee Schwarzmann Organization or Agency: DoDEA Procurement DSN Telephone: 315-644-5870 Local Japan: 080-2700-8541 Email: thatsanee.schwarzmann@dodea.edu

3.2 Contracting Officer’s Representative (COR). The COR is responsible for quality assurance guidance and to ensure that contract quality requirements, provision, standards, and thresholds are defined, practical, enforceable, necessary, and verifiable.

3.2.1 The COR provides continuous technical oversight of the contractor’s performance.

3.2.2 The COR uses the QASP to conduct the oversight/surveillance process.

3.2.3 The COR shall keep a Quality Assurance file accurately documents the contractor’s actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract.

3.2.4 The COR evaluates and documents contractor performance in accordance with the QASP and PWS.

3.2.5 The COR is responsible for reporting early identification of performance problems to the CO.

3.2.6 The COR is required to provide an annual Contractor Performance Assessment Report (CPAR) to the CO which will be used in documenting past performance.

3.2.7 The COR maintains surveillance documentation.

3.2.8 The QASP is the primary tool for documenting contractor performance.

3.2.9 The COR recommends improvements to the QASP and PWS throughout the life of the contract.

3.2.10 The COR is not empowered to make any contractual commitments or to authorize any contractual change on the government’s behalf.

Assigned Primary COR: Mr. Scott Hall Organization or Agency: DoDEA Pacific Region DSN Telephone: 315- 632-6015 Email: scott.hall@dodea.edu

3.3 Contractor Representatives. The following employees of the contractor serve as the contractor’s representatives for this contract. (Complete this section after the contract award)

TBD

4.0 QUALITY REQUIREMENTS

4.1 Quality Control Program. The contractor, not the government, is responsible for management and quality control actions to meet the terms of the contract.

4.1.1 The quality control program is the driver for 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.

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

5.0 PERFORMANCE REQUIREMENTS AND METHOD OF SURVEILLANCE

5.1 Contract Surveillance. The COR is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance. The COR’s contribution is their professional, non-adversarial relationships with the CO, Project Manager and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. Additionally, this QASP is based on the premise the contractor, not the Government, is responsible for management and quality control/assurance actions to successfully meet the terms of the contract.

5.2 Surveillance Matrix. The Performance Requirement Summary/Surveillance Matrix (Appendix 1) is the list of performance objectives and thresholds that must be performed by the contractor. The matrix states desired outcome, performance standards, acceptable quality levels, metrics, and method of surveillance the COR will use to inspect and validate performance elements. Inspection of each element will be documented in the COR file. Performance objectives define the desired outcomes. Performance thresholds define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards.

5.3 Methods of Surveillance. One-hundred percent inspection, random sampling surveillance, and periodic surveillance will be the standard contract performance review and analysis processes used in evaluating the contractor’s performance. The PWS provides the foundation of the COR’s inspection checklist.

5.4 Definition of surveillance methods:

5.4.1 One-Hundred Percent Inspection. The COR will inspect and evaluate the contractor’s performance each time it is performed. The results of the contractor’s overall performance are then evaluated to determine acceptability of the service provided.

5.4.2 Random Sampling Surveillance. When selecting samples, the number of selections should exceed the required sample size by at least 10 percent to allow for situations where a selected sample cannot be evaluated. For example, if the sample size is 25 samples, select 28 samples. The COR will make every attempt to evaluate the first 25 samples selected but, should surveillance of the 25th sample be impossible, then the COR must evaluate the 26th sample instead. In this example, the COR must evaluate only 25 samples. If the COR does not evaluate the total number of required samples, the samples not evaluated are deemed to have been performed and are recorded as acceptable.

5.4.3 Periodic Inspection. Performance and/or items are inspected using the periodic surveillance (daily, weekly, monthly, quarterly, etc.) as determined by the COR. The results of the periodic surveillance inspections may be used as the basis for actions (other than payment deductions) toward the contractor. In such cases the Inspection of Services clause becomes the basis for the CO’s actions. The inspection schedules (if applicable) are submitted to the CO for review prior to the month being inspected.

5.4.4 The COR will submit a schedule to the CO the month prior to the month being inspected. Schedule will show time, date, locations, and item(s) that will be inspected. Any changes to the schedule will be submitted to the CO when the change occurs.

5.5 Contractor Performance Assessment Reporting System (CPARS). In the case of unsatisfactory performance, the remedies afforded to the government include: less than satisfactory ratings on CPARS, reducing or withholding payment, if contract has options - not exercising option periods, and terminating the contract. In evaluating the quality of contractor’s performance, the following performance ratings shall be used for CPARS:

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

6.0 REVISIONS. Revisions to this QASP are the joint responsibility of the requiring activity and the contracting office. The CO must approve the revisions in writing before being used by COR personnel.

7.0 DOCUMENTATION REQUIREMENTS.

7.1 The Contracting Officer Representative is responsible for maintaining a Surveillance Folder at a designated location. The following information should be contained in the Surveillance Folder:

· QASP

· Contractor’s Quality Control Plan

· Contract. Applicable portions of the contract and PWS, modifications, and delivery orders.

· Appointment Letters and Training Certificates of the COR

· Surveillance Checklists

· Performance Analysis Reports

· Corrective Action Reports

· Monthly Surveillance Status Reports

· Minutes/Memo’s/Miscellaneous Correspondence

8.0 PERFORMANCE REQUIREMENTS SUMMARY (PRS)

8.1 Overview. This PRS summary identifies critical success factors for the contract. It identifies both the desired outcomes for those factors and the performance threshold required for each desired outcomes. The Government reserves the right to survey all services called for in the contract to determine whether or not the desired outcomes and goals were met. This PRS:

8.1.1 Lists the desired outcome for the required service that the Government will perform surveillance.

8.1.2 The absence of any contract requirement from the PRS shall not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract.

8.1.3 Will be used as the baseline to develop a QASP. The QASP will identify the surveillance methods the Government will use to evaluate the contractor’s performance.

8.1.4 Surveillance methods may include: 100% inspection, Customer Feedback, Scheduled Surveillance; Random Surveillance (sampling).

8.1.5 Methods of surveillance can change after contract award based on, but not limited to:

· Acceptance of a contractor QC plan.

· A partnering agreement which established the metrics to be used.

· Contractor performance.

9.0 PERFORMANCE REPORTING.

9.1 Customer Complaint Record (CCR) (Appendix 2). The COR shall ensure complaint procedures and forms are made available to all customers (See Customer Complaint Record below). Any personnel that observe questionable or incomplete services or services not performed, or performed improperly, should immediately contact the COR. The COR shall receive, document, and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the complainant and explain why the complaint was invalid. The COR shall fully document the resolution for each complaint on the Customer Complaint Record. Complaints will be tracked and if the performance threshold is exceeded, the COR shall notify the CO in writing. The CO will notify the contractor and appropriate action can be taken.

9.2 Performance Assessment Report (PAR) (Appendix 3). PARs will be used to report ALL minor discrepancies and will be generated by the COR and sent to the contractor for corrective action. Contractors will be given 10 days to correct PARs unless they have requested an extension. If 3 minor discrepancies are found, combine them and process a Contract Action Report (CAR).

9.3 Contract Action Report (CAR) (Appendix 4). Corrective Action reporting is designed for reporting two types of discrepancies, minor and major:

9.3.1 Minor discrepancies consist of instances of non-routine contract noncompliance, which are usually immediately correctable by the contractor. Examples may include data deliverables with minor grammatical or spelling errors, insufficient copies of documents, and late deliveries of plans and reports. Minor discrepancies will be reported verbally by the COR to the designated ontractor ‘representatives. Uncorrected minor discrepancies will be reported in writing by the CO addressed to the contractor’s senior manager. This action could be in the form of a Letter of Concern, Letter of Forbearance, Show Cause or Cure Notices: The type of correspondence is at the discretion of the CO.

9.3.2 Major discrepancies consist of multiple minor discrepancies or instances of non-routine contract noncompliance which are of such a magnitude that formal documentation by the COR and coordination with the CO are deemed necessary. Two examples would be late delivery of architectures, and untimely responses to customer complaints or issues. Major discrepancies will be reported in writing by the COR to the designated contractor representative. Copies of written correspondence will be coordinated with the CO prior to issuance to the contractor representative. Uncorrected Major discrepancies will be reported in writing by the CO addressed to the contractor’s senior manager. This action could be in the form of a Letter of Concern, Letter of Forbearance, Show Cause or Cure Notices: The type of correspondence is at the discretion of the CO.

9.4 Correcting Unacceptable Performance. Performance of a service will be evaluated to determine whether or not it meets the performance threshold. Re-performance is the preferred method of correcting any unacceptable performance. The contractor shall provide the Government written response why the performance threshold was not met, how performance will be returned to acceptable levels, and how recurrence of the cause will be prevented in the future.

10.0 Contract Management.

The contractor shall immediately notify the CO or COR of any work being performed if any, that the contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues (i.e. CAR reports, customer complaints/incident reports, etc.).

11.0 Appendices.

Appendix 1 – Performance Requirement Summary/Surveillance Matrix

Standards

PWS 2.5 to include subparagraphs:

Provide Warehouse Support

PWS 2.6 to include subparagraphs:

Shipping, Receiving, and Delivery Provide Shipping, Receiving, and Delivery services as stated in PWS.

PWS 2.11 to include subparagraphs:

Typhoon Support for Region Office (Bldg. 290, 291).

Appendix 2 – Customer Complaint Record (CCR)

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 3 – Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or SOW PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

Performance Assessment Report (PAR) Template, Feb 05 (SAF/AQCP)

PERFORMANCE ASSESSMENT REPORT

Continuation Sheet (Number to correspond with applicable Item Number on reverse)

Performance Assessment Report (PAR) Template, Feb 05 (SAF/AQCP) Performance Assessment Report (PAR) Instructions

Block 1. Contracting Officer’s Representative (COR) enters contract or task order number.

Block 2. COR enters contractor name.

Block 3. COR enters type of services.

Block 4. COR signs and dates.

Block 5. COR enters telephone number.

Block 6. COR assigns suspense date for Contractor Representative validation if a deficiency box was checked in Block 7.

Part I. Contractor Performance

Block 7. COR checks all boxes that apply.

Block 8. COR enters Services Summary or Statement of Work (SOW)/Performance Work Statement (PWS) paragraph item reviewed.

Block 9. COR enters brief description of deficiency and tracking number if the deficiency box was checked in Block 7. Detailed description will be on Corrective Action Report (CAR).

Block 10. COR enters a detailed performance assessment if the deficiency box in Block 7 was not checked.

Parts II and III will be used only if a deficiency was documented in Part I.

Part II. Contractor Validation

Block 11. Contractor Representative checks one box in response to COR cited deficiency. If Concurrence is indicated, Contractor Representative continues to Block 12. If Non-Concurrence is indicated, continue to Block 13 and state reason(s) for Non-Concurrence with COR cited deficiency and return PAR to COR.

Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Corrective Action and the Action Taken to Prevent Recurrence or Reason for Non-Concurrence of COR cited deficiency.

Part III. Deficiency Corrected

Block 14. COR checks appropriate block, signs, and dates.

Block 15. (Required Entry) COR remarks regarding the Corrective Action and the Action Taken to Prevent Recurrence. If Non-Concur was checked, this block should be very detailed to explain why.

Block 16. Contractor Representative enters remarks if further discussion is needed about COR concurrence with Contractor’s Corrective Action and Action Taken to Prevent Recurrence.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

Appendix 4 – CORRECTIVE ACTION REPORT (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

Appendix 4 – Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (Continuation Sheet) (Number to correspond with applicable Item Number on reverse)

Corrective Action Report (CAR) Instructions Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

Block 5. Enter the assigned suspense date given the contractor to provide a response to the CAR. A date must be entered for a Major CAR. A date is optional at the discretion of the Contracting Officer’s Representative (COR) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director is the Issuing Authority for his/her contract Contracting Officer’s Representative’s (CORs) generating CARs. By providing the control number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The control number will be made up of the first two letters of the name of the site or contract, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding. See Quality Assurance Surveillance Plan (QASP) for the definitions of Major and Minor findings and associated explanations.

2. Finding: Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, section, paragraph and subparagraph and must make a complete brief quotation of the contract reference.

3. State the impact that the finding has or could have on the accomplishment of the mission that the contract provides.

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires a greater amount of time to come to solution. Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract CORs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the contractor’s reply, the originator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The COR selects Accept or Reject after reviewing the contractor’s response.

Block 12. The COR enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the contractor and report accordingly in the monthly Certificate Of Service (COS) or other applicable contracting officer services report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the Issuing Authority forwards the open CAR back to the contractor for additional information.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.