Attachment 4 - DDSP Janitorial QASP.pdf

SP330023R0002 Attachment 4

Quality Assurance Surveillance Plan (QASP) (revised September 2019) Page | 1

Quality Assurance Surveillance Plan (QASP)

For

Janitorial Services

DLA Distribution Susquehanna, Pennsylvania

SP3300-23-C-0002

(Date of Issue)

1. SCOPE

A. The Contractor shall provide all management, tools, supplies, vehicles, transportation, equipment, labor, and applicable licenses, permits, and/or certificates necessary to perform Janitorial services in approximately 75 buildings at the DLA Distribution Susquehanna, Pennsylvania, located in New Cumberland, PA.

B. The Contractor shall incur all costs associated with the performance of this effort. These costs include, but are not limited to, the cost of fuel, preventative maintenance and repair of their own equipment, preventative maintenance and repair of vehicles, and building to building travel of employees. The total cleaning square footage quantity for the installation may vary as much as a net change of +/- 1,000 square feet without requiring a contract modification to adjust the contract price applicable to Janitorial Services under CLIN X001. Services shall be performed in accordance with standard commercial cleaning practices. Cleaning services provided shall include a full range of Janitorial care. This is inclusive of, but not limited to, the following: vacuuming, sweeping, mopping, trash removal, emptying and cleaning public ash trays/urns, washing interior/exterior windows (except building 430 for exterior windows; see PWS section 4.1.1.1), dusting, disinfecting, descaling, shampooing carpet, scrubbing and/or stripping and waxing floors, cleaning water fountains, cleaning mirrors and glass, cleaning entryways and mats, cleaning stairways, spot cleaning, metal polishing (i.e., examples include, but are not limited to, water fountains, faucet fixtures), stocking supplies in restrooms and break areas, sanitizing restrooms, and removing cob webs.

C. In addition to all of the cleaning services, the Contractor shall perform spot cleaning on a continual basis. Spot cleaning includes, but is not limited to, removing and/or cleaning smudges, fingerprints, marks, streaks, and spills from washable surfaces of all walls, partitions, vents, grillwork, doors, door guards, door handles, push bars, kick plates, light switches, temperature controls, carpets, and fixtures. After spot cleaning, the surface shall have a clean, uniform appearance, free of streaks, spots, and other evidence of soil. The majority of services will be performed indoors; however, applicable tasks will be performed outdoors.

D. The Contractor shall provide cleaning services in strict compliance with the performance standards in the contract. All commercial cleaning standards, as well as all local, State, and Federal regulations and laws apply.

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E. This is a non-personnel services requirement. The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor, who in turn is responsible to the Government.

2. PURPOSE

The QASP represents the Government's acceptance and inspection program for performance requirements, and agencies must ensure Government Quality Assurance (QA) is conducted before Contractor products or services are accepted by or under the direction of Government personnel.

The QASP documents this program to provide a measure of the quality and timeliness of products and services provided by the Contractor. The Government, as the recipient of the Contractor’s products and services, retains the responsibility for developing and implementing QA. Implementation of the QASP assists in providing validation that the quantity, quality, and timeliness of products and services received comply with the contract performance requirements, to include DLA Distribution policies and procedures.

This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the Contractor. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the Contractor and Government officials implementing surveillance activities.

3. GOVERNMENT ROLES AND RESPONSIBILITIES (AS APPLICABLE)

The following is a listing of responsibilities for the personnel that shall oversee and coordinate surveillance activities. See Attachment 1 for a list of personnel assigned to these roles.

a. CONTRACTING OFFICER (KO) - The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The KO shall also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

b. ACQUISITION SPECIALIST (AS) - The AS acts as an acquisition consultant and serves as liaison between KO, the COR/TPOC/QAE, and the Contractor.

c. CONTRACTING OFFICERS REPRESENTATIVE (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the Contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the

Quality Assurance Surveillance Plan (QASP) (revised September 2019) Page | 3 contract or when requested by the KO, the COR shall provide documentation to the KO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The Contractor shall refer any changes they deem may affect contract price, terms, or conditions to the KO for action. Responsibilities include, but are not limited to:

• Ensuring COR training and other certification requirements are up to date

• Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

• Preparing and coordinating annual contract performance assessments and reports

• Maintaining file copies of all documents submitted by the Contractor

• Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

• Becoming thoroughly familiar with all of the terms and conditions of the contract

• Maintaining a copy of the current QASP; understanding the requirements of the QASP

• Participating in requirement teams and coordinating contract modifications

• Coordinating nonconforming surveillance activities with the Contractor

• Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

• Performing quality assurance surveillances as required or necessary (i.e. no TPOC or

QAEs have been assigned)

d. TECHNICAL POINT OF CONTACT (TPOC) – A TPOC is similar in scope and responsibility to a COR but is usually appointed when services are being provided at multiple locations and the COR is located at a central location. The TPOC must meet the same training requirements and standards as a COR. The TPOC reports through the COR to the KO. If assigned, the TPOCs responsibilities include, but are not limited to:

• Ensuring COR training and other certification requirements are up to date

• Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

• Preparing and coordinating annual contract performance assessments and reports

• Maintaining file copies of all documents submitted by the Contractor

• Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

• Becoming thoroughly familiar with all of the terms and conditions of the contract

• Maintaining a copy of the current QASP; understanding the requirements of the QASP

• Participating in requirement teams and coordinating contract modifications

• Coordinating nonconforming surveillance activities with the Contractor

• Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

• Performing quality assurance surveillances as required or necessary (i.e. no QAEs have been assigned)

e. QUALITY ASSURANCE EVALUATOR (QAE) - A QAE, if assigned, is typically a technical and subject matter expert in the products or services that are being provided and performed by the Contractor. The QAEs primary role is with the inspection, documentation, and reporting of

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Contractor performance through the TPOC or COR. If assigned, the QAEs responsibilities include, but are not limited to:

• Filing required reports and documents with the COR/TPOC as required

• Reviewing the Contractor’s Quality Control Plan; recommend rework as necessary

• Becoming thoroughly familiar with all of the terms and conditions of the contract

• Participating in requirement teams and coordinating contract modifications

• Coordinating nonconforming surveillance activities with the Contractor

• Performing quality assurance surveillances as assigned

• Maintaining a copy of the current QASP; understanding the requirements of the QASP

• Monitor the Contractor’s performance under a CAP and report both positive and negative findings to the COR/TPOC.

f. QUALITY ASSURANCE TEAM (QAT) – The QAT is comprised of all individuals assigned a role in the quality assurance surveillance and contract oversight process. The size and scope of this team will vary based on the individual characteristics and complexity of the products or services being provided by a contract entity.

4. QUALITY CONTROL AND QUALITY ASSURANCE

a. QUALITY CONTROL - The overall responsibility for performance quality rests with the Contractor. Through their Quality Control Plan (QCP), they are responsible for monitoring, reporting, and correcting performance issues as they are discovered. The QCP is considered a living document (just like this QASP) and should be reviewed and revised as necessary throughout all periods of performance.

b. QUALITY ASSURANCE - The QAT, through assigned QAEs, TPOCs, and COR, are responsible for conducting scheduled and unscheduled performance checks (surveillances) to gauge the effectiveness of the Contractor’s quality program. Findings or nonconformances discovered by the QAT will be shared with the Contractor, as they are discovered, in order to permit the Contractor to both identify corrective actions necessary to improve performance as well as improve their quality control efforts.

5. QUALITY ASSURANCE SURVEILLANCE PROCESS

The foundation to the quality assurance surveillance process is a firm and thorough understanding of the requirements contained in the contract. This includes the Performance Work Statement (PWS) or Statement of Work (SOW), Contract Data Requirements Listings (CDRLs), Technical Exhibits, and any referenced SOPs, Handbooks, Manuals, Instructions, or other guidance cited in the requirement. Additionally, and equally important, a clear

Quality Assurance Surveillance Plan (QASP) (revised September 2019) Page | 5 understanding of the Contractor’s Quality Control Plan (QCP) is necessary in order to have insight on how the Contractor has proposed to evaluate and report their internal quality efforts.

With this understanding, the individual(s) that will be conducting the quality assurance surveillances can begin their inspection and verification processes. DLA Distribution uses a 7- Step Process to assist in making this easier. The steps are:

• Identify – Precisely identify the objective of the surveillance and the associated standards

• Review – Review the contract, any cited references, and other pertinent documents

(CDRLs, QCP, SOPs, Agreements, etc.)

• Conduct – Conduct the surveillance by paying close attention to the object or processes being surveilled to include environmental factors at the time of the surveillance; Be Observant, Objective, and Document all findings both good and bad

• Document – Document your surveillance results as they were observed

• Analyze – Review your documentation and analyze the results looking for missing data.

Look for the “Root-Cause” to problems by asking yourself “why” repeatedly until a potential root cause is discovered

• Report – Be clear and concise but thorough when reporting your surveillance results

• File – File your surveillance documentation

6. QUALITY ASSURANCE SURVEILLANCE METHODS

Contract requirements can be surveilled using a variety of techniques and methodologies and many requirements can be surveilled using multiple techniques. It is up to the individual conducting the surveillance to determine the most appropriate method for a particular requirement. DLA Distribution utilizes the four methods below.

• DIRECT OBSERVATION – This method should be used to physically observe a process and procedures being performed

• 100% INSPECTION – Generally the most time consuming surveillance method; ideally used when Lot Sizes are relatively small (25 or less)

• RANDOM SAMPLING – Ideal for use with large Lot Sizes; a statistical sample is selected from the Lot. The table below will be used to determine Sample Size based on a range for the Lot. Accept/Reject numbers are included

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Figure 1 - Random Sampling Plan

• VALIDATED CUSTOMER COMPLAINT – A customer complaint that has proven to be valid based on subsequent investigation; not all complaints are valid or reasonable unless they can be verified. Customer complaints should be documented in writing and submitting by the customer. The customer may be any stakeholder in the process and not necessarily the end user customer.

7. DOCUMENTING AND REPORTING PERFORMANCE

All surveillance activities must be thoroughly documented. This is equally important for conforming results as it is for nonconforming results. All surveillance documents become an official part of the Contract File and are preserved throughout the periods of performance, contract closeout, and then further for the required document retention period. For this contract, two types of performance reports will be utilized, Non-Acceptable Performance Level (Non- APL) and Acceptable Performance Level (APL). All non-conforming surveillance outcomes shall include a detailed explanation that clearly identifies the non-conformance or failure of Non- APL Performance or APL Performance requirements in the Monthly COR Report. A “COR Report” template is available in the Surveillance and Performance Monitoring Tool (SPM) in the Procurement Integrated Enterprise Environment (PIEE).

• NON-APL PERFORMANCE - The COR/TPOC will utilize the Contract Oversight Surveillance Report (COSR) to document oversight activities and document contractor non-APL performance. Non-APL surveillances should occur multiple time throughout the month.

o SCHEDULED SURVEILLANCE - The COSR consists of a series of questions that are derived directly from the requirements document (PWS/SOW and other contract references). The questions are broadly written to permit the individual conducting the surveillance to inspect any portion of the requirement.

o CHANCE DISCOVERY (Unscheduled or Chance Surveillance) – A Chance Discovery can be used at any time to document a nonconformance for a requirements for which there isn’t a specific surveillance question, for a condition

Quality Assurance Surveillance Plan (QASP) (revised September 2019) Page | 7 that is discovered during other than regular scheduled surveillance reporting, or a safety or security issue that needs to be documented. The COSR has blank spaces that can be used to document this Chance Discovery. The process for documenting and methods used are the same as for any scheduled surveillance.

o The COSR is required to be completed on a monthly basis and attached to the “Contracting Officers Representative (COR) Report” (COR Report).

• APL PERFORMANCE – The COR/TPOC will utilize the “APL Report” to document conformance to acceptable performance levels (Conforming/Non-Conforming). The APLs are specific timeliness or quality metrics that are collected and analyzed on a monthly basis to give a general idea of the Contractor’s ability to meet specific measurable targets. APLs are normally only reviewed after the end of the month, as APLs are measured on a full month’s performance.

o The APL Report is required to be completed on a monthly basis and attached to the “COR Report”.

• The QAT is required to provide documentation for both conforming as well as nonconforming performance each month.

o ACCEPTABLE PERFORMANCE (Conforming).

The Government shall document positive performance within the Contract

Oversight Surveillance Report and submit this report to the Contracting Office based on Contract Requirements Monthly.

o UNACCEPTABLE PERFORMANCE (Nonconforming).

The QAT shall document all unacceptable performance within the

Contract Oversight Surveillance Report and submit this report to the Contracting Office based on Contract Requirements Monthly. If the COSR is completed by a QAT member other than the COR, the COSR shall be forwarded to the COR for acceptance. The COR shall inform the contractor within one working day of each non-conforming surveillance.

This shall be in writing unless circumstances necessitate verbal communication, which the COR will document. The COR shall retain all documentation regarding surveillance activities and outcomes within the COR file.

Reporting of non-conforming surveillances is used to determine the appropriate course of action following the documentation of the contractor’s non-compliance and convey the significance of the surveillance, the individual requirement, a count of the consecutive nature of the non-conformance and identifiable trends. If the nonconformance has occurred previously or is an ongoing issue, a trend statement must be included to document the numbers of occurrences of the same nonconformance over a quarterly, semi-annual, or annual basis.

For each nonconformance (both Non-APL and APL), the Contractor shall prepare and submit a Corrective Action Plan (CAP) to the COR/TPOC.

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The CAP shall provide detailed information regarding an explanation of what the nonconformance was, root-cause analysis to determine the cause of the probable cause of the nonconformance, corrective/preventive measures the Contractor will follow to correct the problem, and roles and responsibilities associated with getting the nonconformance corrected.

The COR/TPOC will evaluate the CAP and accept the CAP if the evaluation determines the CAP should be successful. If the COR determines the CAP will not be successful or there is missing information, the COR/TPOC will return the CAP to the Contractor for re-work. The QAT will conduct surveillance on the accepted and implemented CAP to document the effectiveness of the CAP to correct the non-conformance. If through QA surveillance non-conformances are continue to be identified, the COR/TPOC will discuss with the Contractor and may request a revised CAP or evaluate the non-conformance to the Contracting Officer for other actions.

The “COR Report”, must be completed monthly basis and includes the completed COSR, APL Report and any CAPs that were prepared during the surveillance reporting period as attachments. The COR/TPOC submits the COR Report to the KO and AS for review and file and uploads the report in PIEE. The COR Report must be submitted NLT the 10th day of the month following the reporting month. All document submissions must be electronic with the COR/TPOC retaining a copy for their records and file.

8. WORKFLOW

9. SPECIAL INSTRUCTIONS/CONTRACT SPECIFIC REQUIREMENTS

None

Surveillance Conducted &

Documented on

COSR

Nonconformances Identified?

Provide Contractor with a copy of the Nonconforming

COSR

No

Yes Contractor prepares and submits a CAP

Sign COSR. Attach COSR and the APL Report to the “COR

Report”

Sign COSR. Attach COSR, CAP, and APL Report to the “COR

Report”

Quality Assurance Surveillance Plan (QASP) (revised September 2019) Page | 9

Contracting Officer’s Representative (COR)

Technical Point of Contact (TPOC)

Attachments

1. Point of Contact Listing for this Contract

2. Contract Oversight Surveillance Report (COSR)

3. APL Report

4. Corrective Action Plan (CAP) - blank

Attachment 1: Assigned Personnel:

Assigned KO: Karen Ghani

Organization: DLA Distribution J7AB

Telephone: (717) 770-5951

Email: Karen.Ghani@dla.mil

Assigned AS: Paul Holbert

Telephone: (717) 770-7492

Email: paul.holbert@dla.mil

Assigned COR/TPOC: Timothy Kielbowick

Telephone: (717) 770-6128

Email: Timothy.Kielbowick@dla.mil mailto:paul.holbert@dla.mil

Contract Oversight Surveillance Report

1. Contract # / Service 2. Contract Location

DLA Distribution Susquehanna, Pennsylvania Building _________

3. Contract Performance Period 4. Evaluation Period

From - To -

5. Contract Service Provider

6. Method(s) of Surveillance (check all that apply for this surveillance period)

Direct Observation Random Sampling 100% Inspection Customer Complaint Other (explain)

Requirement

Did the SP provide regular/routine basic cleaning services IAW PWS Section 2?

Surveillance Comments

Conforming Nonconforming

Surveillance Methods Described -

- Direct Observation is the visual examination of processes and procedures by an evaluator who is physically present and watching individuals actually performing the work to determine whether the processes conform to the requirements.

- Random Sampling is correctly performed by selecting a statistically significant number of samples from a lot where all members of the lot have the same chance of being selected. Random Sampling is used to reduce the time and effort of validating conformance to requirements when a definable lot of significant size exists.

- 100% Inspection method evaluates all outputs of a particular requirement. Every item in a lot is evaluated for all or some of the characteristics in the specification. (Recommend if Lot Size is 25 or less)

- Validated Customer Complaints are customer complaints that prove to be valid upon subsequent investigation. They can be used as a trigger for conducting surveillances, and are included as a part of the surveillance report. When a valid complaint is received and included in a surveillance activity, strongly consider scheduling targeted follow up surveillance to ensure the problem has been corrected. These can prompt corrective actions, preventative action plans, and performance improvement plans.

7. Overall Surveillance Evaluation

Conforming Nonconforming

8. Additional Comments / Notes to the Contracting Officer (Either positive or negative)

9. COR/TPOC Certification -

I certify that the supplies or services provided by the Service Provider under the terms and conditions of this contract, have been received and accepted unless otherwise noted on this surveillance report.

COR / TPOC Signature Date

Requirement

Did the SP provide general cleaning and disinfecting services IAW PWS Section 3?

Surveillance Comments

Conforming Nonconforming

Attachment 2

Requirement

Did the SP provide periodic cleaning services IAW PWS Section 4?

Surveillance Comments

Conforming Nonconforming

Requirement

Did the SP provide periodic cleaning services during COVID-19 as outlined IAW PWS Section 4?

Surveillance Comments

Conforming Nonconforming

Requirement

Is the SP managing and maintaining contractor personnel requirements outlined PWS Section 6?

Surveillance Comments

Conforming Nonconforming

Requirement

Is the SP managing and maintaining equipment IAW PWS Section 7?

Surveillance Comments

Conforming Nonconforming

Requirement

If a deficiency has been identified, did the SP correct the deficiency IAW PWS Section 9?

Surveillance Comments

Conforming Nonconforming

Requirement

Is the SP scheduling all cleanings for this facility to meet or exceed the APLs, (See Attachment 4) and IAW PWS Section 10?

Surveillance Comments

Conforming Nonconforming

Requirement

Is the SP adhering to all environmental, safety and occupational health/regulatory requirements outlined in PWS Section 11?

Surveillance Comments

Conforming Nonconforming

Acceptable Performance Level (APL) Report

1. Contract # / Service 2. Contract Location

DLA Distribution Susquehanna, Pennsylvania

3. Contract Performance Period 4. Evaluation Period

From - To -

5. Contract Service Provider

6. COR/TPOC Certification -

I certify that the Acceptable Performance Levels (APLs) documented below represent the performance achieved during the evaluation period. Failures of any

APL are described in more detail in the COR Report.

COR / TPOC Signature Date

7. Acceptable Performance Leve (APL) Table

Performance Requirement Metric Performance Standard Performance Result

Provide an explanation for APL failure:

Provide an explanation for APL failure:

Provide an explanation for APL failure:

Provide an explanation for APL failure:

Attachment 3

Performance Requirement Metric Performance Standard Performance Result

Provide an explanation for APL failure:

Provide an explanation for APL failure:

Performance Requirement Metric Performance Standard Performance Result

Provide an explanation for APL failure:

Provide an explanation for APL failure:

Surveillance Report No.

DLA Distribution Corrective Action Plan (CAP) Form

For Official Use Only (FOUO)

Surveillance Data

Problem Definition, Analysis, & Corrective/Preventive Actions

Surveillance Date

Quality Specialist Significance Level

Corrective Action Preventive Action

Requested as a result of:

Test/Problem Description:

Root Cause Analysis:

Corrective/ Preventive

Actions/ECD:

Functional Area

Corrective Action Plan (CAP) Form (June 2019)DLA Distribution

Key/Internal Control #: (if applicable)

Re-Test

PCM or Process Area

Roles & Responsibilities:

Dependencies - List any dependencies for achieving compliance (i.e. DSS change, project approval, etc.)

Site DDSP

Attachment 4

Follow-Up/Re-Test All Corrective/Preventative Actions IMPLEMENTED ?

All Corrective/Preventative Actions EFFECTIVE ?

Date

No - Explain BelowYes

Yes No - Explain Below

Corrective Action Plan Form (CAP) (June 2019)DLA Distribution

Supervisor / Action Officer Implementation Date

Problem Definition, Analysis, & Corrective/Preventive Actions (Continued)

Evidential Matter (EM) to Substantiate Closure: (Attach all EM to the e-mail when sending this form)

(For Internal Government Use Only)

HQ Review

Comments

CAP ID #

Quality Specialist

Accepted by COR