Appendix E - QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

Lock & Dam 25 Rental of Dewatering Equipment

Lock & Dam 25

#10 Sandy Slough

Winfield, MO 63389

Contract Number: W912P924-X-XXXX

Contract Description: Include final scope.

Contractor’s name: XXXXXXXXXXX (hereafter referred to as the contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

• What will be monitored.

• How monitoring will take place.

• Who will conduct the monitoring.

• How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

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.

The following FAR clauses apply:

52.246-2 Inspection of Supplies – Fixed-Price

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

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.

Assigned KO: T r a c y T e n h o l d e r

Organization or Agency: US Army Corps of Engineers, St Louis District

Telephone: 314-331-8527

Email: Tracy.N.Tenholder@usace.army.mil

b. Contract Specialist (CS) - The CS acts as an acquisition consultant and serves as liaison between the Contract Operations Division – St Louis District (CEMVS) and the requesting program office.

Assigned CS: Catherine Hansen

Telephone: 314-331-8520

Email: Catherine.a.hansen@usace.army.mil

c. Contracting Officer’s 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 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.

Assigned COR: TBD

Telephone: TBD

Email: TBD

3. CONTRACTOR REPRESENTATIVES:

The following employees of the contractor serve as the contractor’s Program Manager and Task

Manager for this contract.

a. Program Manager - <upon award, enter name>

Telephone: <enter number>

Email: <enter address>

b. Task Manager - <upon award, enter name>

c. Other Contractor Personnel - <upon award, enter name or delete these lines if not applicable>

Title: <enter title>

4. PERFORMANCE STANDARDS.

Service Delivery Summary (SDS). The contract service requirements are summarized in performance objectives that relate directly to requirements. The performance threshold briefly describes the minimally acceptable levels of service required for each requirement. The SDS and the Contractor’s Quality Control Plan provide information on contract requirements, the expected level of Contractor performance and the expected method of Government validation and confirmation of services provided. These thresholds are critical to mission success. See

SDS table below.

PERFORMANCE

OBJECTIVE

PWS

PARA.

PERFORMANCE

THRESHOLD

REMEDY

METHOD OF

ASSESSMENT

Rental of Dewatering

Equipment

Section

The Acceptable Quality

Level must be a rating of

“satisfactory” 98% of the time when performance is inspected/surveyed.

Correct deficiencies within six (6) hours of notification

Direct or Periodic

Inspection/Observation

User Survey

Customer/Public

Complaint

Periodic/Random

Sampling

5. METHODS OF QA SURVEILLANCE.

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR shall always contact the contractor's task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard.

a. DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

b. PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs.

Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

c. USER SURVEY. (Combines elements of validated user complaints and random sampling.

Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory. May also generate periodic and 100% inspections.)

d. VALIDATED USER/CUSTOMER COMPLAINTS. (Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated.

e. 100% INSPECTION. (Evaluates all outputs. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security. May be utilized as deemed appropriate by the Contracting Officer due to multiple repeat in deficiencies)

f. PERIODIC SAMPLING. (Variation of random sampling. However, sample is only taken when a deficiency is suspected. Sample results are applicable only for the specific work inspected.)

g. RANDOM SAMPLING. (Designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample.)

h. Progress or status meetings.

i. Analysis of contractor's progress reports. (Evaluate cost, schedule, etc.)

Surveillance results may be used as the basis for actions (to include payment deductions) against the contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the KO’s actions.

6. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and Acceptable Quality Level (AQL). A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

EXCEPTIONAL:

Performance significantly exceeds contract requirements to the Government’s benefit.

SATISFACTORY: Performance meets contractual requirements.

UNSATISFACTORY: Performance does not meet contractual requirements.

7. DOCUMENTING PERFORMANCE.

a. ACCEPTABLE PERFORMANCE.

The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for contract actions.

b. UNACCEPTABLE PERFORMANCE.

When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing or via email unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a

Contract Discrepancy Report (CDR), and present it to the contractor's task manager or on-site representative. A CDR template is attached to this QASP.

The contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The

Government shall review the contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for contract payment deductions orr other actions deemed necessary by the KO.

8. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract/order performance, the COR shall take periodic measurements as specified herein and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the contractor quarterly to assess performance and shall provide a written assessment. Frequency of assessment meetings shall be increased as required to ensure satisfactory performance is being achieved.

Prepared by: Kyle Wiseman

Signature – Contracting Officer’s Representative

PERFORMANCE REPORT

1. CONTRACT NUMBER: <insert number>

2. Prepared by: (Name of COR) <insert name>

3. Date and time of observation:

4. Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

< The COR may initiate a CDR at any time, including whenever the number of recorded defects for a performance standard exceeds the allowable number of defects; anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in contractor performance.>

CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number: <insert number>

2. TO: (Contractor Task Manager or on-site representative) <insert name>

3. FROM: (Name of COR) <insert name>

4. Date and time observed discrepancy:

5. DISCREPANCY OR PROBLEM:

<Describe in detail. Identify any attachments.>

5. Corrective action plan:

A written corrective action plan < is / is not > required.

< If a written corrective action plan is required include the following. > The written Corrective

Action Plan will be provided to the undersigned not later than < # days after receipt of this

CDR. >

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

Received by:

Signature - Contractor Task Manager or on-site representative Date