Quality Assurance Surveillance Plan (QASP).pdf

Quality Assurance Surveillance Plan (QASP) for

Preventative Maintenance and Repair of World War II Era and Relocatable Facilities, Joint Base Lewis-McChord (JBLM), WA

Prepared by: ____________________________________________________________________________

JOHN WAO, PROJECT MANAGER / COR Date:

Reviewed by: ___________________________________________________________________________

JOHN JANGULA, CHIEF, OPERATIONS BRANCH Date:

Approved by: ___________________________________________________________________________

CONTRACTING OFFICER Date:

1. GENERAL

a. This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to make sure that systematic quality assurance methods of Government oversight are used in the administration of the Performance-Based Service Contract (PBSC) standards included in this contract and any subsequent task orders issued as a result of this solicitation. In accordance with (IAW) Assistant

Secretary of the Army Acquisition, Logistics and Technology Oct 21, 2010 Memo, Subject: Post Award

Oversight and Surveillance of Contracts: Government QASPs shall be prepared for all service contract actions greater than $150K (or at Contracting Officer discretion) to ensure systemic quality assurance methods are used during contract administration.

b. The intent is to ensure that the contractor performs in accordance with (IAW) performance metrics set forth in the contract documents, that the Government receives the quality of services called for in the contract and that the Government only pays for the acceptable level of services received.

2. AUTHORITY

a. Authority for issuance of this QASP is provided under the Performance Work Statement (PWS); the terms of the contract; and Federal Acquisition Regulation Subpart 46.4, Government Contract Quality Assurance.

3. SCOPE

a. To fully understand the roles and the responsibilities of the parties (Government and contractor), it is important to first define the distinction in terminology between the contractor’s Quality Control Plan and the Government’s Quality Assurance Surveillance Plan. IAW FAR Part 52.246-1 -- Contractor Inspection

Requirements, the contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the contract and follow-on task orders. The contractor develops and submits a Quality Control Plan (QCP) for Government approval in compliance with contract deliverables. Once accepted, the contractor then uses the QCP to guide and to rigorously document the implementation of the required management and quality control actions to achieve the specified results.

b. The QASP on the other hand, is put in place to provide Government surveillance and oversight of the contractor’s quality control efforts to assure that they are delivering timely and effectively those results specified in the contract or task order. The QASP is not a part of the contract nor is it intended to duplicate the contractor’s QCP. The contractor shall submit a QCP covering areas that are important for successful contract performance. Upon approval of a contractor’s QCP, the Contracting Officer’s Representative

(COR) should make revisions to the QASP based on the contractor’s QCP. The COR shall not revise

Performance Objectives, Standards, and Acceptable Quality Level (AQL) in the QASP.

c. This plan shall provide the COR with a proactive way to avoid unacceptable or deficient performance, and provide verifiable input for the required performance report via the Contractor Performance Assessment

Reporting System (CPARS), https://cpars.csd.disa.mil/cpars/app/home.do.

d. The QASP is a tool; therefore, it remains a living document throughout the contract and/or task order performance period. Upon approval of the Contracting Officer (KO), unilateral changes to the QASP may be made as needed. The contractor does not have to be made aware of planned revisions. The entire QASP is not part of the contract. While certain portions such as “performance objectives” and “maximum allowable degree of deviation from requirement (Acceptable Quality Level (AQL)),” may be part of the

Performance Work Statement (PWS), the method of surveillance, surveillance calendar, schedule, and frequency of surveillance and inspection are not.

e. 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 to monitor the effectiveness of the contractor’s quality control plan to ensure contract quality standards are achieved. (ref. FAR Part 46 – Government

Contract Quality Assurance) https://cpars.csd.disa.mil/cpars/app/home.do

4. RESPONSIBILITIES

a. The following Government resources shall have responsibilities for the implementation of this QASP:

Contracting Officer (KO) – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract and safeguards the interests of the

United States in the contractual relationship. It is the KO who assures the contractor receives impartial, fair, and equitable treatment under the contract. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Contracting Officer’s Representative (COR) / Project Manager - The COR is an authorized representative as expressed in the Letter of Delegation signed by the Contracting Officer, to assist the

Contracting Officer in the technical monitoring of administration of a contract. The COR is responsible for the duties with the authority designated in the Letter of Delegation issued by the Contracting Officer. The

COR is responsible for proper Government surveillance of the contractor’s performance. The COR shall perform the duties IAW the limitations in a written letter of designation issued by the Contracting Officer.

The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes that the contractor deems may affect contract, price, terms, or conditions shall be referred to the Contracting Officer for action. When also serving as the Project

Manager, responsibilities also include the PWS, surveillance, Government estimate, and funds for specific service contracts. His/her general responsibilities include: preparing the PWS and Performance

Requirements Summary (PRS), Quality Assurance Surveillance Plan (QASP) and obtaining KO coordination of the final product

Quality Assurance Evaluator (QAE) – The QAE provides detailed technical oversight of the contractor’s performance and reports his or her findings to the COR in a timely, complete and impartial fashion to support the COR’s monitoring performance activities. While the QAE may serve as a direct conduit to provide Government guidance and feedback to the contractor on technical matters the QAE is not empowered to make any contractual commitments or to authorize any contractual changes on the

Government’s behalf. Any changes that the contractor deems may affect contract, price, terms, or conditions shall be referred to the Contracting Officer for action.

5. PERFORMANCE REQUIREMENTS SUMMARY

Performance Objective

For Required Service

PWS

Para

Standard Maximum

Allowable

Degree of

Deviation from

Requirement

Primary

Method of

Surveillance

Frequency of

Surveillance

# 1. The Contractor shall provide maintenance and repair services for WWII era wood facilities, relocatable buildings, and relocatable shower/latrine facilities.

5.2, 5.2.1, 5.2.2, 5.2.3, 5.2.4, 5.2.7

The Contractor shall respond to emergency, urgent, and routine service calls and complete work within the established time limits.

No more than one valid customer complaint per month or no more than one uncompleted service call within established time limits per month.

Periodic surveillance, validated customer complaints.

Monthly

# 2. The Contractor shall ensure that equipment and systems are maintained to sustain an operational capability for anticipated asset life while maintaining life cycle costs within industry standards and in compliance with code and manufacturer O&M specifications.

5.2.5 All recurring work

shall be accomplished according to schedule.

No more than one customer complaint per month or one missed recurring work per month.

Periodic surveillance, validated customer complaints.

Monthly

#3. The Contractor shall perform manpower reporting.

5.3 Contractor shall

input manpower data by September

30 of every fiscal year.

Zero deviation from standard

100% inspection.

100%

#4. The Contractor shall perform all initial, monthly, and quarterly reports/deliverables.

1.6.4, 5.2.1, 5.2.12, 5.2.15

The Contractor shall submit reports/deliverables at the frequency specified.

Zero deviation from standard

100% inspection.

100%

Note: The Government has the right to change or modify inspection methods at its discretion without notifying the contractor.

6. ACCEPTABLE SURVEILLANCE METHODS

a. The primary method of surveillance for these performance objectives will be Periodic Surveillance or

100% Inspection. Other acceptable surveillance methods will be used and the Government reserves the right to change or modify the methods at its discretion. Acceptable surveillance methods include, but are not limited to:

100 Percent Inspection

Random Sampling

Planned Sampling

Periodic Surveillance

Customer Complaints

b. Whatever form of surveillance used, the Government will take care to ensure that no undue interference with contractor operations occurs. Surveillance will be performed as stated in the QASP for the covered contract. It includes scheduling, observing, documenting, accepting service, and determining payment due.

Avoid relying on cumbersome and intrusive process-oriented inspection and oversight programs to assess contractor performance.

100% INSPECTION: 100% of reports and deliverables will be inspected.

PERIODIC SURVEILLANCE: This method, sometimes called “planned sampling,” consists of planned sampling at specific dates or time intervals. It may be appropriate for tasks that occur infrequently, and where 100 percent inspection or random sampling is not desired.

CUSTOMER COMPLAINTS: Customer feedback is typically obtained via telephone or email.

Telephonic customer complaints must be followed up in writing/email. To be considered valid, the customer complaint must clearly articulate the nature of the complaint, time, date, etc. The COR will investigate the complaint; if determined valid, the COR will advise the KO to notify the Contractor of the deficiency. Copies of valid complaints and the resolution must be retained in the official contract file.

c. LEVEL OF INSPECTION: As the performance period progresses, the COR may increase or decrease the level at which the COR is inspecting some services. This may occur when performance is consistently good or consistently bad.

7. LOT AND UNIT OF SERVICE DESCRIPTION

a. LOT AND LOT SIZE: A Lot is defined as a collection of service outputs from which a sample is drawn and inspected to determine conformance with the standard. Lot size is the number of service outputs in a lot. In the case of this contract the lot size will depend upon the area where work is performed to determine whether lot will be based on a specific area (e.g., acres), or lineal distance (e.g., road miles).

b. UNIT OF SERVICE: The unit of service is the thing inspected in order to determine its classification as defective or non-defective or to count the number of defects. It may be a single service output or a collection of related service outputs.

8. EVALUATION PROCEDURES

a. The COR will use the Electronic Surveillance Log and QASP checklist (Surveillance Activity Checklist -

DA Form 5476), to inspect the required service. All results will be summarized and documented in the

Electronic Surveillance Log, noting the results, date, comments, inspector’s initials, and time of inspection, to be reviewed by the COR. If re-performance of a deliverable is required, the original inspection results will be recorded as unsatisfactory. When overall performance for a required delivery of supplies/services is within the maximum allowable degree of deviation from requirement during the surveillance period, quality control is satisfactory. Only the original inspection results by the Government will be used to make this determination.

9. ANALYSIS OF RESULTS

a. After reviewing all the services, the COR will review the inspection results and enter the results into the

Monthly Summary, located in the Electronic Surveillance log. The Monthly Summary log will be compared to the Maximum Allowable Degree of Deviation from Requirement/AQL, to determine if the contractor’s quality control is acceptable. The COR will utilize the Monthly Summary Log for information to do future trend analysis on contractor’s performance.

10. NON-CONFORMING, INCOMPLETE, OR UNSATISFACTORY PERFORMANCE AND

DEDUCTIONS

a. Non-conforming performance shall be recorded and reported on a Non-conformance Inspection Report

(NCIR) and provided to the contractor for re-performance. If the performance fails to meet requirements, the COR will issue a Non-Conformance Inspection Report (NCIR) to the contractor, the contractor’s project manager or Contractor’s Quality Control Inspector (CQCI) notifying them of the minor deficiencies requiring correction. The contractor shall be given two hours after receipt of notification to respond to the

NCIR and 24 hours after receipt in which to correct the non-conformance in accordance with the requirements of the contract. If the non-conforming performance is not corrected in the time frame specified by the NCIR, the COR shall initiate a contract discrepancy report (CDR) and forward to the

Contracting Officer for appropriate action. In addition, if the COR detects trends in non-conformance, the

COR will initiate a CDR and forward it to the KO promptly, within one (1) business day, for appropriate action. The COR will provide back-up information and documentation to justify any CDR issuance.

b. For services, the Contracting Officer can consider identifying the value of the individual work requirements or tasks (subdivisions) that may be subject to price or fee reduction. This value may be used to determine an equitable adjustment for non-conforming services. However, when supplies or services involving minor non-conformances are accepted, the contract need not be modified unless it appears that the savings to the contractor in fabricating the non-conforming supplies or performing the non-conforming services will exceed the cost to the Government of processing the modification. The Contracting Officer must discourage the repeated tender of non-conforming supplies or services, including those with only minor non-conformances, by appropriate action, such as rejection and documenting the contractor’s performance record. The COR shall report minor non-conformances to the Contracting Officer promptly, within one (1) business day. (See Attachment 1 - sample NCIR, and Attachment 2 - DA Form 5479-R, CDR).

11. DOCUMENTATION

a. The Quality Assurance Surveillance file will contain the Quality Assurance Surveillance Plan, contractor’s

Quality Control Plan, Contract/Task Order including PWS and modifications, Contract Discrepancy Report

Log, copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function, including the originals of all Surveillance Activity

Checklists. All such records will be retained for the life of this contract.

b. The COR will submit to the contract administrator a monthly activity report containing evidence of adequate surveillance conducted IAW the QASP. The report will contain, at a minimum, all the elements of DA Form 5475 and the COR’s comments.

c. The COR will forward these records to the Contracting Officer upon termination or completion of the contract.

d. The following necessary surveillance forms or equivalent forms will be used (whatever forms are used, sufficient data and information will be recorded regarding the contractor’s performance, circumstances, and actions taken IAW the PWS and QASP).

DA Form 5473, Performance Requirements Summary

DA Form 5475, COR Surveillance Schedule

DA Form 5476, Surveillance Activity Checklist

DA Form 5477, Customer Complaint Record

DA Form 5478, Decision Table

DA Form 5479, Contract Discrepancy Report

DA Form 5481, Tally Checklist

Most updated DA Forms are retrievable from http://www.apd.army.mil/Forms/. See DA PAM 5-20 for guidance in proper use of these forms.

http://www.apd.army.mil/Forms/

ATTACHMENT 1

The following NCIR and instructions are an example. Non-conforming performance will be recorded and reported on a NCIR and provided to the contractor for re-performance.

NONCONFORMANCE INSPECTION REPORT (SEE INSTRUCTIONS ON REVERSE) PAGE ____ 0F ____ PAGES

1. REPORT NUMBER

2. CONTRACT NUMBER 3. DELIVERY ORDER NUMBER 4. BUILDING/FACILITY NUMBER 5. CONTRACT NAME 6. CONTRACTOR

7. SPECIFICATION NUMBER 8. SERVICE ORDER NUMBER 9. LOCATION

15. CONTRACTOR REPRESENTATIVE (QC) SIGN AND DATE

11. This nonconformance report is issued to you on __________________. Contractor 19. INSPECTOR'S SIGNATURE DATE repair nonconformance items identified in "10" and return this form to PW, Contracts

Inspection Branch, by ________________ per contract specifications, page no. ___________, 20. ENGINEERING COMMENTS para no. ___________________________.

12. INSPECTED BY DATE/TIME 13. TYPE OF INSPECTION

17. REVIEWED BY DATE 16. DATE/TIME RETURNED 21. ENGINEER'S SIGNATURE DATE

14. CONTRACTOR CORRECTIVE ACTION

(Identify date/time of completion; initial each item)

HFL FORM 1236

1-Apr-89

10. DESCRIPTION OF NONCONFORMANCE CONDITION(S) OR ITEM(S)

(Reference the specifications, page, para, drawing number, as applicable)

INSTRUCTIONS FOR COMPLETING NONCONFORMANCE INSPECTION REPORT

COPY 1

INSPECTOR’S INSTRUCTIONS (When issuing Nonconformance Report to contractor).

Block 1-9-Fill out all information in these blocks. Mark N/A in blocks which do not apply.

Block 10-Identify and list all nonconformance conditions of inspection. If additional sheets are needed use another Nonconformance Inspection Report and identify as next page. Reference the paragraph (para), page, and drawing number to the nonconformance condition, if applicable. Record any additional remarks pertinent to your inspection.

Block 11-Fill in the date and time you issued the Nonconformance Report to the contractor. Indicate the date and time the contractor has to repair the nonconformance conditions and to return the report to the Contract Inspection Branch. Reference the contract specifications page and paragraph number as it applies to time limit for repairing and/or reperforming service.

Block 12-Sign and date the report.

Block 13-Identify the type of inspection (i.e. Final, Prefinal, Cleaning, Between Occupancy Maintenance (BOM), Occupied Maintenance (OM), painting, etc.)

CONTRACTOR’S INSTRUCTIONS (When correcting nonconformance items) Block 14-Correct nonconformance items. Indicate the date and time that each item/condition listed in Block 10 was corrected. Remark on any condition related to the repair such as extenuating circumstances which may prevent you from performing the corrective action.

Block 15-Contractor QC representative sign and date after the repairs are made. Return the completed report to the PW, Contract Inspection Branch within the time frame identified in the referenced contract specifications. The PW, Contract Inspection Branch is located at Building 2012, Fort Lewis, Washington 98433-9500, telephone (253) 967-4126/4127.

COPY 2

INSPECTOR’S INSTRUCTIONS.

Block 18-Perform follow-up inspection on rejected items. Indicate date and time of reinspection (if applicable). Comment on any circumstances. If no follow-up inspection is made, indicate not reinspected.

Block 19-Sign and date. Match this copy up with copy 1 and forward both copies to PW.

ENGINEER’S INSTRUCTIONS.

Block 20 -Review this report. Add or attach comments. Coordinate input with Contracting Office or Contract Inspection Branch if required.

Block 21-Sign and date the report. Forward this copy to Directorate of Contracting, Contract Administrator.

COPY 3

Retain this copy in Contract Inspection Branch files.

Reverse of HFL Form 1236, 1 Apr 89

ATTACHMENT 2

The following CDR, DA Form 5479, March 2008 is an Army standardized form. The COR will not customize this form. To include your organizational specific procedures, attach a continuation sheet as necessary. If the non-conforming performance is not corrected in the time frame specified by the NCIR, the

COR shall initiate a CDR and forward it to the KO for appropriate action. The COR will contact the KO prior to use of the form.

Attachment 3

Quality Assurance Surveillance Log

Performance Objective

For Required Service

Inspection

Time & Date

Inspector’s

Name &

Initials

Inspection results

COR’s Review & Comments

Maintenance and Repair of WWII Era Wood

Facilities

Maintenance and Repair of Relocatable Buildings

Maintenance and Repair of Relocatable

Shower/Latrine Facilities

Preventative

Maintenance

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE

MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________