J-5 QASP DoDEA TMC.docx

Quality Assurance Surveillance Plan For DoDEA TOTAL MAINTENANCE CONTRACT

PACIFIC-WEST-KOREA

US ARMY CORPS of ENGINEER, FAR EAST DISRICT

1. Introduction.

This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to make sure systematic quality assurance methods are used in the administration of the performance based Preventive, Grounds Maintenance contract and Demand Maintenance work orders. This QASP does not detail how the contractor accomplishes the work. Rather, this QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the Total Maintenance Contract (TMC). It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. The surveillance and evaluation methods identified in this QASP, in concert with the contractor’s quality control actions will assure the Government of satisfactory contractor performance.

2. References:

FED Roles & Responsibilities Matrix (Appendix A)

3. Purpose.

The purpose of Quality Assurance (i.e. inspections, tests, etc) is to verify the effectiveness and accuracy of the contractor's control for producing the quality of work required. This plan has been developed to ensure optimization of the inspection and testing efforts, adequate Contractor Quality Control, and a quality product. This plan will be used by Government Representatives in conjunction with the Contractor's Quality Control Plan, to assure that the contractor's performance is in compliance with the TMC contract

This QASP:

· Defines the roles and responsibilities of participating Government Officials;

· Defines the types of work to be performed with the required end results;

· Provides a performance requirement summary table and corrective action request form that will be used in documenting and evaluating contractor performance

· Describes the process of performance documentation.

4. Roles and Responsibilities.

4.1. Contracting Officer.

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.

QASP Ver 4 dtd 20 April 2016

4.2. Contracting Officer’s Representative.

Contracting Officer’s Representative (COR) is an individual designated in writing by the KO to act as their authorized representative to assist in administering the contract. The limitations of authority are contained in a written letter of designation. The COR represents the Contracting Officer and functions as the contractor’s primary point of contact for the overall contract effort. The COR oversees the overall contract administration effort. If modifications to the contract are necessary, the COR will prepare, review, and/or oversee the preparation of Performance Work Statement (PWS) and Independent Government Estimate (IGE) that will be used by the KO to solicit a proposal from the contractor. The COR may assist the KO in negotiations with the contractor. The COR is responsible for ensuring all contract interpretations are consistent with the KO interpretation prior to advising the contractor. The KO makes the final determination on all disputes in contract interpretations.

4.3. Far East District (FED) Installation Support Branch (ISB) Project Manager (PM) and Construction Service Branch (CSB) Project Engineer (PE).

The FED ISB Project Manager (PM) is the Contracting Officer’s technical representative responsible for technical administration of the contract and demand work orders and FED CSB PE shall assure proper Government surveillance of the contractor’s performance. The PE shall maintain a quality surveillance folder. The PM/PE are 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 KO and/or the COR for action.

4.4. Invoice Review Technician.

The Invoice Review Technician (IR) shall review contractor’s invoices for compliance with contract administration and performance requirements. Responsibilities include but are not limited to the following:

· Coordinate/consult with the Project Engineer and Quality Assurance Engineering Technician on contract performance requirements.

· Review contractor’s invoices and pay estimates

· Ensure that the quantity & cost data of submitted pay items are accurate w/regard to measured quantities and in accordance with the applicable Task Order cost breakdown.

· Report findings of pay estimate reviews to supervisor and contracting officer.

· Keep informed of status of funds & reviewing adequacy for anticipated contract & government costs.

4.5. Quality Assurance Engineering Technician.

The Quality Assurance Engineering Technician (ET) shall review deliverables for agreement and clarity of interpretation for contract administration purposes. Responsibilities include but are not limited to the following:

· Observe, investigate, & report at all stages of Contract and Task Order management.

· Identify problems & take timely action to correct deficiencies.

· Use technical knowledge of engineering principles and contract administration; develop new Task Order budgets, schedules, and scopes through coordination with customers, contractor personnel, and various stakeholders.

4.6. Senior Technical Advisor:

The Senior Technical Advisor (SrTA), in addition to ET responsibilities, provides the engineering expertise and support to the KO, COR, PM/PE, and ET, as needed. Responsibilities include but are not limited to the following:

· Subject matter expert support for specific tasks and/or specialties as required

· Prepare Independent Government Estimates (IGE)

· Assist in Task Order negotiations.

4.7. Contract Specialists:

The Contract Specialist (CS) supports the Contracting Officer for the procurement and administration of assigned Task Orders. Under the direction of the Contracting Officer, the Contract Specialist provides general contract expertise, oversight and contractual guidance for pre/post-award contract actions. Some of these actions involve administration, labor laws, contract clauses, fiscal policies, ordering of work, etc. The functions of the contract specialist include but are not limited to the following:

· Assist the Contracting Officer/Technical Engineers with establishment of the proposed task requirements;

· Select and prepare the contract clauses;

· Review, amends if applicable, and provides the statement of work with attachments prepared by the PWS writer or other technical personnel;

· Review contractor’s technical/cost proposal for establishment of government’s objective in consultation with the KO/COR/PM/PE and technical engineers;

· Develop and document governments objectives in coordination with COR, PM/PE, and technical engineers;

· Negotiate and document results of all negotiations;

· Prepare pre-award documents and all post-award contract administration documents such as modifications, COR/ACOR appointment letter, Property Administrator appointment letter, and etc.;

· Review contractor’s public vouchers and attachments through coordination with DCAA auditor, engineering technician/task order support engineers and process payments;

· Maintain the official contract file;

· Close out contracts/task orders.

5. Performance Evaluation Methods.

The COR and PE’s primary functions are performing inspections, managing nonconformance, and acceptance with the support and assistance of the IR, ET, SrTA and CS. These functions will be done to the products and services as defined by basic contract and each task order and will, at the minimum, require the following:

· Conduct periodic inspections in accordance with an established inspection schedule using the Quality checklists from the contractor’s Quality Control/Assurance Plan (as appropriate) and/or the set of Government Performance Requirements Summaries.

· Report findings obtained from the periodic inspections to the Contracting Officer.

· Use the Contract/Preventive/Grounds and Demand Maintenance Work Order Monitoring (Appendix B) and Non-Conformance (Appendix C) Reports, as applicable, and provide to the contractor to:

· Communicate discrepancies discovered during the periodic inspections

· Note the impacts of what was not completed, and any recommendation for rework or re- performance

· Follow up to ensure non-conformances are corrected.

· Hold In-Process Reviews (IPR). The Contractor shall meet with the COR and/or PE to assess Contractor performance to date as detailed by the Contract Performance Work Statements.

The Monthly Progress Report and the QASP will be used as a basis for the IPR and include work order status—completed, ongoing, and planned—as well as a report on the contractor’s costs. Recommendations for actions on current issues and consensus for future activities. The COR and/or PE will ensure agreed to actions are taken by the contractor.

· Provide feedback within 7 calendars days or as indicated per the Performance Work Statement on services and/or submitted deliverables to facilitate future improvements as needed.

· Review changes to the respective Quality Control Plan before having the Contracting Officer sign off.

· Perform annual and final Performance Evaluations using the Performance Criteria.

6. Performance Requirements Summary.

6.1. General.

The products and services performed by the Contractor will be evaluated in terms of how well the requirements of the contract/task order are satisfied. The PE will periodically perform inspection on the products and services to ensure that actual and expected performance are comparable. If discrepancies are discovered, the Monitoring Report will be utilized as a means to communicate the performance concern to the Contractor for resolution. Periodic and timely performance feedback provided to the Contractor will mitigate the risks and impacts of any mid-course corrections required to satisfactorily meet the minimum contract requirements. The Contracting Officer will be advised of inspection findings and actions taken to resolve the identified performance concerns. In addition, the information gathered during these periodic inspection activities will form the basis for completing the contractor’s performance evaluation of contract/task order accomplishment.

6.2. Work Order Requirements.

These are Work Order specific elements of the product and/or service that are considered and evaluated by the COR and/or PE.

6.3. Acceptable Quality Level (AQL).

The acceptable quality level is defined as the minimum quality level that is still considered acceptable and may consist of a quality standard that allows a pre-specified range of deviation.

6.4. Performance Indicator.

The task order performance work statement describes the levels of performance expected from the Contractor. During the actual Contractor performance, the COR and/or PE will evaluate the current level of performance, by using one or more of the Performance Indicators described below. In many instances, these indicators come from internal or external standards. Indicators are used as a tool to determine whether the Contractor is or is not achieving the required level of quality and performance. Identified indicators should complement contract requirements and be quantifiable with respect to contract performance.

6.5. Performance Summary Table.

Key performance requirements, measure and standards are summarized in the Performance Requirements Summary (Appendix D).

7. Documenting Surveillance.

7.1. Documentation.

Documentation is required to record, evaluate, and report contractor’s performance. This documentation provides the KO with contractor status as it applies to the performance criteria. Every effort should be made to make this report to the KO as accurate as possible. The COR and/or PE will maintain accurate records of the contractor’s performance. Documenting surveillance is of major importance to the total process of surveillance. The KO cannot properly administer the contract without documentation of actual surveillance. All documentation resulting from surveillance must be made part of the contract file. The COR and/or the PE must maintain the documentation files during the surveillance period. The COR and/or PE must give the documentation files, either periodically or at the conclusion of the contract, as directed by the KO, to the KO for inclusion in the official contract file.

7.2. Quality Assurance Surveillance Folder.

A surveillance folder must be developed and maintained by COR and/or PE assigned to accomplish QA surveillance for the performance requirement. The folder is typically contained in hardcopy. The surveillance folder must contain, as a minimum, the following documents:

· Contract/Task Order Documents. The Contract with all modifications, directive documents references, pertinent terms defined by the task order, scope of work and Quality Assurance Plan.

· Special Reports Documentation. Minutes of the monthly performance meetings (see below for description) that are held with the COR and/or PE, KO and the contractor to instill good communication and resolve issues before they become significant challenges.

· Monthly Inspection Paperwork. Documented surveillance inspections performed by the COR and/or PM. All paperwork that supports the documented surveillance should be filed as well. The types of information that may be included are details of inspections or data gathering, conversations or meetings with the contractor, notes and comments that support the inspection paperwork. COR and/or PE Monitoring Reports will be kept in this section.

· Unacceptable Performance Documentation. A section used for filing all documentation associated with contract quality assurance, e.g. Non-Conformance Reports, notices of contract deficiencies, the KO’s inputs/determinations, Cure Notices, Show Cause, and all supporting documentation.

· Final Acceptance and Funding Issues. Documentation for future changes to the contract, i.e. addendums, options, etc., that must be worked during the life of the contract.

· Monthly Performance Meetings. The COR and/or PE, Contractor (or representative), and KO will meet monthly at Monthly Performance Meetings to discuss contract performance, resolve issues, discuss customer complaints, and provide positive interaction and feedback to all parties. The COR and/or PM will provide a list of any unresolved deficiencies to the contractor's quality assurance representative to afford him/her the opportunity to show where the problem is already in the process of being worked. If evidence is shown where the contractor’s quality program has already documented the deficiency and timely corrective action is working the problem, the COR and/or PE will follow up with the contractor’s quality control representative to ensure the deficiencies are remedied in a timely manner, in accordance with the scope of work. All deficiencies associated with performance requirements listed on the Performance Requirements Summary, whether remedied by the contractor or not, will be included in the COR and/or PE’s Monthly Report regardless of who identified the deficiency. The COR and/or PE will provide a copy of the meeting minutes to all attendees within 5 workdays of the meeting. The Monthly Performance Meetings will scheduled by the COR and/or PE.

8. Non-Conforming Services and Rework Process.

Non-Conformance will be documented in Non-Conformance Reports and comply with the process (Appendix E). The following guidelines will be followed should non-conforming services be identified and rework required.

· The COR must furnish data to the contracting officer, in writing, to support non-conformance.

· If the non-conformance is minor, the COR may make recommendations to the KO who will make the final determination whether or not to accept or reject the work.

· The COR will assist the Contracting Officer in discouraging the repeated tender of nonconforming services, including those with only minor non-conformances, by appropriate action, such as rejection and documenting the contractor’s performance record.

· When services are accepted with critical or major non-conformances as authorized in FAR

46.407 – Non Conforming Supplies or Services, the Contracting Officer may modify the contract to provide for an equitable price reduction or other consideration. In the case of conditional acceptance, amounts withheld from payments generally should be at least sufficient to cover the estimated cost and related profit to correct nonconforming supplies or services and complete unfinished work.

· The Contracting Officer must document in the contract file the basis for the amounts withheld. This data will be provided to the Contracting Officer by the COR. 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 nonconforming services.

However, when services involving minor non-conformance are accepted, the contract need not be modified unless it appears that the savings to the contractor in performing the nonconforming services will exceed the cost to the Government of processing the modification.

Notices of rejection of work must be in writing with rationale for rejection of work. The notification shall be furnished promptly, no later than 14 calendar days from date of service and/or deliverable, to the contractor. Promptness in giving this notice is essential to preclude continued non-conformance and minimize rework.

· The preferred way to resolve known non-conforming deliverable or services is to request performance (if unperformed initially), or re-performance (if performed unsatisfactorily). The primary mission of the Government’s inspection is not to deny payment to a contractor but to receive the desired deliverable and/or services in a quality and timely manner. On a case-by- case basis, the COR may agree to allow deferments for up to a maximum of 30 calendar days for work not performed and or needing to be reworked due to non-conforming substandard performance of the services performed.

Appendix A - FED Roles & Responsibilities Matrix

Maintenance or Work Order/Activity Description

1. Acquisition

Prepare Performance Work Statement

Prepare RFP

Develop RCE/IGE

Proposal Eval / Develop PNO

Negotiate

Complete PNM

Funds Request

Change Management (Prep/Process Modifications, etc.)

Maintain contract file

2. Execution

Time Charge Reviews

3. Management and Performance

Accounting

Invoice and pay estimate reviews

Rate and quantity validation

Process payments

Technical

Deliverable reviews

Quality Assurance

QASP Implementation

Maintain surveillance folder

Government Property Management (note 2)

S

Responsibility Codes:

Notes:

1. COR authorities per KO delegation letter

2. Property Book Officer from LMO Appendix B – Contract/Preventive/Grounds and Demand Maintenance Work Order Monitoring Report

Far East District MONITORING REPORT

1. District Information:

2. Contract Information:

Contractor Name.: Contract No.:

Task Order No.: Task Order Joint Task Order U.S.Task Order Point of Contact: Telephone No.:

3. Brief Description of Inspection (include inspection process):

4. Has the Contractor conformed to the contract requirements? Yes No (If no, provide specific details).

This is to certify that the above report was completed by the POF inspector listed below and the accuracy of his/her inspection and observations is ensured by the POF PM.

Date:

Report No.: Surveillance Period POF Project Manager:

Phone No.: POF Inspector:

Phone No.:

POF Inspector Signature POF PM Signature Print Name Print Name Title Date Date Non Conformance Report Initiated?

Yes No.

(If yes, please provide the following information:

NCR Code: QIC:

Appendix C – Contract/Preventive/Grounds and Demand Maintenance Work Order NON-CONFORMANCE Report

Far East District NON-CONFORMANCE REPORT

1. District Information:

Date: POF Project Manager:

Report No.: Phone No.:

Surveillance POF Inspector:

Period

Phone No.:

2. Contract Information:

Point of Contact: Telephone No.:

3. Contract Specification Requirement:

4. Description of Non-Conformance (use continuation sheet and/or attachments as necessary).

Contractor Acknowledgement:

Signature Title Date

5. Corrective Action Implemented (use continuation sheet and/or attachments as necessary).

6. NCR Close Out

Contractor to complete the following upon successful implementation and satisfactory completion of corrective action (s).

Corrective Action Completed:

NCR

Accepted*:

Contractor QA/QC Representative Signature

POF COR/PM Signature*

Print Name

Print Name

Title

Date

*Upon acceptance, NCR is formally closed and filed in task order surveillance folder for future reference.

Code: QI Code:

Date

APPENDIX – D Performance Requirements Summary

Item

PWS

Requirement

Element Description Acceptable Quality Level

Performance Indicator(s)

Surveillance Methods

requirements satisfactorily accomplished on-time and within budget

Review of payment requests

Review of payment requests

5. Ratings as follows: 1- Dissatisfied; 2- Needs improvement; 3- Satisfied; 4-Very satisfied; and 5- Excellent

follows: 1- Dissatisfied; 2- Needs improvement; 3- Satisfied; 4-Very satisfied; and 5- Excellent

weekly progress reports on task accomplishment

PWS.

Item

PWS

Requirement

Element Description Acceptable Quality Level

Performance Indicator(s)

Surveillance Methods

Appendix E- Non-Conformance Report Process Flow Chart Quality Assurance Surveillance Plan (QASP) Non-Conformance Report (NCR) Process

Monitoring report filed by COR/PM ---- Yes,--- documenting contract conformance for applicable inspection period.

COR/PM initiates Non Conformance Report (NCR) process based on inspector's monitoring report findings.

@ Notes:

1. Inspection purpose and frequency dependent on QASP, contractor's QC, contract requirements. and performance/ product history.

2. Meeting(s) are held to discuss non-conformance and to develop NCR. KO may participate in meetings. Tracking code established to track NCR status from initiation to completion

3. Quality Improvement Code (QIC) created for reference to document non-conformance categories and successful corrective actions implemented.®

4. Corrective action plan developed by contractor to include description of corrective action(s) to be implemented and milestone schedule. Current guidelines allow up to 30 calendar days delay in performance/product delivery. Plan submitted for review and acceptance

Implement QIC corrective action

5. NCR and completed actions reviewed w1th contractor. Upon agreement of all parties, COR/PM confirm that non-conformance has been satisfactorily addressed, NCR is s1gned and closed. NCRs are filed and maintained in the task order contract surveillance folder.

Comments/feedback provided to contractor

No

Yes

NCR closed out and filed.

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