Attachment_D-6_QASP.DOC

Quality Assurance Surveillance Plan (QASP)

For

Performance-Based Logistics (PBL)

Support

Performance Work Statement

Office of Security Technology Transportation Security Administration March 2018

Table of Contents

3Introduction

31.1 Overview

31.2 Purpose

31.3 QASP Relation to Overall Performance Management Approach

31.4 QASP Relation to the QMS

31.5 QASP Revisions

4Roles and Responsibilities

41.6 Contractor Responsibility

41.7 Government Responsibility

5Performance description

51.8 Performance Standards and Acceptable Quality Limits (AQLs)

61.9 Ratings

61.10 Documenting Performance

61.11 Remedial Actions

7Performing Quality Assurance

71.12 Surveillance Methods

81.13 Levels of Inspection

8DOCUMENTATION AND Reports

81.14 Documentation Requirements

81.15 Reports

Introduction

1.1 Overview

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements of the Performance-Based Logistics (PBL) Support Maintenance Program Performance Statement of Work (PWS). The surveillance and evaluation Quality Assurance (QA) methods identified in the QASP, in concert with the Quality Control (QC) procedures as stated in the Contractor’s Quality Management System (QMS) procedures, will assure the Transportation Security Administration (TSA) is receiving the standard of service detailed in the PWS.

TSA retains the right to change the surveillance methods and QA procedures, and to increase or decrease the degree of surveillance efforts at any time necessary to assure contract compliance. However, the Contractor is responsible for assuring only conforming products/services are offered to the U.S. Government for acceptance. Other discovered contractual nonconformance requires responsive Contractor corrective action although not specifically identified for surveillance/measure within this document.

1.2 Purpose

The QASP is established to evaluate Contractor technical performance for the purpose of assuring the Contractor meets the performance standards of this contract.

The QASP is intended to accomplish the following:

· Identify the TSA Office of Acquisition Program Management (OAPM) procedures and guidelines used to evaluate the performance of the Contractor;

· Define the role and responsibilities of participating TSA officials;

· Define the key service levels that will be measured;

· Describe the rating criteria and evaluation methods employed by TSA in accessing the Contractors performance;

· Identify the forms, reports and resources used to document TSA’s monitoring efforts and results.

1.3 QASP Relation to Overall Performance Management Approach

The documented results of the QA surveillance will be used by TSA to monitor, manage, and take appropriate action on the Contractor’s performance against specified contract requirements. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated by the QA surveillance provides information that indicates whether or not expected outcomes for required services are being achieved adequately by the contractor.

1.4 QASP Relation to the QMS

The QMS is a required element of the contract that sets forth the process and procedures the Contractor will utilize to ensure the quality and timeliness of services delivered as defined in the PWS. The QASP represents the way in which TSA will evaluate the Contractor’s performance. The Contractor’s QMS and TSA’s QASP should be complementary programs that ensure the Contractor’s performance meets the standards defined in the PWS.

1.5 QASP Revisions

The QASP is a tool for use in TSA administration of the contract, and remains subject to revision at any time by TSA throughout the contract performance period. Revisions to this surveillance plan are the responsibility of the Contracting Officer’s Representative (COR). Changes may be made unilaterally and need not be announced to the Contractor; TSA may provide informational copies to the Contractor at its option.

Roles and Responsibilities

The purpose of QA is to ensure that the customers are satisfied with the materials and services received from the Contractor, and to ensure that the Contractor is meeting its obligation to TSA. The roles and responsibilities of the stakeholders involved in QA are described below.

1.6 Contractor Responsibility

The Contractor is responsible for delivering all products and services in accordance with the contract. The Contractor is responsible for implementing its QMS for producing, maintaining, and providing for audit, quality control records and reports, and all records associated with the investigation and resolution of customer complaints.

1.7 Government Responsibility

The Contracting Officer (CO), the Contracting Officer’s Representative (COR), and Quality Assurance Evaluators (QAE) are the key Government personnel who will be responsible for QA.

Contracting Officer (CO)

The CO has the authority to administer the contract, ensures compliance with the terms of the contract, and safeguards the interests of TSA in the contractual relationship. The CO may delegate many of the day-to-day contract administration duties to the COR and QAEs. However, certain contractual actions such as negotiation and issuance of contract modifications, resolution of Contractor claims and disputes, issuance of cure notices, issuance of show-cause letters (following a cure notice, requesting facts bearing on the case), termination of the contract, and contract close-out functions are retained by the CO.

The CO ensures the Contractor receives impartial, fair, and equitable treatment under the contract. The CO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance. All communication regarding questions or issues related to QA and inspection will be directed to the CO or the COR. Any changes that the Contractor deems may affect contract, price, terms, or conditions may only be referred to the CO for action. The CO shall approve any revision to the QASP processes or standards.

In accordance with Federal Acquisition Regulation (FAR) 42.302(a) (57), the CO also delegates specific surveillance tasks and authorities by formal letter to the COR and QAE. Administrative actions such as invoice approval and issuance of Contract Discrepancy Reports may be delegated by the CO to the COR.

Contracting Officer’s Representative (COR)

The COR is the individual designated in writing by the CO to act as an authorized representative in administering a contract, and is designated to act as a liaison between TSA and the Contractor on all technical issues pertinent to the daily operation of the contract. COR limitations are contained in the written letter of designation. The COR is not empowered to make contractual commitments or authorize contractual changes on TSA’s behalf.

The COR represents the CO in all technical functions and is therefore the Contractor’s initial point-of-contact with TSA. In turn, the COR may delegate to other qualified TSA personnel specific responsibilities, such as supervision of the QAEs, in order to ensure that the QA function is properly executed.

For tasks and/or subtasks which include performance incentives, the COR will provide recommendations to the CO for action. If modifications to the contract are necessary, the COR will assist the CO in preparing and negotiating the modifications. If technical performance is incomplete or deficient, the COR will notify the Contractor and request corrective actions be taken, provided they do not affect contract cost. The COR will document deficient performance in the file for historical Contract Past Performance.

Quality Assurance Evaluators (QAE)

The COR will either serve as or appoint a QAE. Appointed QAEs have only the authority delegated to them in writing by the COR and/or CO. The QAE is not empowered to make contractual commitments, authorize contractual changes, direct or interfere with the methods of performance by the Contractor, or to issue directions to any Contractor personnel on TSA’s behalf.

The QAEs perform the actual contract surveillance and report to the COR. Some of the key contract administration duties of QAEs include, but are not limited to, the following:

· Perform surveillance as required by this QASP, and make recommendations to the COR regarding issues of noncompliance, deficiency or commendation;

· Make recommendations to the COR for the acceptance or rejection of completed work, and for administrative actions based on unsatisfactory work or non-performed work;

· Assist the COR in identifying necessary contract modifications;

· Make recommendations to the COR for changes to the QASP;

· Assist the COR with the analysis and preparation of Contractor performance and cost reports.

The QAEs may use the forms provided in Appendix B for each service requirement to be inspected, or such other forms as approved by the COR. Once complete, this checklist includes the specific tasks to be checked, and whether the inspection results in a Contractor rating of excellent, compliant or noncompliant performance.

The QAE will be knowledgeable about the products and/or services provided by the Contractor, able to identify discrepancies in product and/or services, and is responsible for documenting and reporting all inspection observations. QAEs may be trained and qualified in appropriate surveillance techniques in order to maintain the degree of objectivity necessary for valid and unbiased surveillance and evaluation. The role of QAE need not be the primary duty of the individual(s) in the position.

Performance description PBL services are provided by the Contractor in accordance with the PWS and the specified performance/ service level requirements.

Contractor performance will be monitored through various surveillance methods described in Section 1.12. This plan describes the methodology utilized to make both quantitative and qualitative evaluation of Contractor performance under the contract.

1.8 Performance Standards and Acceptable Quality Limits (AQLs)

For selected activities in the PWS, the Performance Requirements Summary (PRS) in Appendix A provides the PWS performance standards and AQLs. A performance standard is the expected level of Contractor performance, and the AQL defines the level of performance that is satisfactory.

The contract requires all work be performed as specified. Any inaccuracies, omissions or failures to meet contractual requirements in services are referred to as discrepancies. The Contractor will be held responsible for all identified discrepancies, and TSA may require the Contractor to re-perform or correct the work at no additional cost to TSA.

1.9 Ratings

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

1.10 Documenting Performance

Acceptable Performance The Government will document positive performance. Any report may become a part of the documentation supporting contract past performance.

Unacceptable performance

When unacceptable performance occurs, the COR will inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR will 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) or a letter from the CO, and present it to the contractor's Program Manager. Appendix D includes a CDR template.

The contractor shall acknowledge receipt of the CDR (or letter) in writing. The notification 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 notification 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 notifications may become a part of the supporting documentation for contract payment deductions or other actions deemed necessary by the Contracting Officer.

1.11 Remedial Actions

The FAR allows for penalties in the event that the Contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the CO against the Contractor within the general provisions of the contract for noncompliance to the PWS and PRS.

In accordance with FAR 46.102 and FAR 46.105, the Government will not accept nonconforming products and/or services. The Contractor is required to correct products and/or services that fail to meet contract requirements, at no increase in contract price. If the Contractor fails to proceed with reasonable promptness to perform the required correction, the Government may take actions to collect consideration for work not accomplished.

Performing Quality Assurance The QAE (or COR) performs contract surveillance using various methods and reports results as required. Surveillance results either confirm the Contractor’s successful achievement of all performance requirements, or highlight areas where discrepancies exist and improvements are necessary.

1.12 Surveillance Methods

The following performance monitoring methods can be applied individually or in combination. The method or combination of methods used when conducting an inspection should be noted when describing the surveillance methods on the QA Monitoring Form found in Appendix B. Surveillance methods should be chosen and implemented with the goal of minimizing intrusive disruption.

Management Information Systems (MIS) reports can assist 100% inspection, random sampling or periodic inspection, and may be used to evaluate outputs through the use of management information reports. When using Contractor-generated reports, this method is best for general surveillance, and may need to be supplemented by periodic inspections. The QAE may accept Contractor-generated reports at face value, but use other methods to investigate problem areas.

Direct Observation Direct observation of Contractor performance can be performed periodically or through 100% inspection. Direct Observations may be scheduled or unscheduled. Scheduled Observations are previously scheduled and coordinated with the Contractor. Unscheduled Observations may be conducted at random by TSA personnel.

100% Inspection

The 100% inspection method requires complete inspection of a contract requirement and will be used for requirements that are especially critical or where there is some reason for suspecting that the performance standard is not being met (and therefore, should be more closely monitored).

Periodic Inspection

Periodic inspection, sometimes called “planned sampling,” provides a systematic way of looking at service outputs and forming conclusions about the Contractor’s level of performance in accordance with a planned schedule of surveillance. Evaluation by periodic inspection is designed to inspect some part but not all of the products and services being monitored.

Periodic inspection is generally used in two ways. First, it can provide a one-time subjective evaluation of Contractor performance. Second, it can be used to detect a change in the Contractor’s level of performance (i.e., trend analysis). This method requires that the sample selection criteria be well documented and consistently applied from period to period, and that there are no other intervening factors.

With this type of evaluation, the QAE is able to direct efforts to those areas where inspections are most needed, and the Contractor knows that those areas are more likely to be monitored than others. Periodic inspection provides a means to make a comparison between observed and reported performance, with the results being an indicator of the Contractor’s overall level of performance.

The levels of evaluation appropriate for periodic inspection are judgmental. In order to perform trend analysis from periodic inspection, criteria for sample selection should be applied consistently from period to period. Observed discrepancies monitored by periodic inspection will be totaled and assessed at the end of each evaluation period. For each requirement, the findings will be compared to the performance standard and AQL.

Random Sampling

Random Sampling is the most appropriate method for recurring tasks. This QA method is designed to evaluate Contractor performance by randomly selecting and inspecting a statistically significant sample. Random sampling is recommended for large quantity repetitive actives with objective and measurable quality attributes. The random sampling procedures consider the AQL, the level of the evaluation effort, and the population size. There are two ways of applying random sampling for QA surveillance. The first is used only for performance evaluation, and allows deductions to be taken only for observed nonconformities; the second is random sampling for performance evaluation and deduction projection, which allows deductions against the whole population based on the inspection of the sample.

Random Sampling is based solely on a statistical analysis whereby a conclusion is drawn about a population based on a randomly selected sample of that population. For the conclusion to be valid, the sample selected must be representative of the population. A truly representative sample can be achieved by ensuring that the sample is selected randomly and the size of the sample is sufficient.

1.13 Levels of Inspection

Three levels of inspection “Normal,” “Reduced” and “Tightened”, are utilized for the random sampling surveillance method. It is expected that during the initial period following contract award, all operational procedures and QA measures will be tested and implemented. Normal inspection will be used upon the initialization of the contract, unless otherwise directed by the COR. As the performance period progresses, the levels of surveillance inspection may be altered based on QAE performance ratings. The COR will notify the CO of proposed changes to the inspection level.

When normal inspection is in effect, tightened inspection will be instituted when ten percent (10%) of randomly sampled items are Unsatisfactory on original inspection (ignoring resubmissions). When tightened inspection is in effect, normal inspection may be reinstituted at the discretion of the COR when ninety-eight percent (98%) or randomly sampled items are rated Satisfactory on original inspection.

When normal inspection is in effect, reduced inspection may be instituted when one hundred percent (100%) of randomly sampled items are rated Satisfactory on original inspection for three consecutive rating periods.

DOCUMENTATION AND Reports

1.14 Documentation Requirements

Accurate and complete documentation is necessary for QASP administration. The COR will, in addition to providing documentation to the CO, maintain a complete QA file. The file will contain copies of all reports, evaluations, recommendations, surveillance checklists, and any actions related to the quality assurance surveillance function. All such records will be retained for the life of the contract and forwarded to the CO upon completion.

1.15 Reports

Quality Assurance Monitoring Report & Log This report is used to document QAE surveillance as it is conducted (Appendices B & C).

QA Report

At the end of the evaluation period or as required by the CO, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance monitoring of the Contractor’s performance. This report, consisting of a summary, the Contractor’s submitted reports, and the completed Quality Assurance Monitoring Forms, will become part of the QA documentation.

Appendix A: performance requirements summary (PRS) The QAE (or COR) will monitor Contractor performance using the methods in Section 1.12, together with the table below and the contract PWS. The PRS includes performance standards, AQLs, surveillance methods, and the impact to the contract for performance that does not meet standards. The Contractor is responsible for providing all products and/or services as required in the Contract. The following PRS summarizes the portions of the contracts on which TSA QA surveillance efforts are focused. At the direction of the COR, TSA reserves the right to alter the PRS at anytime during the contract to ensure the standard of services required by the contract is received.

100% of PM performed during airport operational hours has TSA approval (list submitted to COR)

Equipment downtime during airport operational hours is minimized

of CDRL A004 and A023

Invoice funding withheld in accordance with contract provisions

Equipment downtime during airport operational hours is minimized

of CDRL A004 & A023

Performance Threshold achieved in accordance with contract provisions

Appendix B: QUALITY ASSURANCE MONITORING REPORT FORM

QUALITY ASSURANCE MONITORING REPORT

PERFORMANCE STANDARD/ACCEPTABLE QUALITY LIMIT (AQL)

SURVEILLANCE METHOD Explain when evaluation is to occur and what is satisfactory or unsatisfactory.

NOTES

Overall Rating Of Inspection

RATINGS OF INSPECTION : Exceptional (E), Satisfactory (S), Unsatisfactory (U)

Inspector Comments:

Contractor Representative Signature:

Date: ____________________ QAE Signature:

_______________________________________________ Date:

Appendix C: QUALITY ASSURANCE MONITORING LOG FORM

QUALITY ASSURANCE MONITORING ACTIVITIES

NOTE: FILL IN THE FIRST THREE COLUMS USING THE APPROPRIATE ENTRIES FROM THE PWS/CONTRACT Appendix D: CONTRACT DISCREPANCY REPORT

TO: (Service Provider and Manager Name)

FROM: (Name of COR)

DATES

PREPARED

DISCREPANCY OR PROBLEM (Describe in Detail. Include PWS references. Attach Continuation Sheet if necessary.)

SIGNATURE OF COR

TO: (Name of COR)

FROM: (Service Provider)

CONTRACTOR RESPONSE AS TO CAUSE, EFFECT, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE. (Attach Continuation Sheet if necessary. Cite applicable CONTRACTOR QC program procedures or new QC procedures.)

SIGNATURE OF CONTRACTOR REPRESENTIVE

DATE

TSA EVALUATION (Acceptance, partial acceptance, or rejection. Attach Coordination Sheet if necessary.)

TSA ACTIONS (Cure notice, show cause, other.)

CLOSE OUT

CONTRACTOR REP NOTIFIED

QAE

COR

Appendix E: Acronyms

AQL

Acceptable Quality Limit

CDR

Contract Discrepancy Report

CLS

Contractor Logistics Support

CO

Contracting Officer

COR

Contracting Officer’s Technical Representative

FAR

Federal Acquisition Regulation

ILS

Integrated Logistics Support

OAPM

Office of Acquisition Program Management, TSA

PM

Preventative Maintenance

PRS

Performance Requirements Summary

QA

Quality Assurance

QAE

Quality Assurance Evaluator

QASP

Quality Assurance Surveillance Plan

QC

Quality Control

QMS

Quality Management System

PWS

Performance Work Statement

TSRC

TSA Service Response Center

TSA

Transportation Security Administration

FOR OFFICIAL USE ONLY

SOURCE SELECTION SENSITIVE