Attachment 1 DJU6200009018-ISO188-21 QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

FOR

Program and Project Support Misawa AB, Japan

Attachment 1 DJU6200009018/ISO188-21

Table of Contents

Section A - Purpose

Section B - Roles and Responsibilities

Section C - Service Summary

Section D - Methods of Surveillance and Surveillance Procedures

Section E - Surveillance of Non-Service Summary (SS) Items

Section F - Unacceptable Performance

Section G – Certification/Acceptance of Services

Section H - Contractor’s Quality Control Plan

Section A – Purpose

1. This Quality Assurance Surveillance Plan (QASP) has been developed to provide Contracting Officer Representative (COR) an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract. This plan implements the guidance of MP 5301.602- 2(d) and AFI 63-138, with respect to the Government’s quality assurance requirements.

2. The role of Government quality assurance is to ensure contract performance objectives are achieved.

In conducting surveillance, COR are to be objective, fair, and consistent in evaluating Contractor performance against the performance standards.

3. This plan is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained.

Section B – Roles and Responsibilities

1. Contracting Officer Representative (COR)/Program Manager(PM)

a. Will ensure the initial requirements are documented thoroughly enough to ensure the contractor is not performing Inherently Governmental Functions (IGF) or Personal Services

(PS).

b. CORs are responsible for ensuring contractors create the initial contract record in the applicable eCMRA tool within 15 working days after contract award and validate that the information is complete and accurate. CORs are also responsible for working with the contracting officer to enter the data required by the National Defense Authorization Act (NDAA) of 2008 on the “Contract Details” page of the eCMRA tool, entering the fund cite data, and accomplishing the reviews set forth in the COR/COTR User Guide available at http://www.ecmra.mil/..

c. The COR shall conduct site visits.

d. Develops clearly defined technical requirements and independent cost/Government estimates for contract services to include participation, as appropriate, in requirements definition, acquisition planning, and contract formation processes.

e. Conducts Government contract quality assurance as delegated by the Contracting Officer.

f. Provide reports on contract performance to the contracting officer. If advised by a contracting officer that the reports are inadequate, ensure revised reports address inadequate issues and are determined adequate by the contracting officer

g. Evaluates and documents the Contractor’s performance in accordance with the procedures set forth in this plan.

h. Notifies the Contracting Officer of any performance deficiencies.

i. Provide information necessary to determine if there is an absence of personal conflict of interest and, once designated, notify the contracting officer and COR management if a potential or actual conflict of interest subsequently arises.

j. Certifies acceptance of services.

k. Establish and maintain individual COR files for each contract in accordance with DFARS PGI

201.602-2 of DoD Component procedures. COR files will be available for review by the contracting officer, internal review officials, or other officials as authorized by the contracting officer.

l. Recommends any changes necessary to the task order, specifications, instructions, or other requirements that will provide more effective operations or eliminate unnecessary costs.

m. Neither delegate nor re-delegate any responsibilities that were delegated by the contracting officer.

2. Contracting Officer (CO)

a. In appointing contracting officer representatives, the contracting officer should consider whether the person to be appointed is already performing COR duties on another contract (or contracts).

b. Although there is no prohibition from performing COR duties on more than one contract simultaneously, the contracting officer must ensure that individuals appointed as CORs are able to dedicate sufficient time to perform effective oversight on each appointed contract.

c. The number of contracts for which a COR may be assigned is a matter for the judgment of the contracting officer considering the size, scope, and complexity of the individual contracts.

d. When an individual is designated as a COR for more than one contract (or more than one task or delivery order under a contract), a separate letter of designation must be provided for each contract (or task or delivery order).

e. The COR certification remains in effect until terminated by the contracting officer.

f. The contracting officer may not also serve as a COR on a contract that he or she awarded.

g. Designate a properly trained COR in writing before award of all service contracts in accordance with DFARS PGI 201.602-2.

3. Contractor

a. Complies fully with the terms and conditions of the contract.

b. Maintains and implements a quality control plan that is acceptable to the Government.

c. Ensures that non-conformance of contract requirements are identified, corrected, and prevents recurrence.

d. Tenders to the Government for acceptance only those services that conform to contract requirements.

e. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

f. The Contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons.

Additional information about Trafficking in Persons can be found at the site for the Department of State’s Office to Monitor and Combat Trafficking in Persons:

http://www.state.gov/j/tip

Section C – Service Summary

As a minimum, CORs will monitor, review, and report on the Contractor’s performance and compliance with all Service Summary (SS) items shown below (from Section 2 of the PWS). The service requirements summarized below are the critical performance objectives that relate directly to mission essential items.

The performance thresholds referenced in the table briefly describes the minimum acceptable levels of service required for each service requirement. The performance thresholds established for each of the performance objectives are the number of defects permitted before the COR notifies the contracting officer in accordance with FAR 52.246-4, Inspection of Services - Fixed Price.

Performance Rating Criteria Excellent / Outstanding Performance meets contractual requirements and exceeds many to the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly effective.

Very Good Performance meets contractual requirements and exceeds some to the government benefits. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

Good Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear marginally effective or were not fully implemented.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

PERFORMANCE

OBJECTIVE

PWS

PARA

PERFORMANCE THRESHOLD SURVEILLANCE

METHOD

Mission Requirements:

Properly qualified team in place with service provided with minimal disruption for TO duration.

C.5.2;

C.5.3

E: Properly qualified team in place with service provided with no disruption for TO duration.

Periodic Inspection

(Quarterly) and

Customer Complaint VG: Properly qualified team in place with service provided with 5 day disruption for TO duration.

S: Properly qualified team in place with service provided with 10 day disruption for TO duration

M: Properly qualified team in place with service provided with 15 day disruption for TO duration.

U: Properly qualified team in place with service provided with 16 days or more disruption for TO duration.

Deliverable Document Review: Documents delivered on schedule and accurate.

C.5.2;

C.5.3

E: Required deliverables submitted on scheduled due date with no errors for the reporting period

Periodic Inspection (Quarterly) and Customer Complaint

VG: Required deliverables submitted within 1-3 days of schedule and with no more than 3 errors for the reporting period

S: Required deliverables submitted within 4- 6 days of schedule and with no more than 5 errors for the reporting period.

M: Required deliverables submitted within 7- 9 days of schedule and with no more than 7 errors for the reporting period

U: Required deliverables submitted delivered within 10 or more days of schedule and no more than 9 errors for the reporting period

Management of Deliverable and Reporting: Project Monthly Status Report (MSR) submitted in a timely manner.

C.5.1 E: Submitted within 0-5 calendar days of the month following period covered by report.

100% Inspection

VG: Submitted within 6-10 calendar days of the month following period covered by report.

S: Submitted within 11-15 calendar days of the month following period covered by report.

M: Submitted within 16-20 calendar days of the month following period covered by report.

U: Submitted later than 21 calendar days of the month following period covered by report.

Section D – Methods of Surveillance and Surveillance Procedures

1. Surveillance Schedule.

The COR will develop a monthly surveillance schedule, based on this Plan. A locally devised form is available in the COR Surveillance Workbook and sample identified in Appendix 2, Monthly Surveillance Schedule. The schedule shall be completed no later than the first calendar day before the beginning of the period it covers. Copies of the surveillance schedule shall be provided to the FD/FC and the Contracting Officer, before the start of the surveillance period. Surveillance schedules, when completed, shall be marked “For Official Use Only,” and shall not be shown to the Contractor. Changes to the surveillance schedule shall be sent to the FD/FC and the Contracting Officer. The COR shall document the reason(s) for changes to the surveillance schedule, and maintain the documentation in the COR files with the corresponding surveillance schedule that was changed.

2. Periodic Inspection.

Periodic sampling is similar to random sampling, but it is planned at specific intervals or dates. It may be appropriate for tasks that occur infrequently. Selecting this tool to determine a contractor’s compliance with contract requirements can be quite effective, and it allows for assessing confidence in the contractor without consuming a significant amount of time

a. It is essential that the COR conduct the exact number of surveillances on the surveillance schedule for an effective quality assurance program. COR shall document surveillance as it is conducted using a Performance Assessment Report (PAR). An example of the form is available in Appendix 3, to include procedures for documenting the Contractor’s performance.

b. The COR shall conduct surveillance of the Contractor’s performance by determining whether or not the performance meets the standards contained in the contract.

c. The COR shall record surveillance results. Surveillance documentation shall include as a minimum, the date, time, and location the surveillance was conducted, rating results of the surveillance (i.e. Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory), contract paragraph number referencing the requirement, a short description of the requirement being surveyed, applicable remarks, and signature of COR conducting the surveillance. When COR determines that Contractor performance is unacceptable, the specific reason for the unacceptable performance shall be recorded on the CORs surveillance documentation.

3. Customer Feedback

Customer feedback is firsthand information from the actual users of the service. It should be used to supplement other forms of evaluation and assessment, and it is especially useful for areas that do not lend themselves to the typical forms of assessment. However, customer feedback information should be used prudently. Sometimes customer feedback is complaint-oriented and subjective in nature, and it may not always relate to actual requirements of the contract. Such information requires thorough validation.

a. Customer Feedback shall be validated, collected, and documented and become part of the official COR file in CORTT

b. Customer feedback, via the Customer Feedback Form (sample is provided in Appendix

5) shall be documented on the PAR. Feedback, positive or negative, shall be collected from the end user/requiring activity and be added as supplemental documentation to the

PAR.

c. Negative feedback shall be documented by the customer on a Customer Complaint Record(CCR) and upon validation, the COR will document the complaint on the Corrective Action Request CAR (sample is provided in appendix 6) and is incorporated in the COR Surveillance Workbook.

d. All negative feedback shall be validated by the COR prior to contacting the CO.

e. All inspections shall be documented on a PAR and become part of the COR File in

CORTT.

Section E – Surveillance of Non-Service Summary (SS) Items

The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. Therefore, the COR will conduct surveillance for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in Section F of this plan, entitled, Unacceptable Performance.

Section F – Unacceptable Performance

1. Unacceptable Performance

When the Contractor’s performance is deemed unacceptable, the COR shall attempt to determine the cause of the unacceptable performance. If any Government action, or lack of action, caused the unacceptable performance, the unacceptable performance shall not be counted against the Contractor. The COR shall take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. When the unacceptable performance is not the result of Government action, or lack of action, COR shall promptly notify the Contractor and issue a Corrective Action Request (CAR) to the Contractor to assure corrective action is taken. By signing and dating the CAR, the Contractor is acknowledging that he or she has been informed of the unacceptable performance, and not necessarily agreeing that the performance was unacceptable. COR shall direct the Contractor to re-perform the service, if possible, without additional cost to the Government. Unacceptable performance re-performed by the Contractor shall still count as unacceptable performance. If the Contractor challenges the validity of the CORs unacceptable surveillance findings, and the COR and Contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution. The Contractor shall be required to return all completed CARS to the COR, no later than the suspense date indicated on the CAR.

2. Corrective Action Requests (CARs):

CARs will be initiated whenever the Contractor is not meeting contract quality requirements. All CARs will be maintained in CORTT by the COR for tracking and trending purposes. An example of a locally devised letter is available in Appendix 6 Corrective Action Request (CAR). The FC/FD will be consulted as necessary regarding the level of corrective action to be pursued.

3. Remedies for Unacceptable Performance.

a. In accordance with the contract Inspection of Services Clause 52.246, if any of the services do not conform to the contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re-performance, the Government may –

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the task order price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

b. If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may --

(1) By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

(2) Terminate the contract or task order for default.

Section G– Certification/Acceptance of Services

1. The COR shall submit all PAR to the CO by the 5th workday of each month. These reports are essential for identifying areas that are nonconforming and whether the Contractor has satisfied the basic requirements of the PWS. All PAR documentation shall be submitted with all validated customer feedback and CARs.

2. The COR shall certify receipt of Contractor services each month. The COR shall certify that services were received, in accordance with the terms and conditions of the contact. The COR shall certify receipt of contracted services via the Wide Area Workflow (WAWF) website. Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties.

Section H – Contractor’s Quality Control Plan

1. In accordance with the PWS, the Contractor shall establish and maintain a Quality Control Plan to ensure the requirements of the contract are provided as specified. The Contractor shall provide a Quality Control Plan describing the inspection system for the requested services listed in the PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of unacceptable services. The Contractor shall update the plan as changes occur and changes shall be submitted for review and acceptance by the Contracting Officer. The Contractor’s quality control plan shall contain, as a minimum, the following items:

a. A description of the inspection system to cover all services. Description shall include specifics as to the areas to be inspected on a scheduled and unscheduled basis, frequency of inspections, and the title and organizational placement of the inspector(s).

b. A description of the methods to be used for identifying and preventing defects in the quality of service performed.

c. A description of how the records will be kept. Records must document all inspections and corrective or preventive actions taken.

2. Contractor Inspection Records. Records of inspections shall be kept and made available to the Government throughout the contract performance period and for the period after contract completion until final settlement of any claims under this contract.