Attachment 14 - QASP_ DDRV.docx

Quality Assurance Surveillance Plan (QASP) For Complete Repair and Maintenance Services on Automated Storage and Retrieval Systems (ASRS) DLA Distribution Richmond, Virginia

SPXXXX-XXX-XXXX

April 2021

1. SCOPE

A. The Contractor shall provide all labor, equipment, tools, materials, replacement parts, and supervision necessary to perform preventive and corrective maintenance on Government-owned Modula VLM equipment located at DLA Distribution and Aviation sites. All maintenance work shall be performed complete and in accordance with the terms and conditions specified herein. Please see the Equipment List attachment for site equipment locations and identification.

B. All references in this SOW to “Contractor personnel” include both Contractor employees and subcontractors.

C. This is a non-personal services contract to provide Preventive and Corrective Maintenance Services on all Modula VLMs for DLA Distribution and DLA Aviation at specified locations. See Attachment – Equipment List.

1. The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor who, in turn is responsible to the Government.

2. When Contractor personnel find themselves in situations where their Contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of the members of the public that they are Government officials. All contractor employees shall always wear ID badges conspicuously on his or her outer clothing above the waist and shall identify themselves as contractors while in the workplace and at meetings.

D. The Government and the Contractor understand that the services to be provided under this contract by the Contractor are non-personal services and that no employer-employee relationship exists between the Government and the Contractor. The Government may provide technical direction which will assist the Contractor in accomplishing tasks in the Statement of Work (SOW); however, the Government will not control the methods used by the Contractor to perform the service requirements set forth in the SOW.

E. Travel costs. The Government will reimburse the Contractor only for actual travel costs incurred because of required Corrective Maintenance as allowed under FAR Part 31.205-46, Travel Costs.

1. All travel by Contractor employees must be authorized by the Contracting Officer (KO) or Contracting Officer Representative (COR) prior to travel being performed. Travel requests shall be in writing and contain estimated travel costs.

2. The Contractor shall ensure that all travel is consistent with the Joint Travel Regulations (JTR). Reimbursements for transportation costs will be limited to allowable expenses for Government directed travel.

3. The Contractor shall be responsible for any costs incurred because of authorized travel which are in excess of that allowed under Federal Acquisition Regulation (FAR) Part 31.205-46 Travel Costs and the appropriate regulations therein.

4. Within five (5) calendar days after completion of travel, the Contractor shall submit a trip summary itemizing actual costs incurred for authorized travel.

5. The Contractor shall also provide to the COR documentation to support travel costs such as copies of receipts for airline tickets, auto rental, and hotel expenses. This information shall also be submitted in WAWF with applicable invoice. Please only submit travel documentation required by the JTR.

https://www.defensetravel.dod.mil/Docs/perdiem/JTR.pdf

F. Equipment List. See Attachment.

2. GOVERNMENT ROLES AND RESPONSIBILITIES (AS APPLICABLE)

The following is a listing of responsibilities for the personnel that shall oversee and coordinate surveillance activities. See Attachment 1 for a list of personnel assigned to these roles.

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.

b. ACQUISITION SPECIALIST (AS) - The AS acts as an acquisition consultant and serves as liaison between KO, the COR/TPOC/QAE, and the Contractor.

c. CONTRACTING OFFICERS 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. Responsibilities include, but are not limited to:

· Ensuring COR training and other certification requirements are up to date

· Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

· Preparing and coordinating annual contract performance assessments and reports

· Maintaining file copies of all documents submitted by the Contractor

· Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

· Performing quality assurance surveillances as required or necessary (i.e. no TPOC or QAEs have been assigned)

d. TECHNICAL POINT OF CONTACT (TPOC) – A TPOC is similar in scope and responsibility to a COR but is usually appointed when services are being provided at multiple locations and the COR is located at a central location. The TPOC must meet the same training requirements and standards as a COR. The TPOC reports through the COR to the KO. If assigned, the TPOCs responsibilities include, but are not limited to:

· Ensuring COR training and other certification requirements are up to date

· Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

· Preparing and coordinating annual contract performance assessments and reports

· Maintaining file copies of all documents submitted by the Contractor

· Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

· Performing quality assurance surveillances as required or necessary (i.e. no QAEs have been assigned)

e. QUALITY ASSURANCE EVALUATOR (QAE) - A QAE, if assigned, is typically a technical and subject matter expert in the products or services that are being provided and performed by the Contractor. The QAEs primary role is with the inspection, documentation, and reporting of Contractor performance through the TPOC or COR. If assigned, the QAEs responsibilities include, but are not limited to:

· Filing required reports and documents with the COR/TPOC as required

· Reviewing the Contractor’s Quality Control Plan; recommend rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Performing quality assurance surveillances as assigned

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Monitor the Contractor’s performance under a CAP and report both positive and negative findings to the COR/TPOC.

f. QUALITY ASSURANCE TEAM (QAT) – The QAT is comprised of all individuals assigned a role in the quality assurance surveillance and contract oversight process. The size and scope of this team will vary based on the individual characteristics and complexity of the products or services being provided by a contract entity.

3. GOVERNMENT ROLES AND RESPONSIBILITIES (AS APPLICABLE)

The following is a listing of responsibilities for the personnel that shall oversee and coordinate surveillance activities. See Attachment 1 for a list of personnel assigned to these roles.

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.

b. ACQUISITION SPECIALIST (AS) - The AS acts as an acquisition consultant and serves as liaison between KO, the COR/TPOC/QAE, and the Contractor.

c. CONTRACTING OFFICERS 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. Responsibilities include, but are not limited to:

· Ensuring COR training and other certification requirements are up to date

· Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

· Preparing and coordinating annual contract performance assessments and reports

· Maintaining file copies of all documents submitted by the Contractor

· Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

· Performing quality assurance surveillances as required or necessary (i.e. no TPOC or QAEs have been assigned)

d. TECHNICAL POINT OF CONTACT (TPOC) – A TPOC is similar in scope and responsibility to a COR but is usually appointed when services are being provided at multiple locations and the COR is located at a central location. The TPOC must meet the same training requirements and standards as a COR. The TPOC reports through the COR to the KO. If assigned, the TPOCs responsibilities include, but are not limited to:

· Ensuring COR training and other certification requirements are up to date

· Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

· Preparing and coordinating annual contract performance assessments and reports

· Maintaining file copies of all documents submitted by the Contractor

· Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

· Performing quality assurance surveillances as required or necessary (i.e. no QAEs have been assigned)

e. QUALITY ASSURANCE EVALUATOR (QAE) - A QAE, if assigned, is typically a technical and subject matter expert in the products or services that are being provided and performed by the Contractor. The QAEs primary role is with the inspection, documentation, and reporting of Contractor performance through the TPOC or COR. If assigned, the QAEs responsibilities include, but are not limited to:

· Filing required reports and documents with the COR/TPOC as required

· Reviewing the Contractor’s Quality Control Plan; recommend rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Performing quality assurance surveillances as assigned

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Monitor the Contractor’s performance under a CAP and report both positive and negative findings to the COR/TPOC.

f. QUALITY ASSURANCE TEAM (QAT) – The QAT is comprised of all individuals assigned a role in the quality assurance surveillance and contract oversight process. The size and scope of this team will vary based on the individual characteristics and complexity of the products or services being provided by a contract entity.

4. QUALITY CONTROL AND QUALITY ASSURANCE

a. QUALITY CONTROL - The overall responsibility for performance quality rests with the Contractor. Through their Quality Control Plan (QCP), they are responsible for monitoring, reporting, and correcting performance issues as they are discovered. The QCP is considered a living document (just like this QASP) and should be reviewed and revised as necessary throughout all periods of performance.

b. QUALITY ASSURANCE - The QAT, through assigned QAEs, TPOCs, and COR, are responsible for conducting scheduled and unscheduled performance checks (surveillances) to gauge the effectiveness of the Contractor’s quality program. Findings or nonconformances discovered by the QAT will be shared with the Contractor, as they are discovered, in order to permit the Contractor to both identify corrective actions necessary to improve performance as well as improve their quality control efforts.

5. QUALITY ASSURANCE SURVEILLANCE PROCESS

The foundation to the quality assurance surveillance process is a firm and thorough understanding of the requirements contained in the contract. This includes the Performance Work Statement (PWS) or Statement of Work (SOW), Contract Data Requirements Listings (CDRLs), Technical Exhibits, and any referenced SOPs, Handbooks, Manuals, Instructions, or other guidance cited in the requirement. Additionally, and equally important, a clear understanding of the Contractor’s Quality Control Plan (QCP) is necessary in order to have insight on how the Contractor has proposed to evaluate and report their internal quality efforts.

With this understanding, the individual(s) that will be conducting the quality assurance surveillances can begin their inspection and verification processes. DLA Distribution uses a 7-Step Process to assist in making this easier. The steps are:

· Identify – Precisely identify the objective of the surveillance and the associated standards

· Review – Review the contract, any cited references, and other pertinent documents (CDRLs, QCP, SOPs, Agreements, etc.)

· Conduct – Conduct the surveillance by paying close attention to the object or processes being surveilled to include environmental factors at the time of the surveillance; Be Observant, Objective, and Document all findings both good and bad

· Document – Document your surveillance results as they were observed

· Analyze – Review your documentation and analyze the results looking for missing data. Look for the “Root-Cause” to problems by asking yourself “why” repeatedly until a potential root cause is discovered

· Report – Be clear and concise but thorough when reporting your surveillance results

· File – File your surveillance documentation

6. QUALITY ASSURANCE SURVEILLANCE METHODS

Contract requirements can be surveilled using a variety of techniques and methodologies and many requirements can be surveilled using multiple techniques. It is up to the individual conducting the surveillance to determine the most appropriate method for a particular requirement. DLA Distribution utilizes the four methods below.

· DIRECT OBSERVATION – This method should be used to physically observe a process and procedures being performed

· 100% INSPECTION – Generally the most time consuming surveillance method; ideally used when Lot Sizes are relatively small (25 or less)

· RANDOM SAMPLING – Ideal for use with large Lot Sizes; a statistical sample is selected from the Lot. The table below will be used to determine Sample Size based on a range for the Lot. Accept/Reject numbers are included

Figure 1 - Random Sampling Plan

· VALIDATED CUSTOMER COMPLAINT – A customer complaint that has proven to be valid based on subsequent investigation; not all complaints are valid or reasonable unless they can be verified. Customer complaints should be documented in writing and submitting by the customer. The customer may be any stakeholder in the process and not necessarily the end user customer.

7. DOCUMENTING AND REPORTING PERFORMANCE

All surveillance activities must be thoroughly documented. This is equally important for conforming results as it is for nonconforming results. All surveillance documents become an official part of the Contract File and are preserved throughout the periods of performance, contract closeout, and then further for the required document retention period. For this contract, two types of performance reports will be utilized, Non-Acceptable Performance Level (Non-APL) and Acceptable Performance Level (APL). All non-conforming surveillance outcomes shall include a detailed explanation that clearly identifies the non-conformance or failure of Non-APL Performance or APL Performance requirements in the Monthly COR Report. A “COR Report” template is available in the Surveillance and Performance Monitoring Tool (SPM) in the Procurement Integrated Enterprise Environment (PIEE).

· NON-APL PERFORMANCE – Non-APL performance surveillances are to be documented and reported using the Quality Management Tool (QMT) which is currently HighGear.

· APL PERFORMANCE – The COR/TPOC will utilize the “APL Report” to document conformance to acceptable performance levels (Conforming/Non-Conforming). The APLs are specific timeliness or quality metrics that are collected and analyzed on a monthly basis to give a general idea of the Contractor’s ability to meet specific measurable targets. APLs are normally only reviewed after the end of the month, as APLs are measured on a full month’s performance.

· The APL Report is required to be completed on a monthly basis and attached to the “COR Report”.

8. WORKFLOW

9. SPECIAL INSTRUCTIONS/CONTRACT SPECIFIC REQUIREMENTS

Corrective Action Plans (CAPs) are documented, tracked, and completed in the QMT.

Contracting Officer’s Representative (COR)

Attachments – APL Report

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