DRAFT Quality Assurance Surveillance Plan-QASP_STEP 3kW EMD.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

SMALL TACTICAL ELECTRIC POWER (STEP) 3-Kilowatt (3kW) Tactical Power Source (TPS)

PROJECT MANAGER

EXPEDITIONARY ENERGY AND SUSTAINMENT SYSTEMS (E2S2)

PRODUCT DIRECTOR

SMALL EXPEDITIONARY POWER SOURCES (SEPS)

FT BELVOIR VA

JUNE 2021

NOTE: The QASP is a living document to be used by Government personnel to monitor and assess contract performance. An initial QASP is provided with the solicitation. The final QASP is provided to the contractor at time of award, however, it is NOT incorporated into the contract. This is so the government may review and revise it as necessary without issuing a contract modification. An example of what might change during contract performance is the period of surveillance to make it more or less frequent. Updates to the QASP during contract performance will ensure that the QASP remains a valid and useful document. Any changes to the QASP during the period of performance of the contract must be provided to the contractor by the contracting office.

QASP - STEP-3kW Tactical Power Source

SUBMITTED BY

TERRENCE WICHERSKI

Assistant Program Manager (APM) Small Tactical Electric Power 3kW (STEP-3kW)

CHENXI DONG-O’MALLEY

Product Director (PD) Small Expeditionary Power Sources (SEPS)

CONCURRENCE

KATHY BROWN

Colonel, LG Project Manager (PM) Expeditionary Energy Sustainment Systems (E2S2)

LISA STONE

Deputy Project Manager (DPM) Expeditionary Energy Sustainment Systems (E2S2)

APPROVAL

MICHAEL PANGIA

Attorney Advisor Army Contracting Command – Aberdeen Proving Ground (ACC-APG) Ft Belvoir Division

DARBYE RIVERA

Contracting Officer (KO) Army Contracting Command – Aberdeen Proving Ground (ACC-APG)Ft. Belvoir Division

TABLE OF CONTENTS

TABLE OF CONTENTS ________________________________________________________ 3

1. INTRODUCTION __________________________________________________________ 5

A. Purpose of the Plan _______________________________________________________ 5

B. Quality Assurance - General Overview ________________________________________ 5

D. Support to Property and Safety ______________________________________________ 5

2. ORGANIZATION AND RESPONSIBILITES ______________________________________ 5

A. PM E2S2 _______________________________________________________________ 5

B. DCMA Contract Management Office (CMO) ____________________________________ 6

3. QUALITY ASSURANCE CONCEPT OF OPERATIONS ____________________________ 6

4. QUALITY ASSURANCE STRATEGY ___________________________________________ 6

Disapproved _________________________________________________________________ 7

5. COMMUNICATION ________________________________________________________ 7

6. EVALUATE QUALITY SYSTEM _______________________________________________ 7

A. Contractor Quality Control Plan (QCP) ________________________________________ 7

B. Evaluation of Contractor QCP _______________________________________________ 8

C. Documentation __________________________________________________________ 8

D. Communication of Results _________________________________________________ 8

7. IDENTIFY KEY PROCESS AND DETERMINE RISK RATING _______________________ 8

A. How Processes Are Identified _______________________________________________ 8

B. How Processes Are Identified As Key / High Risk _______________________________ 8

C. Contractor Risk __________________________________________________________ 9

8. PROCESS SURVEILLANCE _________________________________________________ 9

A. General _________________________________________________________________ 9

B. Service Order Audits ______________________________________________________ 9

C. Work Order (Notice to Proceed (NTP)) Audits __________________________________ 9

D. Process Audits _________________________________________________________ 10

E. Contractor Improvement Opportunities (CIO) __________________________________ 10

F. Corrective Action Reports (CAR) ____________________________________________ 10

G. Surveillance at the Subcontractor Level ______________________________________ 11

H. Surveillance of Contractor Production Progress ________________________________ 11

I. Contracting Officer Representative (COR) Policy ________________________________ 11

9. DATA ANALYSIS AND ADJUSTING SURVEILLANCE ____________________________ 12

A. General _______________________________________________________________ 12

B. Data Analysis __________________________________________________________ 13

C. How Surveillance Is Adjusted ______________________________________________ 13

10. RECORDS RETENTION __________________________________________________ 13

A. General _______________________________________________________________ 13

B. Electronic Records ______________________________________________________ 13

1. INTRODUCTION

A. Purpose of the Plan

The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the Project Manager Expeditionary Energy and Sustainment Systems (PM E2S2) Small Tactical Electric Power 3-Kilowatt (STEP3kW) program plan for administering Quality Assurance (QA) during Fabrication, Assembly and Testing.

The plan addresses and satisfies the requirements of the PM E2S2 Quality Management System (QMS). In particular it addresses or implements the following:

PM E2S2 QMS

AR 702-11 Army Quality Program

Quality Assurance Representative (QAR) Work Book (Inspection Records)

Risk Profile and Plan (Risk identification)

B. Quality Assurance - General Overview

QAR oversight is critical to the mission in order to meet the Warfighter’s technical requirements. QARs conduct oversight of the vendor utilizing teaming, visiting contractors / sites, evaluating process performance, and assuring products are completed before test and evaluation. The QARs presence assures our customers that we are monitoring the quality of work and services.

QAR interaction with the contractor is vital to insure customer satisfaction. The interaction allows contractors to learn about the PM E2S2 mission and understand Soldier requirements. Products necessary for the needs of the Soldier are ongoing and require constant monitoring. This monitoring ensures the health, safety, morale, readiness, and over all well-being of the Soldier which in turn enables mission success.

D. Support to Property and Safety

Since QARs have knowledge of property and safety, when / if issues arise the QARs will promptly inform the appropriate property or safety functional element.

2. ORGANIZATION AND RESPONSIBILITES

A. PM E2S2

PM E2S2 provides technical assistance, guidance and support via the complete team.

The intent of this effort is to provide a standardized approach to QA. The Defense Contract Management Agency (DCMA) provides a stabilizing influence, prevents loss of continuity, and provides a seamless transition between the outgoing and incoming QA Specialist.

B. DCMA Contract Management Office (CMO)

The PM is ultimately responsible for the accomplishment of the Command's mission.

The QA Lead is responsible to the Product Director (PD) for accomplishing the QA portion of the command's mission. The QA Lead implements PM policy, establishes procedures regarding quality.

QARs are responsible for developing and implementing the QASP. The QAR interfaces with the Contractor and QA team members. QARs ensure the PM complies with requirements relative to quality standards, provide an independent audit of Quality Surveillance and have responsibility to initiate corrective action. The QARs ascertain regulatory compliance through evaluating the PM's systems. This is accomplished by continually reviewing relevant data with an eye to past performance data, evaluating the PM Quality Plan, classifying process risks, performing process proofing, and process / product audits and inspections.

3. QUALITY ASSURANCE CONCEPT OF OPERATIONS

QARs perform oversight of the PM’s performance within their Area of Responsibility (AOR) which may include several contractors and/or sites. Each QAR also owns several key and other processes so each QAR can focus on knowing required processes and becoming the Subject Matter Expert (SME) for the team. In addition to visiting assigned contractors / sites, the QARs must travel to contractor and other locations to accomplish their mission.

4. QUALITY ASSURANCE STRATEGY

The QAR is responsible for implementing the QA Strategy. The QA Strategy is a simple four-principle approach. For each strategy there is a question regarding the principle that is related to the PM’s activities. For each question there is a test or how to achieve the answer (proof) to the question. The test or how has a corresponding result and means for reporting and location of where data is reported. The table below depicts the QA strategy.

STRATEGY QUESTION HOW RESULT

1. Monitor contractor site service

Is the customer being served?

Inspect service order log for each camp that has a log In Accordance With (IAW) the local DCMA schedule.

* Audit record

2. Inspect High Risk Is the work satisfactory?

Witness completion

* Administrative

Contracting Officer (ACO ) /Quality

Assurance (QA) log

3. Proof / surveil High Risk Key Processes

Is the process good and is it being followed?

Proof and Surveil all key processes within one year of identification/change.

* Contract

Improvement Opportunities (CIO) / Corrective Action

Report (CAR)

* Process Proofing log

4. Periodic Evaluation of the Contractor’s Quality

Control Plan (QCO)

Is the plan adequate and being followed?

All elements reviewed once a year. DCMA/SME/TAG directs elements to be reviewed by each team

* Elements of plan

(Satisfactory or Unsatisfactory)

* QCP – Approved or Disapproved

* Contractor in compliance with the QCP – Yes or No

5. COMMUNICATION

QARs interface through their travels to contractors / sites to observe day-to-day activities with the military and PM personnel. Additionally QARs attend weekly meetings as required.

The primary means of communicating with the Procurement Contracting Officer (PCO) is via a weekly Situation Report (SITREP). QARs provide input which is reviewed and consolidated by the QA Lead then forwarded to the responsible party for inclusion in the SITREP. The SITREP discusses key QA issues as well as the number of written / verbal Contractor Improvement Opportunities (CIOs) issued and written / verbal correction action requests (CARs) issued.

6. EVALUATE QUALITY SYSTEM

A. Contractor Quality Control Plan (QCP)

The Contractor is required to provide and maintain an inspection system acceptable to the Government covering the services, supplies, fabricating methods, and special tooling under the contract as applicable. The Contractor is also required to develop a QCP for Government approval.

B. Evaluation of Contractor QCP

The DCMA, CMO, and QAR review and approve the Contractor’s QCP and perform periodic reviews to ensure continued acceptability. Changes, additions, and scope of new work will drive the frequency for review. Noted nonconformance observed as a result of these reviews or daily operations may require corrective action(s) on the part of the contractor.

C. Documentation

Evaluation results of the Contractor QCP as a minimum will identify date(s) of the evaluation, who performed the evaluation, noted observations of nonconformance (as applicable) and corrective actions. The evaluation report will indicate how confidence was established in each element of the Contractor’s QCP. See “Section 10. Records Retention” for details on the procedures for documenting and maintaining the records in the QAR central files.

D. Communication of Results

When an evaluation or audit of an element is finalized, the contractor and DCMA / CMO are notified in writing. When the evaluations or audits indicate significant noncompliance, the written notice identifies the exact areas of noncompliance and request corrective action.

7. IDENTIFY KEY PROCESS AND DETERMINE RISK RATING

A. How Processes Are Identified

At the beginning of the contract all processes are evaluated; any subsequent new work is then added to the listing. Additionally, the Contractor’s input is solicited on the services being provided, resulting in a composite list of all processes and services.

B. How Processes Are Identified As Key / High Risk

The list of processes is evaluated to determine which are key processes or have high risk. The criteria for determining which processes are key is based partially on Inherent Risk. Inherent Risk is the risk of the process itself in importance to the success of the mission, measured by how quickly a process failure will impact mission performance.

Inherent Risk is determined by the several elements: mission essentiality, safety, life support, and environmental impacts.

Process risks are evaluated as High or Low. High Inherent Risk means that failure of that process will result in immediate (within 24 hours) failure of the customer’s mission.

Low Inherent Risk means failure of that process could result in failure of the customer's mission in greater than a week’s time.

Those processes rated High in Inherent Risk are identified as key processes. If contract requirements change or contractor risk increases on a key process, the risk-handling plan will be adjusted accordingly.

C. Contractor Risk

Contractor Risk is determined by evaluating the Contractor’s performance over time.

The Contractor’s experience, capacity, and performance history are considered in determining contractor risk. In addition, process effectiveness, efficiency, and sophistication are considered using contractor and Government data. This data will include customer input, Corrective Action Reports (CARs), delivery performance history, process control data and process stability.

High Contractor Risk is defined as a pattern of repeated failures, increasing number and / or level of CARs, cumulative minor failures, or worsening trends. Low Contractor Risk is a stable process (i.e. good Contractor performance history).

8. PROCESS SURVEILLANCE

A. General

There are three major categories of requirements: Service Orders, Work Orders and Recurring Services. QARs review the contract SOO, attachments and Contractor’s Standard Operating Procedures (SOP) to verify requirements categories.

B. Service Order Audits

Service Order audits consist of reviewing the Contractor’s service order logs. This sample is tested for proper classification of service order vs. work order, verification of work actually complete, and timeliness of completion or reasons for still being outstanding.

C. Work Order (Notice to Proceed (NTP)) Audits

Work orders will be surveilled according to the risk of the process involved.

Surveillance for timeliness of completion will be included. Those involving the key processes have a higher priority. Work Orders may lack adequate acceptance criteria and may require in-process and final inspection. Consequently, Government acceptance is based on customer (requiring person and/or QAR) satisfaction of the product or service provided.

D. Process Audits

Key processes will be identified, prioritized, and high-risk key processes will be proofed.

Proofing is intended to answer the questions "Is the process fulfilling the requirement?"

and "Is the process being followed?"

Once it is determined that the process is capable of producing the required output, a process audit schedule will be developed. Periodic product / process audits will be performed in accordance with a schedule which is developed and maintained by the QAR / COR. Reproofing may be needed for high-risk processes in the situations such as (though not limited to) significant changes in contract requirements, manpower, methods, materials, equipment and / or environment; audits; historical data; and customer feedback.

Product / process audit documentation at a minimum will include the following:

Date(s) of surveillance, who performed the surveillance where the surveillance was performed (base location, etc.)

The number and nature of observations made (nature of observations must be specific, i.e. directly or indirectly traceable to an actual characteristic)

The number and nature of defects found, and corrective actions initiated to resolve deficiencies.

E. Contractor Improvement Opportunities (CIO)

CIO are used to notify the contractor that QARs have identified an opportunity for improvement. These opportunities are normally identified when analyzing contractor data or when proofing a process. The CIO should be positive and proactive, rather than reactive. The CIO is written at the discretion of the QAR and sent to the Contractor’s Quality Control Manager.

The Contractor’s response to the CIO is the Contractor’s decision. QARs will not direct or tell the contractor on how to change a process in order to improve it. Further, QARs will not require the contractor to improve a specific process as long as the contractor effectively detects and dispositions defective items, services, or processes in accordance with the contract. CIOs will contain the statement

"This is considered to be an opportunity for improvement.

It is not to be a constructive change to the contract."

A listing of all CIOs issues and the results are maintained in the QAR central files.

F. Corrective Action Reports (CAR)

CARs are issued by QARs whenever a noncompliance to contractual requirements is identified. QARs will contact the appropriate contractor Quality Manager (QM) before issuing a CAR. Written CARs will be addressed to the Contractor’s Quality Manager for that base camp / site. If the Contractor is not responsive to lower-level CARs, the contract administration team should reach a consensus for appropriate escalation.

The four CAR levels are as discussed below.

Level I - When a contractual noncompliance requires no special management attention to correct. A CAR is directed to working level personnel. A Level I CAR can be delivered orally or in writing.

Level II - A Level II CAR identifies a systemic contractual noncompliance which will adversely affect cost, schedule, or performance if not corrected in a timely manner.

These CARs will be directed to the Contractor’s Quality Manager. Level II CARs are written and require a written response by the contractor to close out. If necessary, the request may be elevated to the contractor Country or Regional PM if necessary. A copy of these CARs will be given to the Lead QAR and the ACO. All interested contract administration team members will be kept informed on the status and disposition of Level II CARs.

Level III - Level III CARs involve escalation of serious contractual noncompliance to top Contractor management, and may incorporate contractual remedies such as reductions of progress payments, cost disallowances, cure notices, show cause letters, or business management systems disapprovals. Prior to issuance a Level III CAR it shall be coordinated with the ACO with notification to the DCMA CMO Commander. Level III CARs shall be issued at the QA Lead level or above and directed to the Contractor’s Site Director. A copy of these CARs will be given to the QAR, Lead QAR, ACO, Commander of the responsible DCMA CMO, and specified DCMA CMO team.

G. Surveillance at the Subcontractor Level

Surveillance at the subcontractor level is employed as needed.

H. Surveillance of Contractor Production Progress

This surveillance method involves visiting the work areas and reviewing the Contractor’s status reports to monitor the Contractor’s production progress.

I. Contracting Officer Representative (COR) Policy

CORs will be used to augment and assist the on-site QAR in assessing the contractors’ performance in areas where specific technical expertise is required by the product or service, force protection, or remoteness of location. The use of CORs requires appropriate training and monitoring. QAR responsibilities include:

Specific and on-the-job (OJT) Quality Assurance training to perspective CORs

Certifying individuals once they have completed Quality Assurance specific and

OJT

Assist COR in the development of the COR’s surveillance plan, and approve the final plan

Provide guidance to the ACO in setting parameters of each Quality Assurance

Provide oversight on COR performance by regularly interfacing with customers and perform surveillance of and audits on the COR and processes in accordance with the approved surveillance plan

Serve as the single point of contact (POC) for COR regarding quality issues

CORs shall be responsible for:

Developing and maintaining an approved surveillance plan

Maintaining appropriate records in accordance with appointment letter

Following established guidelines in performing COR duties

Communicating regularly with the QAR

Participating in meetings (DCMA, contractor, and customer) as required

Regular interaction with customers to ensure problems are timely and adequately resolved, and needs are met.

Submitting reports in accordance with appointment letter to the responsible

QAR.

QARs shall monitor CORs against the approved surveillance plan and meet regularly to help resolve problems and ensure the COR is performing duties to standard. QAR will review all COR quality assurance records to ensure documentation is kept in accordance with appointment letter and surveillance plan. QARs monitor customer feedback and communicate regularly with customers, the ACO, and the contractor on how well the COR is performing their duties.

QARs will maintain a copy of each COR’s surveillance plan. QAR will maintain a record of the QA specific and OJT certificate of training and audits conducted on the COR as well as maintain records of all customer feedback regarding the COR’s performance.

CORs will not be authorized to issue written CARs. QARs will monitor all verbal CARs issued from the COR.

CORs maintain a daily log of activities IAW stated requirements in their appointment letter and maintain all checklists developed and used to perform audits on the contractor and contractor processes, IAW the approved surveillance plan. CORs will submit a monthly report IAW stated requirements in the appointment letter. The COR will maintain a written log of verbal CARs.

9. DATA ANALYSIS AND ADJUSTING SURVEILLANCE

Government and contractor data is periodically analyzed to determine which areas and processes exhibit adverse trends. The results of all data analyses are recorded and as a minimum, shall identify date(s) of analysis, who performed the analysis, the data analyzed (including timeframe covered by the data), the results of the analysis, a summary of actions taken, a change in surveillance intensity or frequency, change of key process risk rating, or no change, as appropriate. This documented analysis, in conjunction with customer feedback, is used to adjust key process risk classifications and the intensity / frequency of product audits.

B. Data Analysis

The Contractor’s QCP outlines the Contractor’s data generation and analysis. The main DCMA focus is to ensure the contractor is analyzing data IAW their plan. This is especially true for the customer satisfaction data the contractor collects.

C. How Surveillance Is Adjusted

If data analysis indicates negative trends, surveillance will be adjusted to provide more oversight of the problem area. Conversely, surveillance will be adjusted (less oversight) as necessary as based upon contractor positive trends indicating control of processes.

10. RECORDS RETENTION

All audits are documented and maintained in a secure location. Both hard copy and electronic copies will be kept.

B. Electronic Records

CARs and CIOs are documented on the CAR and CIO forms. Numbering will be sequential and agreed upon by the QAR and DCMA CMO personnel. Each QAR will enter their own data unless they are at a remote site in which case the QA Lead will enter the data and retain a hard copy of the electronic log and hard copies of the CARs and CIOs.

Maintaining Risk Handling Plans in the Risk Assessment and Management Program (RAMP) for each DCMA CMO Contingency location is required. To accomplish this, the QA Lead or CMO QAR assigned for sites without civilian personnel, will maintain the RAMP Risk Handling Plans on their local computer system.