Atch_2_-_Draft_Quality_Assurance_Surveillance_Plan_(QASP).pdf

BY ORDER OF THE COMMANDER OPERATING INSTRUCTION 21-107

982d Maintenance Squadron

TBD Date

Maintenance

Quality Assurance Surveillance Plan (QASP)

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

OPR: 982 MXS/LGMQ Certified by: 982 MXS/CC

(Maj.XXXXX)

Pages: 27

This Quality Assurance Surveillance Plan has been developed as a 982 MXS Operating Instruction to implement contract applicable Federal Acquisition Regulations, AFI 21-101, AFI 21-101 AETC Sup, and the Performance Work Statement. It is designed to provide the Contracting Officer Representative an effective and systematic method to perform surveillance to ensure contractual fulfillment of services as prescribed within the Services Summary (Attachment 1). This plan will be used by members of the

Multi-Functional Team to ensure the best quality of service within the awarded Trainer Maintenance

Services contract, and ensure successful Service Provider performance of the Trainer Maintenance contract (FA3002-14-X-XXXX) at Sheppard AFB, TX and a remote site located at Pensacola NAS (359

TRS Detachment 1). Methods for administering and evaluating other provisions of the Performance

Work Statement are to be developed by the Contracting Officer and Functional Commander.

Summary of Changes This Operating Instruction has been completely revised and should be reviewed in its entirety. Revisions to this Operating Instruction are a joint responsibility of the Multi-Functional team. The Quality Assurance Surveillance Plan is an evolving document responsible for assessing

Service Provider performance and managing surveillance requirements over the life of the contract.

1. ROLES AND RESPONSIBILITIES 4

1.1. Multi-Functional Team ………………………………………………………... 4

1.2. Functional Commander ……………………………………………………… ... 4

1.3. Program Manager ……………………………………………………………… 4

1.4. Contracting Officer ……………………………………………………………. 4

1.5. Quality Assurance Program Coordinator ……………………………………… 4

1.6. Chief Contracting Officer Representative …………………………………… ... 4

1.7. Contracting Officer Representative ……………………………………………. 5

1.8. Service Provider ……………………………………………………………….. 5

2. TRAINING 5

2.1. Training and Proficiency Requirements ……………………………………… . 5

2.2. Initial Contract Surveillance Related Training ………………………………. 5

2.3. General Contracting Officer Representative Orientation Training …………

2.4. Contract Specific Training ……………………………………………………. 6

2.5. Recurring Training …………………………………………………………… 6

2.6. Computer Based Training Refresher Training ……………………………….. 6

2.7. Chief Contracting Officer Representative Initial Training Requirements ……. 6

2.8. Training Records …………………………………………………………….. 6

2 OI 21-107 Date TBD

2.9. Contracting Officer Representative Qualification Training …………………. 6

2.10. Contracting Officer Representative Training Certification ………………… 6

2.11. Primary and Alternate Contracting Officer Representative Positions ……… 6

2.12. Annual Over the Shoulder Requirements ………………………………….. 7

3. PERFORMANCE ASSESSMENT PLANNING AND PREPARATION 7

3.1. Planning and Preparation ……………………………………………………. 7

3.2. Contract Coverage ……………………………………………………………… 7

3.3. Trend Analysis ………………………………………………………………... 7

3.4. Methods of Surveillance ………………………………………………………. 7

3.5. Service Provider’s Quality Control Plan ……………………………………… 7

3.6. Evaluation Guides and Checklists ……………………………………………… 7

4. PERFORMANCE ASSESSMENT 8

4.1. Inspections ……………………………………………………………………. 8

4.1.1. Technical Inspections ………………………………………………………. 8

4.1.1.6. Quality Control Technical Inspections …………………………………… 8

4.1.1.7. Follow-up Technical Inspections …………………………………………. 9

4.1.1.8. Technical Inspections Ratings ……………………………………………. 9

4.1.2. Observation Area Inspections ………………………………………………. 9

4.1.2.1. Observation Area Inspection Procedures ………………………………… 9

4.1.2.2. Follow-up Observation Area Inspections ………………………………… 10

4.1.2.3. Observation Area Inspection Ratings …………………………………….. 10

4.2. Safety Violations ………………………………………………………

4.3. As Observed Discrepancies …………………………………………………... 10

4.4 Discrepancy Classifications …………………………………………………… 10

4.5 Non Services Summary Items ………………………………………………… 10

5. SURVEILLANCE SCHEDULE 11

5.1. Surveillance Schedule ………………………………………………………… 11

5.2. Surveillance Adjustments ……………………………………………………. 11

5.3. Additional Surveillance Procedures/Requirements …………………………... 11

5.3.1. Training …………………………………………………………………….. 11

5.3.2. Technical Order Files ………………………………………………………. 11

5.3.3. CTK/Tool Surveillance …………………………………………………….. 11

5.3.4. Trafficking in Persons ……………………………………………………… 12

5.3.5. Contract Transition Period …………………………………………………. 12

5.3.6. Financial Management ……………………………………………………….. 12

5.4. Equipment Accountability ……………………………………………………… 12

5.4.1. Non-EAID ………………………………………………………………….. 13

5.4.2. EAID ……………………………………………………………………….. 13

5.4.3. Lost Equipment …………………………………………………………….. 13

5.4.4. Transition File ………………………………………………………………. 13

6. DOCUMENTATION 13

6.1. Surveillance Documentation …………………………………………………… 13

6.2. Contracting Officer Representative Surveillance Report (COR SR) …………… 13

3 OI 21-107 Date TBD

6.3. Contracting Officer Representative Surveillance Discrepancy Report (COR SDR) 13

6.4. As Observed Discrepancies ………………………………………………… 14

6.5. Informational Notes ………………………………………………………… 14

7. PERFORMANCE ASSESSMENT ANALYSIS AND CORRECTING SERVICE

PROVIDER PERFORMANCE 14

7.1. Analysis ………………………………………………………………………. 14

7.2. Correcting Service Provider Performance …………………………………….. 14

7.3. Further Corrective Action …………………………………………………….. 15

7.4. Documentation ………………………………………………………………. 15

8. PERFORMANCE ASSESSMENT FOLLOW-UP 15

8.1. Follow-up ……………………………………………………………………. 15

9. PERFORMANCE ASSESSMENT REPORTING 15

9.1. COR Monthly Summary ………………………………………………………. 15

9.2. Contractor Performance Assessment Report ………………………………

9.3. Initial Performance Review …………………………………………………… 15

10. CUSTOMER FEEDBACK/COMPLAINTS 16

10.1. Customer Feedback/Complaints ………………………………………………. 16

10.2. Documentation ……………………………………………………………… 16

10.3. Validation …………………………………………………………………… 16

10.4. Routing ……………………………………………………………………… 16

11. NAVAL AIR STATION PENSACOLA 16

11.1. Naval Air Station Pensacola ……………………………………………….. 16

11.2. Site Surveillance …………………………………………………………….. 16

Attachment 1-Services Summary 17

Attachment 2-Acceptable Baseline Standards 23

Attachment 3-Contracting Officer Representative Surveillance Report 27

Attachment 4-Contracting Officer Representative Surveillance Discrepancy Report 28

4 OI 21-107 Date TBD

1. Roles and Responsibilities.

1.1. Multi-Functional Team (MFT). The purpose of the MFT is to create an environment that shapes and effectively executes acquisitions within their purview. The emphasis is on teamwork, trust, common sense and agility. Every representative within the MFT brings to the team their unique level of expertise. The MFT will meet quarterly to discuss the service provider’s (SP) performance. The following MFT members will participate in the performance management of this specific contract. A brief and not all inclusive listing of their roles and responsibilities are described on the following paragraphs.

1.2. Functional Commander (FC). The FC is the government’s functional authority for the contracted function. The FC remains abreast of mission changes that could affect creation of a contract modification. The FC ensures the development of a Quality Assurance Surveillance Plan (QASP) that effectively measures and evaluates the SP’s performance throughout the life of the contract. The FC reviews problem areas when applicable and coordinates with the Contracting Officer (CO) to resolve the problems. If the problem cannot be resolved the FC will request assistance through command channels.

The FC may, in writing with the concurrence of the CO, adjust the frequency of the program management review/progress meeting. Further responsibilities are outlined within AFI 21-101 & AFI

21-101 AETC Sup. The FC along with the MFT is responsible for assessing the SP’s performance and managing the requirements over the life of the contract IAW AFI 21-101, AFI 21-101 AETC Sup and

AFI 63-138.

1.3. Program Manager (PM). The PM is located at HQ AETC/A4PM and has the overall responsibility for initiating, managing and tracking the various programs that support the contract. The PM is the primary liaison between the MAJCOM, the CO and the Contracting Officer Representative (COR). The

PM is responsible for assisting in the preparation of requirements, documents, providing customers with a single POC, monitoring the SP’s overall performance, initiating contract changes and other supporting documentation.

1.4. Contracting Officer (CO). The CO is responsible for overseeing the administration of the contract and is the only individual with the legal authority to act as an agent between the government and the service provider. This legal authority provided under federal law gives the CO the power to enter into, modify, interpret and terminate the contract on behalf of the government. The CO is the only person with the authority to direct the SP in the performance of his duties under the contract. The greatest responsibility of the CO is to ensure the SP's performance satisfactorily meets contractually agreed upon standards as stated in the contract. The CO is responsible for recording and forwarding the minutes of the meeting of the MFT. The CO provides training to the FC.

1.5. Quality Assurance Program Coordinator (QAPC). The QAPC supports the MFT in the development of contract requirements specifically ensuring that requirements are clearly stated and enforceable. Provides training to COR’s on the contracting requirements associated with the quality assurance program.

1.6. Chief Contracting Officer Representative (Chief COR). The Chief COR is directly responsible to the FC. The Chief COR ensures surveillance of SP performance IAW criteria outlined in the Trainer

Maintenance PWS and QASP and report’s findings to the FC and CO. The Chief COR fulfills these responsibilities by overseeing the CORs that have been delegated inspection and acceptance authority by

5 OI 21-107 Date TBD the CO. The Chief COR will maintain surveillance documentation and ensure all records created as a result of processes prescribed in this publication are maintained in accordance with Air Force Manual

(AFMAN) 33-363, Management of Records, and disposed of in accordance with Air Force Web-RIMS

Records Disposition Schedule (RDS) located at http://webrims.amc.af.mil/rds/index.cfm. The Chief

COR shall notify the FC, PM and CO of any significant performance deficiencies. In addition, the Chief

COR will recommend improvements to the QASP and PWS throughout the life of the contract. Further responsibilities are outlined within AFI 21-101 & AFI 21-101 AETC Sup.

1.6.1. The Chief COR will ensure that contract files are maintained for the life of the contract. At the end of each contract year the previous year’s contract files will be placed in properly marked containers file boxes and stored for the remainder of the life of the contract. At the end of the contract life cycle all contract files will be made available to the CO for proper storage and then disposal.

1.7. Contracting Officer Representative (COR). The COR’s role is to observe and document the overall performance of the SP. CORs protect the government’s interest by being the eyes and ears of the

FC and CO concerning SP performance. CORs do not direct work, direct the re-accomplishment of work, assist the SP during maintenance, change the contract or formally interpret the contract. CORs are to be objective, fair and consistent in evaluating contractor performance against technical and regulatory requirements and the terms of the contract. CORs are not expected to identify all discrepancies that may exist or those that are identified by SP Quality Control (QC) function. CORs will provide technical support to the FC and CO. Each COR will be nominated by the Chief COR and appointed in writing by the CO IAW Mandatory Procedure (MP) 5301.602-2 (d). Further responsibilities are outlined within

DFARS 201.602, AFI 21-101 & AFI 21-101 AETC Sup.

1.7.1. CORs will not train SP personnel. The SP is responsible to ensure personnel are trained to meet all requirements of the PWS.

1.7.2. CORs will place special emphasis on the comprehensiveness and adequacy of the SP’s inspection system to ensure adherence of all aspects of contract performance to include all sections of the contract and Federal Acquisition Regulation (FAR) 52.246-4, Inspection of Services Clause - Fixed Price.

1.8. Service Provider (SP). The SP, not the government, is responsible for complying fully with the terms and conditions of the contract. The SP shall establish and maintain an approved formal “compliance-oriented” Quality Control Plan (QCP) to ensure the requirements of the PWS are completed as specified and ensure SP compliance with technical data and applicable AF directives. Good management and the use of an adequate QCP that meets the requirements in FAR 52.246-4 will allow the SP to operate within the acceptable quality levels. The QCP shall be revised as necessary. The SP shall tender to the Government only those services that conform to contract requirements and recommend any changes to the contract that will provide operations that are more effective or eliminate unnecessary costs.

2. Training.

2.1. Training and Proficiency Requirements. The FC, CO and Chief COR are responsible for ensuring

CORs receive required training. The following training requirements apply to all CORs and must be completed prior to performing surveillance duties

2.2. Initial COR Contract Surveillance Related Training. Initial COR contract surveillance related

6 OI 21-107 Date TBD training consists of Phase I and Phase II (Contract Specific) training as directed by AFI 21-101 & AFI 21-

101AETC Sup Para 18.8. Additionally, further training will be conducted through the Defense Acquisitions

University IAW MP 5346.103 and 5301.602-2(d).

2.3. General COR Orientation Training. CORs will complete the following training prior to performing surveillance duties:

COR 222 Contracting Officer Representative Course

CLM 003 Ethics Training for Acquisition Technology and Logistics

Joint Ethics, DOD 5500.7-R

FAC Combating Human Trafficking

The QAPC, along with the CO and Chief COR will ensure the COR receives and completes all the required COR trainings IAW AFFARS Mandatory Procedures 5301.602-2(d).”

2.4. Contract Specific Training. Training must be completed for each contract to which the FC and COR is assigned. The CO or CO’s designee provides this training as required by AFFARS MP 5346.103 and

5301.602-2(d).

2.5. Recurring Training. COR recurring training must be completed every three years IAW AFI 21-101

AETC Sup and AFFARS MP5301.602-2(d) (OUSD (AT&L) Memorandum, 29 Mar 10, “DoD Standard for Certification of Contracting Officer’s Representatives (COR) for Service Acquisitions. This satisfies the annual CBT refresher training requirement for that year.

2.6. CBT Refresher Training. CBT refresher training must be completed at least annually within 120 days of posting by AETC/A4MMR.

2.7. Chief COR Initial Training Requirements. The Chief COR must complete AETC COR course

393AET0066-002, and AETC Chief COR Course 393AET0066-001 within 90 days of assignment.

2.8. Training Records. Training records documenting COR training shall be maintained IAW AFI 36-

2201 and the CFETP (or civilian equivalent system) prior to performing surveillance. All CORs must maintain training records in Training Business Area (TBA) that identifies specific responsibilities.

Additionally, all COR certification will be tracked utilizing the Contracting Officer Representative Tracking

(CORT) tool.

2.9. COR Qualification Training. The Chief COR must use a mixture of Cross Utilization Training

(CUT) and On the Job Training (OJT) to ensure all contract Section C requirements are comprehensively and competently surveilled without interruption due to lack of COR qualification. The

FC and Chief COR will use CUT training to the extent necessary to ensure all contract requirements are surveilled by qualified CORs.

2.10. COR Training Certification. CORs will be knowledgeable of the tasks they surveil. CORs are not required to be certified on specific tasks; rather, they are duty-position qualified to inspect, surveil, and observe according to the requirements in this instruction and other applicable directives. Specific

AFSC training requirements (i.e. fuel system, munitions, etc.) will be adhered to IAW AFI 21-101 &

AFI 21-101 AETC Sup.

7 OI 21-107 Date TBD

2.11. Primary and Alternate COR Positions. The Chief COR will ensure that each area surveilled has a primary and alternate COR assigned to ensure contract surveillance is accomplished. They will perform an initial evaluation on each COR to determine past qualifications, experience and the ability to accomplish technical inspections and contract surveillance functions. Each evaluator must be qualified in the appropriate area before performing evaluations, inspections or surveillance duties unsupervised.

The Chief COR will document initial evaluations for all CORs (primary and alternates) in TBA. The primary COR of each functional area will be responsible to train the assigned alternate.

2.12. Annual Over the Shoulder (OTS) Requirements. The Chief COR shall perform an annual OTS evaluation of each COR in the performance of surveillance activities to include satellite locations utilizing a locally developed COR Personnel Evaluation Checklist. The purpose of this evaluation is to ensure proficiency in surveillance techniques.

3. Performance Assessment Planning and Preparation.

3.1. Planning and Preparation. Performance assessment planning and preparation shall consider operational risk, service complexity, and criticality as factors in deciding the performance assessment plan from month to month. The Chief COR will ensure that the QASP and applicable technical references are adhered to when developing performance assessment.

3.2. Contract Coverage. The Chief COR will ensure the COR’s work schedule provides coverage of the

SP’s scheduled shifts. At a minimum, the CORs (in coordination with the Chief COR) will perform 2 minimum monthly inspections in every work center that has a swing or mid shift to ensure equitable distribution.

3.3. Trend Analysis. Chief COR and CORs will review provided IG reports, local trend analysis, and summaries as well as SP reports/summaries for trends. Trend analysis will be used regularly and continually to assess and track the SP’s performance over time.

3.4. Methods of Surveillance. The methods of surveillance to be used by the CORs will include, but are not limited to, Direct Observation, Periodic Inspection, Random Sampling, and Validated Customer

Complaints/Feedback. Inspections will be used proportionally to determine if the SP’s quality control system is capable of meeting the government’s quality requirements and to check the SP’s compliance with contract requirements.

3.5. SP’s Quality Control Plan. Inspecting the SPs Quality Control plan thoroughly ensures that the plan provides four essential elements; 1) Detection, 2) Identification, 3) Correction and 4)

Implementation of controls. Simply accomplishing the minimum number of surveillance inspections that are required by the PWS, AFI 21-101 & AFI 21-101 AETC Sup and the SP having a Quality Control plan doesn’t necessarily mean contract quality standards are being met. This simply means key components of a quality system are in place. It does not guarantee quality.

3.6. Evaluation Guides and Checklists. Items selected for periodic and observation inspections will be inspected by using the procedures in the appropriate evaluation guide and checklist. Use of the evaluation guides or checklists will ensure all areas identified in the Services Summary (Attachment 1) are inspected.

8 OI 21-107 Date TBD

3.6.1. Changes, additions and deletions to COR guides and checklists will be accomplished as needed.

CORs will forward any suggested changes/updates electronically to the Chief COR for approval and inclusion into the evaluation guides and checklists.

3.6.2. The Chief COR will ensure, at a minimum, that all guides, checklists, etc. are reviewed annually.

3.6.3. The Chief COR is responsible for reviewing SP developed/generated instructions, regulations and checklists prior to review and approval by the FC and CO.

4. Performance Assessment.

4.1. Inspections. The QASP addresses two basic inspection types for performance assessment:

Technical and Observation Area. Minimum surveillance requirements, sample sizes and frequencies are listed in AFI 21-101 & AFI 21-101 AETC Sup, Attachment 18, table A18.1 for technical areas, Attachment 20 table A20.1 for observation areas and Attachment 22 table A22.1 for munitions inspections. “Technical” or “Observation” inspections may be scheduled, unscheduled or “as observed” and will be used to determine performance acceptability. The Services Summary (Attachment 1) uses the Acceptable Quality Levels (Attachment 2) established in the PWS as the baseline for SP performance.

4.1.1. Technical Inspections. (TI) Technical requirements of the contract are surveilled by performing technical inspections. Any maintenance task accomplished in accordance with technical guidance, (TO, work-card, etc.) qualifies for COR surveillance under the technical inspection concept. Inspections may be OTS, or After the Fact (ATF). ATF inspections shall not be performed after equipment is operated, utilized, etc. when such operation/use can invalidate conditions present when the task was accomplished.

The type of surveillance will be selected by the COR performing the technical inspection. The COR will ensure an equitable distribution of surveillance types. The Chief COR will periodically monitor the type and number of inspections to ensure an acceptable sample is being performed. The Chief COR reserves the authority to determine the definition of “acceptable sample” since inspection emphasis may vary within different performance periods

4.1.1.1. Technical Inspections Procedures. CORs accomplishing TI's will ensure the following requirements are completed for every TI:

4.1.1.2. A minimum of 50% of the required inspection items. Normally, disassembly of a part, removal of a stress panel, or similar action is not necessary to accomplish a TI. Ensure that when evaluating only a portion of the required inspection items, the COR’s documentation includes specifically identifying/annotating those items that were evaluated.

4.1.1.3. A review of the aircraft or equipment forms and the Maintenance Information System (MIS) for proper documentation (applicable to the job being surveilled).

4.1.1.4. Proper and current technical data usage, proper tool usage, and Foreign Object (FO) checks of the area in which the task was performed.

4.1.1.5. A review of SP’s personnel involved in the evaluation for proper training and qualifications.

9 OI 21-107 Date TBD

4.1.1.6. QC TIs. QC TIs are inspections accomplished that follow behind the SP’s QC for the purpose of partially verifying the SP’s quality program. Inspections may be performed by OTS, or ATF. These inspections may be performed in conjunction with other technical inspection requirements. If this option is used, document each inspection separately. QC TI's will be rated the same as TIs.

4.1.1.7. Follow-up TIs. Follow-up TIs will be accomplished upon all technical evaluations receiving discrepancies. The COR will re-inspect the area/item that pertained to the discrepancy and the identified corrective action of the SP. If corrective action or actions to prevent reoccurrence were not completed or insufficient, the COR will document a new COR SDR IAW Section 6 of this QASP routed through the

Chief COR. The Chief COR will determine if the severity of the discrepancy and or insufficient preventative measure will require further action IAW Section C of this document.

4.1.1.8. TI Ratings. Grouping of discrepancies WILL NOT be accomplished during TIs. TIs will be rated as either “conform” or “non-conform.” Ratings will be assigned as prescribed within AFI 21-101, AFI 21-101 AETC Sup, PWS Services Summary (Attachment 1) and the Acceptable Baseline Standards

(Attachment 2).

4.1.2. Observation Area Inspections. Observation area inspections are similar to IG inspections, where the COR assesses a work center’s ability to manage program areas they are contractually responsible for.

To ensure complete and comprehensive surveillance, all work centers will be surveilled with specific locally generated observation area checklists/guides. Each observation area inspection will include the following categories:

a. Tool and equipment management

b. Foreign Object (FO) prevention

c. Housekeeping

d. Supply procedures

e. Technical Order (TO) maintenance

f. Forms and MIS documentation

g. Physical security

h. Conservation of utilities

i. Safety

j. Fire prevention

k. Environmental protection

l. Facilities management

m. Training

CORs accomplishing the inspection may include any or all of the other items within the guide as part of their inspection. Individual CORs in coordination with the Chief COR will decide which additional items to include based on the SP’s historical performance. General checklists are used in conjunction with the applicable observation area checklist for the inspected work center. These checklists contain minimum inspection areas or items.

4.1.2.1. Observation Area Inspection Procedures. Observation Area inspections will be accomplished as a group not individually. A primary COR will “lead” the effort and perform any required coordination with the subject work center. The primary COR will select CORs to assist during

10 OI 21-107 Date TBD the inspection. This selection of personnel will be accomplished NLT the 5th day of the subject month, in electronic format detailing location, date and time. Courtesy copy to the Chief COR is required. In the event a scheduling issue arises the Chief COR will make the final determination. Each COR participating in the inspection will use the appropriate checklist and document all discrepancies upon a

COR SDR. Upon completion of the inspection each COR will email a copy of the COR SDR with all discrepancies to the primary COR for that inspection (within 2 business days). The primary COR will have the responsibility of documenting the final COR SR/SDR.

4.1.2.2. Follow-up Observation Area Inspections. Follow up Observation Area Inspections will be accomplished upon all Observation Area Inspections receiving discrepancies. The COR will re-inspect but is not limited to, the area/item that pertained to the discrepancy and the identified corrective action by the SP. If corrective action or actions to prevent reoccurrence were not completed or insufficient the COR will document a new COR SDR as a rated surveillance.

4.1.2.3. Observation Area Inspection Ratings. These inspections will be rated as either “conforms” or

“non-conforms.” Ratings will be assigned as prescribed within AFI 21-101, AFI 21-101 AETC Sup

Paragraph 18.11.3.3.1. Each discrepancy, where possible, may consist of a grouping of like discrepancies. For example, if bench stock has four commingled bins, three bins not flagged, and two bins with torn labels, it may be documented as one discrepancy against the Observation Area Inspection.

4.2. Safety Violations. Safety violations that clearly present a potential to damage or injure government resources will be documented as prescribed by AFI 21-101 & AFI 21-101 AETC Sup, paragraph 18.11.4.

Safety violation(s) may be stopped by the COR in the event that “one” additional action on the part of the

SP employee will result in endangering government personnel, jeopardizing equipment or system reliability.

4.2.1. Safety violations that will endanger AF Personnel, jeopardize equipment and system reliability will be documented on a COR SDR as a major discrepancy. The discrepancy will count toward the inspection being performed, or if appropriate, “as observed”.

4.2.2. The informal notification to the SP, FC and CO of safety violations of OSHA or AFOSH Standards that do not present the potential to damage or injure government resources and or system reliability will be documented on a COR SDR “As Observed” to informally notify the site supervisor. This documentation will not be rated as a major or minor. These discrepancies will not be counted negatively toward any SP performance assessment.

4.3. As Observed Discrepancies. If at any time the COR identifies/observes a discrepancy that is not directly related to an inspection being performed, the COR will document the discrepancy “As

Observed” on a separate COR SDR.

4.3.1. As Observed Follow-up Inspections. The COR will re-inspect the area/item that pertained to the discrepancy and the identified corrective action by the SP. If corrective action or actions to prevent reoccurrence were not completed or insufficient, the COR will document a new COR SDR.

4.4. Discrepancy Classifications. All discrepancies will be identified as a “Major” or a “Minor” discrepancy as defined within the PWS.

11 OI 21-107 Date TBD

4.5. Non Services Summary items. The Government has the right to inspect all tasks within the PWS not just the Performance Objectives (POs) listed in the Service Summary (Attachment 1). All other tasks required under the PWS may be inspected on a random, periodic basis, or other method, and at a frequency determined by the Functional Commander, Chief COR, CO, and per the Inspection of

Services Clause in the contract.

5. Surveillance Schedule.

5.1. Surveillance Schedule. The Chief COR will ensure development of the monthly surveillance schedule (labeled as FOUO). The schedule will be distributed to the FC and CO for approval no later than 5 duty days before the beginning of the period it covers. The FC and CO will review and return the schedule to LGMQ no later than the last day of the month preceding the scheduled month. The Chief

COR will then provide a copy of the schedule to each COR before the start of the surveillance period.

Changes to the schedule will be coordinated through the FC and CO for approval IAW AFI 21-101

&AFI 21-101AETC Sup. The originally signed copies of all surveillance schedules with supporting documents will be maintained on file for the life of the contract.

5.1.1. The monthly schedule is based upon guidelines in AFI 21-101 & AFI 21-101 AETC Sup, Attachment

18 Table A18.1, A20.1 and the PWS tables 3.2.1 and 3.2.4. These guidelines combined with PWS Table

3.1.7.14.1. establishes criteria for the SP inspection rates. The inspection rates and a previous three month average of SP historical inspection data completed by the SP creates the required number of inspection items for the COR surveillance schedule.

5.2. Surveillance Adjustments. The Chief COR, with approval from the FC and CO, may adjust surveillance activities commensurate with the SP’s performance and level of risk to the government.

When additional inspections are warranted the number of these inspections will be determined by the

Chief COR and will be based on review of the COR reports and SP’s quality control reports or adverse trends. Discrepancies discovered during these additional inspections will be documented IAW the applicable paragraphs of this PWS and utilized for performance standards. Likewise, if a particular function of the SP’s performance has a continuing record of acceptable performance and unacceptable performance would not likely result in loss of life to AF personnel or damage to government property, surveillance of that function may be reduced.

5.2.1. COR inspection categories will be adhered to the maximum extent possible. However, in situations where a category is not available, inspections within a particular Performance Objective (PO) can be substituted. For example, if a PO # T5 “end item” Weapons Release inspection does not become available for surveillance during the inspection period, and it is on the inspection schedule, replacing the “end item” with an “other” or “sub-system” category inspection is acceptable. Prior to a substitution being made the

Chief COR will coordinate with the FC and CO for approval.

5.3. Additional Surveillance Procedures/Requirements.

5.3.1. Training. SP employee training and qualification shall be verified within the accepted SP training program for each task evaluated. Training will be evaluated by the COR through TI, Follow up and

Observation Area surveillances.

5.3.2. Technical Order Files. TO account files shall be inspected during Observation Area inspections. A

12 OI 21-107 Date TBD selection of approximately 3% of the assigned TOs in each account shall be inspected and discrepancies shall be documented upon the Observation COR SDR. The TOs inspected will be tracked by each COR to ensure an equitable distribution of the TO library annually.

5.3.3. Composite Tool Kit (CTK)/Tool Surveillance. A minimum of two CORs will accomplish each

CTK inspection. This requirement is waived for the surveillance of CTKs at NAS Pensacola when only one

COR is available. Inspections will be accomplished in accordance with the CTK checklist. A minimum of

25% of the CTKs will be inspected quarterly ensuring ALL CTKs are inspected annually. If a work center does not contain enough CTKs to allow at least one CTK per quarterly inspection to be inspected, the COR may determine to inspect only a portion of the CTKs quarterly. CTK inspections will be tracked by each

COR upon a locally developed spreadsheet and will be updated as accomplished.

5.3.4. Trafficking in Persons. The COR will verify and monitor that the SP has policies and procedures in place to prohibit any activities on the part of contractor employees that support or promote trafficking in persons as part of ongoing surveillance of performance of contract services. The SP or the COR shall immediately bring to the attention of the Contracting Officer any non-compliance with contract clause

FAR 52.222-50, Combating Trafficking in Persons. Additional information on DoD efforts to combat trafficking in persons can be found at the DoD Federal Acquisition Supplement (DFARS) Procedures, Guidance and Information (PGI) 222.17.

5.3.5. Contract Transition Period. In accordance with FAR Part 49, during the transition period of a contract, the Chief COR and CORs are responsible to perform surveillance to ensure the service provider meets all criteria outlined in the SP proposed transition plan.

5.3.6. Financial Management. The 982 MXS Resource Advisor (RA) in coordination with the CO and

Chief COR is the focal point for financial management of all monies and accounting assets upon the contract. The Chief COR (or designated representative) will validate and accept as applicable submitted SP invoices within Wide Area Work Flow (WAWF) as soon as possible not to exceed 10 duty days. In the event the limitation must be exceeded the Chief COR will coordinate with the CO and the 82 CPTS/FMA.

The Chief COR will ensure the CO and the 982 MXS RA receive copies of all invoices after acceptance, rejection, etc.

5.3.6.1. Certification of Services. Certification of services is performed by the COR via the Wide Area

Work Flow (WAWF) system. At the end of each billing period, the SP inputs invoice information into the

WAWF system. WAWF automatically notifies the appropriate COR via email of pending invoice. The

COR accesses WAWF and verifies accuracy of the contractor’s data. If the data is correct, the COR accepts the invoice and payment is processed by the Defense Finance and Accounting Service (DFAS). If the COR encounters errors in the SP’s invoice, the COR will reject the invoice and forward to the unit resource advisor, CO and SP business manager for resolution.

5.3.6.2. The Chief COR will evaluate SP proposals and provide comments and recommendations to the FC and CO. All facets of the proposal, within the technical expertise of COR, will be evaluated to include number of personnel, skill level of personnel, man-hours proposed and all associated costs. The Chief

COR will verify costs associated with the increase or decrease in workload resulting from changes.

5.4. Equipment Accountability. Government Furnished Equipment (GFE) management will be accomplished IAW FAR Part 45. A complete inventory of all GFE, Information Technology Equipment

13 OI 21-107 Date TBD

(ITE), both Equipment Accountability Inventory Data (EAID) and non-EAID, shall be conducted annually. EAID equipment will be inventoried using a current Custodial Authorization/Customer

Receipt Listing (CA/CRL) or Special Purpose Recoverable Asset Management (SPRAM) account listing from 82 LRS/LGRSSE. Non-EAID items will be inventoried using the government PWS appendices provided. All equipment will be inventoried jointly with a COR and a SP representative.

5.4.1. Non-EAID. When both the COR and SP representative agree that all non-EAID equipment is accounted for both parties will sign and date only the government’s copy of the inventory. The government will retain that original signed inventory.

5.4.2. EAID. When the COR and SP representative agree that all EAID equipment is accounted for, the

SP representative will provide a signed copy of the CA/CRL, and SPRAM account inventory. The original CA/CRL and SPRAM account inventories signed by the equipment custodian will be forwarded to 82 LRS/LGRSSE. The COR will sign the copy of the inventory provided by the SP representative for the government file.

5.4.3. Lost Equipment. When an item cannot be located, the listing will be annotated as such and the

CO notified. The COR will obtain a report from the SP of actions taken to locate the item, documents involved and proposed corrective action to the CO. Determination of reimbursement will be made by the CO. At the conclusion of a complete inventory, new technical exhibits will be prepared and forwarded to the CO and HQ AETC/A4PM to ensure that required modifications to the PWS are accomplished.

5.4.4. Transition File. Each COR will maintain a “transitional” file to assist with continuity and tracking of additions and removal actions for GFE. The “transition” file will be within a 6 part folder with the following dividers/sections.

1. Tools Awaiting approval/validation (items that have been routed through LGMQ and are waiting for the COR to validate its arrival/deletion)

2. GFE Awaiting approval/validation (items that have been routed through LGMQ and are waiting for the COR to validate its arrival/deletion)

3. Tools Awaiting addition to inventory (self explanatory)

4. GFE awaiting addition to inventory (self explanatory)

5. New Tool inventory (self explanatory)

6. New GFE inventory (self explanatory)

All documentation will be maintained within this folder until the annual GFE inspection is completed.

At that time the documentation will be forwarded to the CO and AETC/A4PM. Additionally the COR will maintain/update a locally developed spreadsheet that mirror’s the appropriate PWS GFE.

appendices. The spreadsheet (local instructions are within the spreadsheet) and a physical verification of recent additions and or removal actions will be validated quarterly by each COR.

6. Documentation.

6.1. Surveillance Documentation. All surveillance documentation will be completed IAW AFI 21-101, AFI 21-101 AETC Sup, the PWS, and the QASP.

14 OI 21-107 Date TBD

6.2. COR SR. All evaluations performed shall be annotated on a COR SR (Attachment 3). The LGMQ continuity folder contains detailed instructions for documentation of this form.

6.3. COR SDR. All discrepancies discovered by the COR shall be annotated on a COR SDR (Attachment

4). The LGMQ continuity folder contains detailed instructions for documentation of this form. All discrepancies whether corrected on the spot or corrected by the SP after receiving/notification of a pending

COR SDR shall count against the baseline for that inspection and performance objective.

6.3.1. Once a COR SDR has been completed, the SP's representative will be requested to sign the completed copy of the COR SDR acknowledging the discrepancies. If the SP refuses to sign the form, the refusal will be noted on the form by the COR. The completed COR SDR will be sent to the SP’s management team for appropriate action.

6.4. As Observed Discrepancies. These types of discrepancies noted by the COR will be noted on a COR

SDR and routed as per COR SDR instructions. These are “as observed” non-rated observations and will be documented as major or minor unless otherwise noted within the QASP.

6.5. Informational Notes. Informational notes may be utilized with documented discrepancies by the

COR to convey informal data to the SP that may assist in clarification of discrepancies or issues.

7. Performance Assessment Analysis and Correcting Service Provider Performance.

7.1. Analysis. Performance analysis will at a minimum consist of a review of all previous Corrective

Action Requests (CARs), COR monthly summaries and SP QC monthly summaries to determine if any adverse trends exist. Adverse trends not identified by the SP's Quality Control Program will be annotated accordingly against the applicable services summary performance objective.

7.1.1. Performance assessment will be completed IAW the PWS, AFI 21-101, AFI 21-101AETC SUP and the following general guidelines. Upon receipt of a COR SDR returned from the SP with proposed corrective action(s) and actions to prevent re-occurrence; the COR will review for accuracy, completeness and government acceptance. When the requirements are acceptable to the government the COR will annotate a signature, date and concur. When the requirements are not acceptable to the government, LGMQ may discuss the disagreement with the SP in an effort to arrive at a suitable solution. If discussion between the Chief COR and the SP fail to reach an agreeable solution the COR SDR will be annotated with a signature, date and non-concur. A copy of the COR SDR and a CAR will be routed through the Chief

COR and FC to the CO for further action as deemed necessary.

7.2. Correcting Service Provider Performance. If the SP performance as it applies to the Services

Summary (Attachment 1) is unacceptable during a performance period the Chief COR will initiate a CAR.

The CAR will be annotated to reflect the failure to meet the specified standard. The CAR will be routed through the FC to the CO. A copy of the applicable COR documentation will accompany the CAR.

7.2.1. If the SP performance as it applies to “non” Services Summary (Attachment 1) items is found to be unacceptable by either the SP or the government, the SP shall be given an opportunity to provide an acceptable solution to the discrepancy. When SP actions fail to provide an acceptable solution the Chief

COR will document a CAR.

15 OI 21-107 Date TBD

7.2.2. Upon receipt of a SP’s response to a CAR, the Chief COR will evaluate the response of the unacceptable performance, concur or non-concur with the response and forward it to the FC and CO for further review. In the event of a non-concur decision from the Chief COR the CO may direct additional actions be taken against the SP.

7.3. Further Corrective Action. If areas of non-conformance are not corrected through the use of

CARs, it is the responsibility of the FC (upon Chief COR recommendation) to contact the

Administrative Contracting Officer (ACO) and HQ AETC/A4PM to initiate discussion with corporate headquarters or issue a cure notice. In extreme circumstances, a show cause notice or notice of contract termination may be required as determined at the appropriate level.

7.4. Documentation. Any CAR issued will be annotated in the COR monthly summary until resolved.

8. Performance Assessment Follow-up.

8.1. Follow-up. Performance assessment follow-up inspections are outlined throughout several areas of the

QASP for clarification in each particular area and will be accomplished IAW those procedures for each applicable technical, work area observation, and as observed discrepancy as noted below:

Para 4.1.1.7. Technical Inspection

Para 4.1.2.2. Observation Area Inspection

Para 4.3.1. As Observed Inspection

9. Performance Assessment Reporting.

9.1. COR Monthly Summary. The Chief COR will ensure the preparation of the monthly summary. All

CORs are required to submit all surveillance documentation in preparation of the summary by close of business on the tenth day of the following month. The summary will be compiled and forwarded as prescribed within the PWS, AFI 21-101, & AFI 21-101 AETC Sup by the fifteenth day of the month. The

Chief COR reserves the right to extend deadlines of surveillance documentation from the SP due to the

COR office as necessary to ensure adequate surveillance and completion of summaries. The summaries will be forwarded on time regardless of completion and a notation will be made to address each extension.

9.2. Contractor Performance Assessment Report. The Federal Acquisition Regulation requires that

SP performance be collected (FAR Part 42) and used in source selection evaluations (FAR Part 15). All

Contractor Performance Assessment Report (CPAR) information is treated as For Official Use Only

(FOUO) Source Selection Information (SSI). The Chief COR in coordination with the FC and CO will complete a CPAR annually. CPAR should be an objective report of the performance during a period against the contract requirements. The CPAR process establishes procedures for the collection and use of past performance information to be utilized as a tool to communicate service provider strengths and weaknesses to source selection officials and Contracting Officers. Further responsibilities are discussed within the Department of Defense, CPAR Policy Guide.

9.3. Initial Performance Review (IPR). The initial evaluation of SP performance shall take place within 30 days after the SP assumes full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the SP has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

16 OI 21-107 Date TBD

10. Customer Feedback/Complaints.

10.1. Customer Feedback/Complaints. Customer complaints are a means of identifying possible SP discrepancies. The Chief COR will request "Customer Complaint" reminders be briefed to the 82 and 782

TRGs through the Technical Training Squadrons, Directors of Operations quarterly.

10.2. Documentation. It is the intent for all Customer Complaints to be submitted immediately upon the occurrence of the action that has caused the complaint. Speed is imperative for the validation effort. This notification can be either by telephone, email, SAFB IMT Form 101 available upon the SAFB Publication page, or personal contact.

10.3. Validation. Once a Customer Complaint has been submitted to 982 MXS/LGMQ, it will be assigned to a COR for validation. The COR will verify if the claims upon the customer complaint are valid and if additional action against the SP is warranted. This investigation will, at a minimum, be conducted by analyzing the written complaint to include any and all supporting documentation. CORs will not question SP employee without CO approval and direction.

10.4. Routing. The Customer Complaint, valid or not, will be reviewed by the Chief COR prior to forwarding to the CO. Once the completed customer complaint is received and acknowledged by the

CO, the verifying COR will provide a copy of the completed form to the complainant.

11. Naval Air Station Pensacola.

11.1. Naval Air Station Pensacola (NASP). Naval Air Station Pensacola is geographically separated from the Trainer Maintenance site at Sheppard AFB. All applicable publications, directives, and instructions identified within the PWS and this QASP are applicable for surveillance.

11.2. Site Surveillance. Site Surveillances will be accomplished IAW the monthly schedule by an assigned

COR. In the event circumstances beyond the control of the Chief COR, FC, and CO arise that prevents the required surveillances from being accomplished the Chief COR will coordinate approval to deviate from the schedule. All surveillance will be IAW this QASP.

XXXXXXXXXX, USAF

Chief COR

XXXXXXX,XXX, USAF

Commander

17 OI 21-107 Date TBD

Attachment 1

Services Summary

Performance

Objective

PWS REF. Performance Threshold Method of Surveillance

1. Quality Control

System 2.1.11; 3.1.7.

Zero CO or COR documented discrepancies against the SP’s accepted

Quality Control System and/or QC Plan.

Periodic Inspection

(Monthly)

2. Financial

Management

2.1.8.3.2

No more than 1 inaccurate invoice/request for payment upon any CLIN submitted quarterly.

*See note A below

Periodic Inspection

(Quarterly)

3. Maintain training devices and equipment

3.1.1.1;

3.1.4.2.

Each course has the minimum required equipment to complete course objectives 100% of the time without incurring any SP caused Training

Deficiency (TD).

*See note B below

Periodic Inspection

(Monthly)

4. Maintain

GITA/Static display aircraft paint schedule/painting

3.1.12.7

Provide a paint schedule/roster semi-annually.

Schedule and perform full and touch up paint of GITA and Static display aircraft as scheduled 100% of the time and within the prescribed criteria listed within

Appendix 3BA.

Periodic Inspection

(Monthly)

5. Base Repair

Capability Rate 3.1.9.2.

Not less than 70% monthly

*See note C below

(Monthly)

6. MIS Data Integrity rate 2.1.6.8.

Not higher than 10%

*See note D below

18 OI 21-107 Date TBD

7. Ensure timely response to meet customer maintenance requests

Priority 1/Emergency:

Response is immediate upon notification not to exceed 30 minutes

Priority 2: Response is within 60 minutes upon notification

Priority 3: Response is within 8 hours upon notification.

3.1.3.3. 80% Compliance or no more than 1 valid customer complaints per month.

Customer Complaints/

8. Ensure timely repairs to maintenance requests

Priority 1/Emergency:

Repairs shall be made within five workdays or until a demand has been placed on supply.

Priority 2: Repairs shall be made within

20 workdays or until a demand has been placed on supply.

Priority 3: Repairs shall be made within

30 workdays or until a demand has been placed on supply.