J - Atch 3 - QASP.docx

FA4452-12-R-0001

Section J – Attachment 3

QUALITY ASSURANCE SURVEILLANCE PLAN

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

Global Air Transportation Execution System (GATES) Application & System Support

26 April 2012

Coordination and Review:

REVISION CONTROL

GATES Application & System Support Quality Assurance Surveillance Plan.

Table of Contents

I. Contract Assessment

1.0 Purpose

2.0 Service Objective

3.0 Desired Management Results

4.0 Roles and Responsibilities of the Multi-Functional Team

II. Contractor Assessment

5.0 Contractor’s Quality Control Plan (provided with Contractor’s proposal)

6.0 Strategy, Methods, and Tools

7.0 Assessment Procedures

8.0 Performance Issues

9.0 Certification/Acceptance of Services

10.0 Contract Management

1.0. PURPOSE

1.1. This quality assurance surveillance plan (QASP) has been developed to provide an effective and systematic method to evaluate contractor provided services as required by the terms and conditions of the contract. This plan implements the requirements of FAR 46.401, DFARS 246.401 and mandatory procedures (MP) 5301.602 with respect to the government’s Quality Assurance (QA) requirements.

2.0. SERVICE OBJECTIVE

2.1. The objective is to obtain technical and developmental services in support of the AMC/A6I requirement. This plan is designed to provide an effective systematic surveillance method to validate contractor performance of Performance Work Statement (PWS) objectives. The government works on the premise that the contractor is responsible for the work they produce. The contractor is responsible for accomplishing quality checks to ensure that final deliverables meet all PWS requirements, to include corrective actions in the event of defects.

3.0. DESIRED MANAGEMENT RESULTS

3.1. The result the Multi-Functional Team (MFT) is striving to achieve is successful PWS performance. This plan provides a systematic method to survey and evaluate contractor services to determine conformity with the technical requirements of the contract.

4.0. ROLES AND RESPONSIBILITIES OF THE MULTI-FUNCTIONAL TEAM

4.1. The multi-functional team members listed on the cover are responsible for planning the acquisition and managing the requirements over the life of the contract along with recommending any revisions to the QASP. They are responsible for the duties listed below and IAW AFI 63-101, Chapter 4.

4.2. Administrative Contracting Officer (ACO)/Contract Specialist

4.2.1. Ensures that open communication is maintained between all parties, pre- and post-award.

4.2.2. Delegates authority for inspection and/or acceptance to Contracting Officer Representative (COR) in accordance with the terms and conditions of the contract.

4.2.3. Informs the contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

4.2.4. Periodically assesses the CORs performance, not less than quarterly.

4.2.5. Manages contractor performance assessment data, including submitting Contractor Performance Assessment Reporting System (CPARS) reports.

4.2.6. Issues contract modifications as necessary.

4.2.7. Takes appropriate action should unacceptable contract performance occur.

4.2.8. Ensures the MFT reviews this QASP annually (at a minimum) for recommended changes.

4.2.9 Provides contract-specific COR training to all appointed CORs.

4.3. Contracting Officer Representative (COR)

4.3.1. Each COR should complete the required Defense Acquisition University (DAU) courses and receive contract-specific training provided by the contracting office before they can perform contractor surveillance.

4.3.2. Develops technical requirements and Independent Government Estimates (IGEs) for contract services.

4.3.3. Evaluates and documents the contractor’s performance in accordance with the procedures set forth in this QASP.

4.3.4. Immediately notifies the ACO of any significant performance deficiencies.

4.3.5. Maintains assessment documentation throughout the life of the contract.

4.3.6. Uses assessment data to assist the ACO in the preparation of the CPARS reports.

4.3.7. Obtains, schedules, and completes Wide Area Work Flow (WAWF) training from the base Accounting and Finance Office.

4.3.8. Certifies acceptance of services in WAWF and maintains invoices documentation for the life of the contract.

4.3.9. Promotes business decisions to meet customer requirements by researching the marketplace to remain current with the most efficient and effective performance assessment methods and techniques. Performs market research throughout the life of the requirement to ensure the team is knowledgeable of the commercial marketplace.

4.3.10. Fosters partnerships with industry to ensure exchanges of information with the service industry and other business experts.

4.3.11. Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

4.3.12. Recommends any changes necessary to the contract, PWS, QASP, or other requirements to provide more effective operations or eliminate unnecessary costs.

4.3.13. Keeps the documentation files during the term of the contract and at the conclusion of the contract transfers the files to the ACO for inclusion in the official contract file.

4.4. Functional Director (FD)

4.4.1. Assign qualified functional experts to the multifunctional team.

4.4.2. Ensure requirement documents developed by the MFT satisfy mission requirements, are performance based, and provide meaningful measurement of contractor progress attaining desired outcomes.

4.4.3. Assign primary and alternate COR.

4.4.4 Review contractor performance assessment documentation prepared by COR on a periodic basis not less than annually to ensure performance is compatible with contract objectives.

4.4.5 Should participate as a member of the MFT.

4.5. Quality Assurance Program Coordinator (QAPC)

4.5.1. Develops, manages, and implements the QA program.

4.5.2. Provides guidance regarding COR training requirements IAW DoD, Air Force and local procedures. QAPC for AMC/A7KQ is located at A7KQ.

4.6. Contractor

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

4.6.2. Participates as a member of the MFT in the post award management phase.

4.6.3. Maintains and implements their commercial quality procedures that ensure contract requirements are met.

4.6.4. Ensures that non-conforming contract services are identified and corrected.

4.6.5. Ensures that their quality control procedures are revised to prevent recurrence.

4.6.6. Tenders to the government for acceptance only those services that conform to contract requirements.

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

5.0 CONTRACTOR’s QUALITY CONTROL PLAN.

5.1. As required by the contract, the contractor’s commercial Quality Control Plan included in the final quote, dated___________________ is incorporated by reference.

6.0. STRATEGY, METHODS, AND TOOLS

6.1. Strategy. At a minimum, government COR will perform surveillance [see page 7, Services Summary (SS) and Method of Assessment Table] to determine the contractor’s compliance with designated performance requirements of the contract SS. Documentation is required to record, evaluate, and report contractor’s performance. Assessment will be in accordance with the methods below. In addition to the monthly assessment, assessment will be done on an annual basis, after completion of the performance period, through the CPARS evaluation system.

6.2. Methods.

6.2.1. Customer Complaint. The COR should ensure complaint procedures and forms are made available to all customers. Any personnel that observe questionable or incomplete services or services not performed, or performed improperly, should immediately contact the COR. COR should receive, document, and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the complainant and explain why the complaint was invalid. COR shall track and fully document the resolution for each complaint on the Customer Complaint Record.

6.2.2. Periodic Surveillance or Random Sampling. The results of the random inspection will determine the government’s next course of action. For example, if performance is marginal or unsatisfactory, the COR needs to document that inspection finding and begin corrective action. If performance is acceptable, the COR needs to document this finding as well and may reduce the sample size or sampling frequency.

6.2.3. One Hundred-Percent Inspection. This surveillance type is preferred for those tasks that occur infrequently. It is also used frequently for those tasks having very stringent performance requirements. When this type of surveillance is used, the COR must inspect and evaluate the contractor’s performance each time it is performed to determine acceptability.

6.2.4. Informal User Surveys. The results of telephonic or email contact requesting feedback from servicing customers (Satisfactory or Unsatisfactory) regarding the timeliness and quality of the contractor’s response in the form of advice, information, and/or documentation.

6.3. Tools.

6.3.1. Assessment of Services Summary Items. The PWS contains an SS that summarizes performance thresholds. The SS does not identify every service required, but only those services considered most important for mission accomplishment. At a minimum, CORs will monitor, review, and report on the contractor’s performance and compliance with all SS items shown below on a monthly basis.

SERVICES SUMMARY (SS) AND METHOD OF ASSESSMENT TABLE

Para

No more than two rewrites resulting from inaccurate, incomplete, or unsupported information.

# of grammatical, punctuation, or spelling errors per page

# of rewrites resulting from inaccurate, incomplete, or unsupported information Periodic Surveillance or Random Sampling

1.3.3 1.3.4 1.3.5 1.3.6 1.3.7 1.3.8 No more than two inaccuracies for cross-referencing source and reference material content.

No more than one late deliverable.

No late deliverables submitted more than one working day beyond the agreed-to time period.

# of inaccuracies for cross-referencing source and reference material content

# of late deliverables

# of late deliverables submitted more than one working day beyond the agreed-to time period 100% Inspection

1.3.2 1.3.3 1.3.4 1.3.5 1.3.6 1.3.7 1.3.8 1.3.9 No more than one formal customer complaint in performance of required tasks.

No complaints left unresolved one working day beyond the agreed-to time period.

# of formal customer complaints

# of complaints left unresolved one working day beyond the agreed-to time period Informal User Surveys and Customer Complaints

1.3.5 1.3.6 1.3.7 1.3.8 1.3.9

1.3.8

1.3.8

1.3.4 1.3.8

1.3.4 1.3.8

1.3.4

No more than one weekly update delivered or updated late.

No late updates submitted more than one working day beyond the agreed-to time period.

# of late weekly updates

# of late updates submitted more than one working day beyond the agreed-to time period Periodic Surveillance or Random Sampling

1.3.5

1.3.8 No more than one missed schedule updates on the environment per calendar quarter.

Security patches and TCNOs are maintained to the government baseline with no compliance deviations without prior PM approval.

# of missed schedule updates on the environment

# of deviations without prior PM approval Periodic Surveillance or Random Sampling

Government is notified timely when contractor becomes aware GATES is in non-compliance with DIACAP requirements.

Government is provided a quick fix recommendation for closing the security vulnerability. Long-term recommendation is provided for the government’s consideration when required.

Government is provided a quick fix recommendation within 24 hours of non-compliance notice for closing the security vulnerability. No instances of late quick fix recommendations.

Long term recommendation is provided for the government’s consideration within 10 working days. No instances of late long term recommendations.

# of late notifications

# of late quick fix recommendations

# of late long term recommendations

100% Inspection

# of late initial notices

100% Inspection

6.3.2. Assessment of non-SS Items. The government has the right to inspect all services called for by the contract, to the extent practicable at all times and places during the term of the contract. Therefore, COR have the right to conduct assessment for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in paragraph 8.0 of this QASP, entitled Performance Issues.

7.0 ASSESSMENT PROCEDURES

7.1. The COR will monitor the contractor’s performance on a continuous basis throughout the life of the contract to determine if the monthly service is acceptable. The following paragraphs detail the source data and evaluation process.

7.1.1. Source Data. Source data for the QA evaluation consists of the following information:

7.1.2. Evaluation Process. The COR will review the performance metrics included in the SS to determine if the contractor is meeting performance thresholds from the PWS. In conjunction with this assessment, the COR will review all validated customer complaints, informal user surveys, and any additional information submitted by the customer. The review of both the performance metrics and customer complaint information will produce an evaluation of the contractor’s performance and conformance to the contract.

7.2. In addition to the monthly assessment schedule, the COR will accomplish performance assessment on a not-less-than-annual basis, through the CPARS evaluation system.

8.0. PERFORMANCE ISSUES

8.1. Unacceptable Performance – Government Action. When the contractor’s performance is deemed unacceptable, the COR will determine the cause of the unacceptable performance. If any government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the contractor. The COR will take action to ensure government action, or lack of action, does not interfere with the contractor’s performance in the future. The COR will completely document the circumstance.

8.2. Unacceptable Performance – Contractor Action. When the unacceptable performance is not the result of government action, or lack of action, the COR shall promptly notify the contractor and the Contracting Officer (CO) administering the contract. The contractor shall re-perform the service, if possible, without additional cost to the government. If the contractor challenges the validity of the CORs unacceptable assessment finding, the matter shall be referred to the contracting officer administering the contract for resolution. The COR will completely document the circumstance.

8.3. Contracting Officer Notification.

8.3.1. Major Finding. If at any time the COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR shall document their findings and notify the administrative contracting officer immediately in writing. E-mail is acceptable.

8.3.1.1. Contractor failure to meet a Performance Objective.

8.3.1.2. Contractor failure to provide adequate corrective action to preclude reoccurrence of government-identified findings.

8.3.1.3. Contractor failure to provide corrective action to deficiencies identified by the COR within a prescribed suspense period.

8.3.1.4. Any contractor failure to adhere to security regulations that results in a security incident.

8.3.2 Minor Finding. A minor finding is a departure from established standards having little bearing on the service provided. When the COR identifies a minor finding, the COR shall document the finding, but is not required to notify the ACO. However, if the same minor finding is identified more than once, it may be an indication that a major finding is occurring or has occurred because the contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the ACO in writing. E-mail is acceptable.

8.4. Remedies or Other Actions for Unacceptable Performance. Inspection/Acceptance of FAR clause 52.246-4, Inspection of Services – Fixed-Price (Aug 1996), and FAR clause 52.246-5, Inspection of Services – Cost Reimbursement (Apr 1984), are included in the contract and are directly applicable. When defects in services cannot be corrected by re-performance, the government may:

8.4.1. Require the contractor to take necessary action to ensure that future performance conforms to contract requirements; and

8.4.2. Negotiate consideration due the government for non-performance. Consideration may include reducing the contract price to reflect the reduced value of the services performed (reduce the monthly fixed price to reflect the non-performance of a required task). However, other forms of consideration may also be negotiated based on the impact associated with the failure to perform.

8.4.3. If the contractor fails to promptly perform the services again, or to take the necessary action to ensure future performance in conformity with contract requirements, the government may:

8.4.3.1. Terminate the contract for cause and by contract or otherwise, perform the services and charge to the contractor any excess cost incurred by the government that is directly related to the performance of such service together with any incidental or consequential damages incurred because of the termination.

9.0. CERTIFICATION/ACCEPTANCE OF SERVICES

9.1. The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract. The COR will certify receipt of contractor services via the WAWF website. Certification of services shall be accomplished no later than seven days after the receipt of the invoice, to avoid payment of interest penalties. If the invoice is not acceptable, it should be rejected in WAWF before the seventh day after receipt of the invoice and the ACO should be notified immediately.

9.2. For travel requirements, the contractor will submit a travel itinerary and estimated cost for written approval by the COR not later than five workdays prior to travel. The contracting officer will confirm the availability of funds.

10.0. CONTRACT MANAGEMENT

10.1. The MFT shall conduct periodic progress meetings, not less than quarterly the first year, to review the contractor’s performance. At these meetings the ACO will apprise the contractor of how the government views the contractor’s performance and the contractor will apprise the government of problems, if any, being experienced.

10.2 The contractor will immediately notify the ACO of any work being performed, if any, that the contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues (i.e. CPARS, customer complaints/incident reports, etc.).

10.3 The MFT shall provide any recommended changes to the QASP to the CO at the progress meetings or on a not-less-than-annual basis.