Att_3_-_Draft_QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

TABLE OF CONTENTS:

1.0 Mission

2.0 Purpose

3.0 Authority

4.0 Roles and Responsibilities

5.0 Contractor’s Quality Control Plan (QCP)

6.0 Performance Requirements and Method(s) of Surveillance

7.0 Surveillance Documentation

8.0 Acceptance of Services

9.0 Contract Management

Appendices:

1. Services Summary (SS) and Method of Surveillance

2. Corrective Action Report (CAR)

3. Customer Complaint Record

4. Performance Assessment Report (PAR)

5. Sample COR Services Summary Surveillance Report

Quality Assurance Surveillance Plan (QASP)

1.0 Mission

The mission of the Air Mobility Command Surgeon General (AMC/SG) Directorate is to plan, organize, train and equip forces and provide medical support to maximize operational effectiveness in support of rapid precise global air mobility. This mission entails monitoring and improving the clinical and operational processes by which the mission is supported by designing, resourcing and implementing appropriate solutions to capability gaps. Within the AMC Surgeon General office, the Medical Readiness Division (AMC/SGX) staff ensures that the medical readiness and logistics aspects of the global mobility mission are met through effective process management, planning and product development. In this effort, the flow and management of information involved in the daily maintenance, strategic planning, force training and development of new capabilities is critical to success. The AMC/SG Medical Readiness staff provides ready and capable forces to support AMC and combatant commanders in the medical and aeromedical evacuation (AE) mission areas. The AMC/SGX staff coordinates with counterparts in other services, combatant commands, coalition partners and federal/state agencies to provide guidance for policy development, organizational processes, capability development, and execution.

2.0 Purpose

This Quality Assurance Surveillance Plan (QASP) is a government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. The QASP establishes procedures on how this surveillance/ inspection process will be conducted to ensure successful PWS performance. It provides a systematic method for a continuous oversight process to determine conformity with the technical requirements of the contract. The QASP establishes:

• What will be monitored.

• How monitoring will take place.

• Who will conduct monitoring.

• How monitoring efforts and results will be documented.

The contractor is responsible for implementing and delivering performance that meets contract objectives using its Quality Control Plan (QCP). The QASP provides the structure for the Government’s surveillance of the contractor’s performance to assure that it meets contract requirements. It is the Government’s responsibility to be objective, fair and consistent in evaluating contractor performance. The Contracting Officer (CO) shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract and determines the final assessment of contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s QCP.

This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The Government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

The QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

3.0 Authority

Authority for issuance of this QASP is provided under Part 37.604 and 46.4 of the Federal Acquisition Regulation (FAR), Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the Contracting Officer (CO) or a duly authorized representative.

4.0 Roles and Responsibilities

The following personnel comprise the Multi-Functional Team (MFT) and shall oversee and coordinate surveillance activities.

Government Representatives:

Contracting Officer Representative (COR) Supervisor – The COR Supervisor nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR’s surveillance activities.

Assigned COR Supervisor: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

Contracting Officer (CO) – The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship.

Specific duties of the CO include:

• Delegating authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract.

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

• Periodically assessing COR’s performance.

• Managing contractor performance surveillance data, including submitting Contractor Performance Assessment Reporting System (CPARS) reports.

• Ensuring the MFT reviews this QASP annually (at a minimum) for recommended changes.

• Providing contract-specific training (to include refresher training) administered by CO or CO’s designee to all appointed CORs.

Assigned CO: Ms. Jennifer Gasparich Organization or Agency: 763 SCONS/PKA Telephone: 618-256-9966 Email: jennifer.gasparich@us.af.mil

Contracting Officer’s Representative (COR) – The COR is responsible for providing continuous program and technical oversight of the contractor’s performance. While the COR may serve as a direct conduit to provide Government guidance and feedback to the contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the Government’s behalf. The COR is responsible for reporting early identification of performance problems to the CO and may use the applicable appendix items for documenting contractor performance.

Specific duties of the COR include:

• Evaluating and documenting the contractor’s performance in accordance with the procedures set forth in the QASP.

• Recommending any changes necessary to the contract, PWS, QASP, or other items to provide more effective operations or eliminate unnecessary costs.

• Keeping a COR file that accurately documents the contractor’s actual performance (i.e., COR surveillance reports).

• Utilizing COR file data (i.e., performance and COR surveillance reports) to assist the CO in the preparation of the CPARS reports.

• Receiving required training before performing any COR duties (IAW MP5301.602-2(d)).

• Notifying the CO immediately regarding contractor non-compliance with FAR 52.222-50, “Combating Trafficking in Persons.”

Assigned COR: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

Alternate COR: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

Alternate COR: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

Quality Assurance Program Coordinator (QAPC) – The QAPC is responsible for developing, managing, and implementing the Quality Assurance Program. The QAPC may also provide refresher training, as needed.

Assigned QAPC: Mr. Michael Hoh Organization or Agency: 763 SCONS/PKP Telephone: (618) 256-9922 / DSN 576-9922 Email: michael.hoh.1@us.af.mil

Contractor Representatives: (Complete this section after contract award.)

Contractor – Complies fully with the terms and conditions of the contract and ensures non-conforming contract services are identified and corrected.

Specific duties of the contractor include:

• Participating as a member of the MFT in the post-award management phase.

• Maintaining and implementing their commercial quality procedures that ensure contract requirements are met.

• Ensuring that the QCP is revised when necessary to prevent recurrence of non-conforming contract services.

• Tendering to the Government for acceptance, only those services that conform to contract requirements.

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

Contract Manager: <upon award, enter name> Telephone: <enter number> Email: <enter address>

Other Contract Personnel: <upon award, enter name or delete this line if not applicable> Title: <enter title> Telephone: <enter number> Email: <enter address>

5.0 Contractor’s Quality Control Plan (QCP)

As required by the contract, the contractor’s commercial QCP included in the final proposal dated ___________________, is incorporated by reference.

6.0 Performance Requirements and Method(s) of Surveillance

6.1 Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the CO and the contractor, which enables positive, open and timely communications. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance. Additionally, this QASP is based on the premise that the contractor, not the Government, is responsible for management and quality control/ quality assurance actions to successfully meet the terms of the contract.

6.2 Surveillance Summary

The Services Summary (SS) and Method of Surveillance (Appendix 1) is the list of performance objectives and thresholds that must be performed by the contractor. This summary details the method(s) of surveillance the COR will use to validate and inspect these performance objectives. Inspection of each objective will be documented in the COR file.

Performance objectives define the desired outcomes. Performance thresholds define the level of service required under the contract to successfully meet the performance objective. The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance thresholds. The PWS and QASP should be used to form the foundation of the COR’s inspection.

Method(s) of Surveillance:

Random Sampling: When selecting samples, the number of selections should exceed the required sample size by at least 10 percent to allow for situations where a selected sample cannot be evaluated. For example, if the sample size is 25 samples, select 28 samples.

The COR will make every attempt to evaluate the first 25 samples selected, but should surveillance of the 15th sample be impossible, then the COR must evaluate the 26th sample instead. The COR must evaluate only 25 samples.

If the COR does not evaluate the total number of required samples, then the samples not evaluated are deemed to have been performed and are recorded as acceptable.

The Government inspector will submit a schedule to the contracting officer/contract administrator (CO/CA) the month prior to the month being inspected. Schedule will show time, date, location, and item(s) that will be inspected. Any changes to the schedule will be submitted to the CO/CA when the change occurs.

7.0 Surveillance Documentation

7.1 Corrective Action Report (CAR) (Appendix 2)

Corrective Action reporting is divided into two categories, which are as follows: minor and major.

Minor: A minor discrepancy is a departure from established standards having little bearing on the service provided. Some examples would be data deliverables with minor grammatical or spelling errors or insufficient copies of documents. When the COR identifies a minor discrepancy, the COR shall document the discrepancy and verbally contact the designated contractor representatives, but is not required to notify the CO;

however, if the same minor discrepancy is identified more than once, it may be an indication that a major discrepancy is occurring or has occurred because the contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the CO in writing, which may include e-mail.

Major: If at any time the COR identifies a condition as having a significant adverse effect on the quality of the service, such as those stated below, the COR shall document their findings and notify the CO immediately in writing. E-mail is acceptable. Major discrepancies will be reported by the COR to the designated contractor representative in writing; however, copies of written correspondence will be coordinated with the CO prior to issuance to the contactor representative. Some examples would be contractor failure to meet a performance objective, failure to provide adequate corrective action to preclude recurrence of government-identified findings, failure to provide corrective action to deficiencies identified by the COR within a prescribed suspense period or failure to adhere to security regulations that results in a security incident.

7.2 Customer Complaint Record (Appendix 3)

The COR shall ensure complaint procedures and forms are made available to all customers (See Customer Complaint Record below). Any personnel that observe questionable or incomplete services or services not performed, or performed improperly, should immediately contact the COR. The COR shall 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. The COR shall fully document the resolution for each complaint on the Customer Complaint Record. Complaints will be tracked and if the performance threshold is exceeded, the COR shall notify the CO in writing. The CO will notify the contractor and appropriate action can be taken.

7.3 Performance Assessment Report (PAR) (Appendix 4)

PARs will be used to report all minor discrepancies and will be generated by the COR and sent to the contractor for corrective action. Contractor will be given five days to correct PARs unless they have requested an extension. If ten minor discrepancies are found, combine them and process a CAR.

7.4 Sample COR Services Summary Surveillance Report (Appendix 5)

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the methods of surveillance shown in the SS surveillance.

8.0 Acceptance of Services

Before acceptance of product(s) or service(s) and/or approval of an invoice, the COR shall prepare a COR Services Summary Surveillance Report (Appendix 5) in accordance with the QASP and FAR 52.212-4 (Contract Terms and Conditions – Commercial Items), Inspection and Acceptance Clause. The report shall identify both positive and negative performance. At a minimum, the report shall identify the number of assessments scheduled and conducted, the number of unacceptable/acceptable performances observed, the number of CARs issued, number of valid complaints, any significant contractor performance discrepancies, and a rating of the contractor’s overall performance. The report shall be signed and dated by the COR and uploaded to the CORT Tool.

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 Wide Area Workflow (WAWF) website. Certification of services shall be accomplished no later than seven calendar days after receipt of the invoice. To avoid payment of interest penalties, if the invoice is unacceptable, it should be rejected in WAWF within the first seven calendar days after receipt of the invoice, and the CO should be notified immediately.

9.0 Contract Management

The MFT shall conduct periodic progress meetings to review the contractor’s performance. At these meetings the CO 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. The contractor shall immediately notify the CO and/or COR of any work being performed 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 complaint reports, etc.).

The MFT shall also provide any recommended changes to the QASP to the CO at the progress meetings or on an annual basis (at a minimum).

Appendix 1 – Services Summary (SS) and Method of Surveillance

Performance Objective PWS Para Performance

Threshold Metric Method of

Surveillance

1. Meet all deadlines and suspenses, including short notice suspenses.

1. Para 1.2.1.6

* All actions (w/in control of contractor)

1. Not more than 1 missed deadlines/ suspense per quarter.

1. # of deadlines missed.

Quality audits of contractor records to included continuity folders.

Random sampling to include Monthly Reports

MEFPAK Management:

1. Did the contractor assist the MEFPAK in the development and registration of standard UTC for MEFPAK?

Performance tasks may include the following during the subject period (note: not all will be applicable every period):

a. Assist Government in developing and coordinating concept of employment/ operations for proposed UTCs.

b. Write and coordinate

a. Para 1.2.2.2.10.1.2.

No more than two incidents per quarter of contractor not meeting all five performance objectives pertaining to development/registration of UTCs.

a-e: # of incidents each quarter of contractor not meeting a performance objective.

Random Sampling will be utilized.

This review will be documented on a quarterly basis with feedback for areas of improvement provided to the contractor. If quality and timeliness of work requires improvement, this will be communicated to the CO, who will in turn notify the contractor.

MANFOR and MISCAP for proposed UTCs.

c. Educate command and pilot unit personnel on MEFPAK and UTC registration processes.

d. Advise the Government command representative on MEFPAK plans, programs, and activities.

e. Register new UTC upon development completion via DCAPES IAW AFI 10- 401.

b. Para 1.2.2.2.2.10.1.3.

c. Para 1.2.2.2.10.1.7.

d. Para 1.2.2.2.10.1.8.

e. Para 1.2.2.2.10.1.11.

2. Did the contractor monitor and maintain all AMC assigned standard UTCs?

Tasks may include the following:

a. Develop, monitor, and maintain AMC standard UTCs and their associated playbooks.

b. Review/update assigned UTC MISCAPs, MANFORs, CONOPs,

a. Para 1.2.2.7.

1.2.2.2.10.1.9.

a. Quality and completeness of playbooks submitted to COR will have no more than two errors.

b. Quality and completeness of UTC’s MISCAPs, MANFORs, a-c.: Items submitted divided by items ready for release

a. All playbooks are subject to the MEFPAK QAP approval. Hence, 100% of documents will be reviewed, pre-release.

b. The MEFPAK QAP is the interim review authority for all UTC’s

TTPs, and ASs.

c. Collect, maintain and analyze after action reports and JULLS documentation for UTC revisions.

1.2.2.2.10.1.12.

and CONOPS, TTPs, ASs submitted to COR will have no more than two errors.

c. Quality and completeness of after action reports and other lessons learned documents submitted to COR will have no more than two errors per quarter.

MISCAPs, MANFORs, and CONOPS, TTPs, ASs. Hence, 100% of documents will be reviewed, pre-release.

c. The MEFPAK QAP is the review authority for all MEFPAK final analysis of after action reports and other lessons learned documents.

Hence, 100% of documents will be reviewed, pre-release.

3. Did the contractor develop and maintain training standards and Mission Essential Task Lists?

Tasks may include the following:

a. Develop, assess, and maintain standardized training requirements.

b. Develop and maintain UTC Mission Essential

a. Para 1.2.2.2.10.1.18.

1.2.2.2.10.1.19.

a. Quality and completeness of pre-published training requirements submitted to COR will have no more than two errors per quarter.

b. Quality and completeness of METLs a-c.: Items submitted divided by items ready for release

a. Pre-published training requirements for UTCs will be reviewed and approved by the MEFPAK QAP prior to release outside the

MEFPAK.

b. All METLs being developed will be

Task Lists.

c. Participate in staff assistance and readiness mentorship visits to determine the effectiveness of training programs and to provide suggestions/guidance on how to improve status.

1.2.2.2.10.1.20.

being developed when submitted to COR will have no more than two errors per quarter.

c. Quality and completeness of presentations/schedules submitted to COR will have no more than two errors per quarter.

approved by the

MEFPAK QAP.

c. Findings of staff assistance visits will be noted in trip reports and reviewed by QAP before submittal to units.

ECME Services:

1. Did the contractor develop, monitor and execute processes required for operational materiel support, medical logistics management, inventory control, and accountable record keeping of AMC and AE medical equipment/supplies?

Tasks may include the following:

a. Maintain equipment inventory for all Patient Movement Items assigned to Allowance Standard 887P at Scott AFB PMI Center.

a. para 1.2.4.2.1.

Contractor will maintain accountability and visibility of all equipment items. At any time, contractor records will be current to within 30 days and have no more than two errors.

Completeness/Accuracy of submitted budget.

Annually, the contractor will compile budget outlining the next FY’s requirement for AE/medical equipment and supplies. This report will be reviewed by the MEFPAK QAP for completeness, prior to release.

b. Prepare Air Force Form 601, Equipment Action Request for transfers, gains, and losses of equipment.

c. Maintain accuracy of data in PMIATS.

d. Patient Movement Items Maintenance and Constitution to include but not limited to:

inventory accountability/ control, equipment maintenance, computer systems maintenance, and quality assurance information management.

e. Conduct initial inspections and perform scheduled maintenance on equipment assets, as needed IM/IT software updates, calibrate/diagnose/ repair equipment when required.

In accordance with AFI 41- 209, Medical Logistics Support, Air Force Manual

(AFMAN)

41-216, Defense Medical

b. para 1.2.4.2.2.

c. para 1.2.4.2.6.

d. para 1.2.4.2.27.

e. para 1.2.4.2.28.

Logistics Stand Support, and continuous movement of equipment assets from one location to another location.

Appendix 2 – Corrective Action Report

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

Appendix 3 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 – Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACT/TASK ORDER NUMBER 2. CONTRACTOR 3. TYPE OF SERVICES

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX WAS

CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE

OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

Appendix 5 – Sample COR Services Summary

Surveillance Report

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________