Attachment_3_-_QASP_TO_15_Nov.pdf

FA4452-16-R-0004

Attachment 3

5 November 2015

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 (of the program)

AMC/A4P requires support for the services necessary to perform four separate interoperability roles for the Logistics Integration and Weapon Systems Logistics Network (LOGNET) Support. The interoperability roles include supporting IT infrastructure at HQ AMC/A4, at the Wing-level for sortie generation and for G081 PMO staff as well as providing G081 functional programming support, training and subject matter expertise for technology, policy, and system integration recommendations.

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: <enter name> Organization or Agency: <enter organization or Agency name> Telephone: <enter number> Email: <enter address>

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. Lisa A. Gross Organization or Agency: 763 SCONS

Telephone: 618-256-9965 Email: lisa.gross@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: Michael Anthony Organization or Agency: HQ AMC/A4PI Telephone: 618-229-3127 Email: michael.anthony.1@us.af.mil

Alternate COR: Charles Dalley Organization or Agency: HQ AMC/A4PI Telephone: 618-229-3281 Email: charles.dalley@us.af.mil

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: Michael Hoh Organization or Agency: 763 SCONS Telephone: 618-256-9922 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:

100% Inspection: The COR will inspect and evaluate the contractor’s performance each time it is performed. The result of the contractor’s overall performance is then evaluated to determine acceptability of the service provided.

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.

Periodic Inspection: These items are inspected using periodic surveillance (daily, weekly, monthly, quarterly, etc.) as determined by the COR. The results of the periodic surveillance inspections may be used as the basis for actions (other than payment deductions) toward the contractor. In such cases the Inspection of Services clause becomes the basis for the CO’s actions. The schedules (if applicable) are submitted to the CA for review prior to the month being inspected.

Customer Complaint: The COR is the point of contact and must collect all customer complaints. The Customer Complaint Record below will be used for this purpose. All complaints and any resulting resolution of such complaints must be documented with the information required on the customer complaint form. Customer complaint forms become a permanent part of the COR file.

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 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 10 work days to correct PARs unless they have requested an extension. If three or more 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 will 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

Title PWS Para. Performance Threshold Surveillance Method

Trouble Ticket Items Review

2.2.1.5.11 &

2.3.1.11

95% of tickets older than 15 days will be reported weekly

100% Inspection

Notification of Renewal Requirements

2.3.1.16 Monthly requirement

review shall be delivered 95% on time

100% Inspection

Notification of EMSEC Changes 2.3.1.17 Formal EMSEC report submitted on time 98%

100% Inspection

Annual IT Equipment Inventory 2.3.2.4.4 Annual requirement review shall 95% accurate 100%

Inspection Parts Rough Order Magnitude

(ROM)

2.3.3.5.6

ROM is submitted on time 95% of occurrences

100% Inspection

Electronic G081 Newsletter 2.4.1.4

Electronic G081 newsletter distributed IAW PWS

Paragraph 2.4.1.4, 91% of the time

100% Inspection

Meeting Minutes 2.5.1.1,

2.5.1.19 & 2.5.1.22

Meeting minutes to be completed within five business days 95% of the time

100% Inspection

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: _________________