Attachment_4-_Draft_QASP.pdf

FA4452-16-R-0008

Attachment 4

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)

The Air Force Central Command (AFCENT) Learning Resource Centers (LRCs) Program supports the AFCENT mission, readiness, education and quality of life of military personnel in the Area of Responsibility (AOR). The Integrated Library Management System (ILMS) provides the AFCENT authorized users access to a variety of information materials to support the AFCENT mission.

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: Pamela C. Bragg Organization or Agency: 763 SCONS/PKA

Telephone: 618-256-9978 Email: pamela.bragg@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: N/A Organization or Agency:

Telephone:

Email:

Other Key Government Personnel - 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: Michael T. Hoh Organization or Agency: 763 SCONS/PKP

Telephone: 618-256-9941 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:

Telephone:

Email:

Other Contract Personnel: N/A Title:

Telephone:

Email:

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:

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 Customer Complaint Record (Appendix 2)

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.

7.2 Sample COR Services Summary Surveillance Report (Appendix 3)

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 3) 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

Performance Objective PWS Para

Performance Threshold Metric Method of Surveillance

Unauthorized users shall not have access to the ILMS or any data in the ILMS.

3.1.1.1 No instance of unauthorized

access to the ILMS or its data.

Number of instances per year.

Periodic Inspection

The ILMS shall provide single search capability through federated searching with Open URL link, as well as contextual searching and management technology, allowing users to access content from library materials, the internet, World Wide Web, electronic databases and other electronic content/services.

3.1.3 No instance of users having to

search card catalog, electronic resources and the Internet separately to obtain all relevant information on a subject.

Number of customer complaints.

Periodic Inspection

The ILMS shall provide the capability to create subject specific virtual spaces (portals) for specific interest groups and/or communities of practice.

3.1.4 Ensure content virtual spaces

are available to all system users at all times

Number of instances of non-availability of virtual spaces per quarter.

Customer Complaint

The contractor shall perform all maintenance and upgrades of the AFCENT-wide ILMS at no additional cost to the government other than the annual license renewal/maintenance fee. Provide library staff with 48 hours notice of pending upgrades and maintenance.

3.1.6 Notification of upgrades and

maintenance will be provided a minimum of 48 hours in advance.

Number of instances without minimum of 48 hours advance notice of upgrades and maintenance.

Periodic Inspection

Provide customer support when problems are encountered at library locations.

3.1.7 Wait times for support on

problems encountered with ILMS shall not exceed four hours from initial notification by the library staff.

Number of instances with wait times exceeding four hours.

Periodic Inspection

The contractor shall provide ILMS redundancies to protect data in the event of a system failure.

3.1.9 No instance of loss of access to

ILMS and its data.

Number of instances with loss of access to ILMS and its data per quarter.

Periodic Inspection

All required report capabilities in all needed formats will be available for library staff.

3.1.10.1. No instances of vendor

involvement needed to create, run or print reports.

Number of instances without report generation capability.

Periodic Inspection

Appendix 2 – 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 3 - Sample COR Services Summary

Surveillance Report

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

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: _________________

Appendix 4-

Contracting Officer’s Representatives (CORs) Surveillance Report

ALL PURPOSE CHECKLIST Page _______ of ________ Pages

TITLE/SUBJECT/ACTIVITY/FUNCTIONAL AREA

SDS – Surveillance Plan for AFCENT LRCs Integrated Library Management System

OPR

AFSVA/

SVXL

DATE

No.

Item (Assign a paragraph number to each item. Draw a horizontal line between each major paragraph.)

MEET

YES

MEET

NO

MEET

N/A

Performance Objective 1: Unauthorized users shall not have access to the ILMS or any data in the ILMS.

*Performance Threshold: No instance of unauthorized access to the ILMS or its data.

Performance Objective 2: The ILMS shall provide single search capability through federated searching with Open URL link, as well as contextual searching and management technology, allowing users to access content from library materials, the internet, World Wide Web, electronic databases and other electronic content/services.

*Performance Threshold: No instance of users having to search card catalog, electronic resources and the Internet separately to obtain all relevant information on a subject.

Performance Objective 3: The ILMS shall provide the capability to create subject specific virtual spaces (portals) for specific interest groups and/or communities of practice.

*Performance Threshold: Ensure content virtual spaces are available to all system users at all times.

Performance Objective 4: The contractor shall perform all maintenance and upgrades of the AFCENT-wide ILMS at no additional cost to the government other than the annual license renewal/maintenance fee. Provide library staff with 48 hours notice of pending upgrades and maintenance.

*Performance Threshold: Notification of upgrades and maintenance will be provided a minimum of 48 hours in advance.

Performance Objective 5: Provide customer support when problems are encountered at library locations.

*Performance Threshold: Wait times for support on problems encountered with ILMS shall not exceed four hours from initial notification by the library staff.

Performance Objective 6: The contractor shall provide ILMS redundancies to protect data in the event of a system failure.

*Performance Threshold: No instance of loss of access to ILMS and its data.

Performance Objective 7: All required report capabilities in all needed formats will be available for library staff.

*Performance Threshold: No instances of vendor involvement needed to create, run or print reports.