Attach 2 - QASP - Security Guard Services.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

SECURITY GUARD SERVICES

LAJES FIELD, AZORES, PORTUGAL

For Official Use Only

TABLE OF CONTENTS

SECTION TITLE

SECTION A OVERVIEW

SECTION B ACQUISITION OBJECTIVE

SECTION C ROLES AND RESPONSIBILITIES

SECTION D PERFORMANCE MANAGEMENT

SECTION E SERVICES SUMMARY

ATTACHMENTS:

1 Contracting Officer Representative (COR) Monthly Inspection Report

2 Staff Assistance Visit/Self-Inspection Checklist

3 Performance Assessment Folder Index

4 Contract Discrepancy Report (USAFA Form 103)

5 Monthly Inspection Report

SECTION A – OVERVIEW

This Quality Assurance Surveillance Plan has been developed and will be implemented in accordance with MP5301.602-2(d), Designation, Assignment, and Responsibilities of a

Contracting Officer’s Representative (COR). It is designed to provide an effective surveillance method of monitoring Contractor performance for each objective listed in the Services Summary.

The plan provides a systematic method to evaluate the services the Contractor is required to furnish and not the details of how the Contractor accomplishes the work.

In this contract, the Quality Program (QP) is the driver for product quality. The Contractor is required to develop a comprehensive QP. The first major step to a “self-correcting” contract is to ensure the QP provides the measures needed to lead the Contractor to success. Good management and use of an adequate QP will allow the Contractor to operate within specified performance requirements.

This plan is based on the premise that the Contractor, and not the government, is responsible for management and quality control actions to meet the terms of the contract.

The Government reserves the right to inspect, in accordance with FAR 52.212-4, all aspects of performance identified in the Performance Work Statement (PWS) and not merely the tasks reflected in the Services Summary. All required services may be inspected periodically and documented and, if necessary, furnished to the Contracting Officer (CO) for action. The CO will handle each documented discrepancy on a case-by-case basis.

Any non-conformance with contract requirements is a “discrepancy” and refers to a service output that does not meet the standard of performance specified in the contract for that service.

SECTION B – ACQUISITION OBJECTIVE

NON-PERSONAL SERVICE: The contractor shall provide all management, supervision qualified personnel, labor and services necessary to perform Security Guard Services as defined in the Performance Work Statement. The contractor shall perform in accordance with the commercial practice and standards for housing security services. The contract shall consist of a base year (20 September 2012 through 19 September 2013) and four one-year option periods.

SECTION C - ROLES AND RESPONSIBILITIES

1. Multi-Functional Team (MFT). This is a customer-focused team comprised of functional stakeholders in the acquisition that are responsible for requirements throughout the life of the contract.

Members of the MFT may include: the Contracting Officer, Contract Administrator, Quality

Assurance Program Coordinator (QAPC), Contracting Officer Representative (COR), COR

Supervisor, subject matter expert, and the Contractor who provides the service upon award of the contract. The duties and responsibilities of the team include:

- Managing contract performance IAW the Quality assurance surveillance plan

- Fostering partnerships with industry

- Providing support to senior leadership as required

- Researching the commercial market

- Developing, implementing and executing a performance-based acquisition strategy

- Managing risk to ensure mission performance is within cost and schedule constraints

- Planning, programming, and budgeting adequate funds

- Developing, implementing and managing milestones

- Completing and reporting annual performance reviews

- Identifying opportunities to improve performance throughout the life of the contract

- Assessing and managing Contractor performance data

- Developing, implementing, and executing performance measurement and management

- Recommend changes to the quality assurance surveillance plan

The following is a description of roles and responsibilities of Government officials that will participate in assessing the quality of Contractor performance.

2. Contracting Officer (CO). The CO will have overall responsibility for overseeing

Contractor performance. The CO will also be responsible for the day-to-day monitoring of

Contractor performance in the areas of contract compliance, contract administration, cost control, and property control as applicable and for reviewing Contracting Officer Representative (COR) assessments of Contractor performance and resolving all differences between the COR and

Contractor.

The CO shall determine the nature of the work/requirement (Type A, B, or C), “DoD Standard for Certification of Contracting Officer’s Representatives (COR) for Service Acquisitions.”

Based upon the CO’s determination of type work/requirement and DFARS PGI 201.602-2, the

CO shall determine if a COR is (or multiple or alternate CORs are) required to assist in technical monitoring or administration of a contract. If yes, the CO must notify the requiring activity of the need for COR(s) support and shall complete and forward the request for COR to the requiring activity.

After receipt of the COR nomination package(s) from requiring activity, the CO shall determine if the prospective COR is qualified and acceptable or unqualified or unacceptable. If unqualified or unacceptable, the CO must identify specific deficiencies, notify the requiring activity, and request additional information or a new COR nomination.

The CO shall ensure contract-specific training (to include refresher training) is scheduled and provided to the prospective COR. The training may be conducted by the CO, or the CO’s designee.

The CO shall review the COR’s reports for completeness/accomplishment. The CO shall provide an assessment on COR performance to the COR supervisor, as requested. If COR reports and/or performance are inadequate, the CO shall provide a written assessment and discuss performance with the COR. If reports/performance continue to be inadequate, the CO shall provide a written assessment and discuss COR performance with COR management.

In cases where COR performance continues to be poor, the CO shall terminate the COR duties and request a COR replacement. The requiring activity must provide a COR replacement to ensure continuous contract monitoring by a qualified individual. Only the CO may terminate a

COR Designation. When the requiring activity requests termination of COR Designation, the

CO shall terminate the COR Designation in writing. The termination memorandum shall be executed by the CO and acknowledged by the COR and COR supervisor.

3. Contract Administrator. The Contract Administrator is responsible for ensuring

Government and Contractor compliance with the terms and conditions of the contract.

Responsibilities to include routine tasks such as contract development, monitoring Contractor progress, ensuring COR training and program management, reviewing invoices, and problem-solving activities due to changes, problems, and disagreements that may arise following contract award.

4. COR Supervisor. The COR Supervisor has overall responsibility for developing the PWS and Quality assurance surveillance plan. The COR Supervisor will also be responsible to notify the CO of any significant deficiencies related to the performance of the contract. Revisions to this surveillance plan are the joint responsibility of the COR Supervisor, COR and the CO.

5. Contracting Officer Representative (COR). A Contracting officer’s representative (COR) means an individual designated and authorized in writing by the contracting officer to perform specific technical or administrative functions. The COR is responsible for monitoring, assessing, recording and reporting on Contractor performance. The COR has primary responsibility for completing quality assurance monitoring forms used to document inspection and evaluation of

Contractor performance.

The COR shall provide information necessary to assess actual or potential personal conflicts of interest and immediately notify the CO if subsequent situations arise.

The COR shall participate, as requested, in requirements definition/pre-award activities. Ensure that participation in the pre-award process and performance of prospective COR/COR duties/responsibilities are properly addressed in the annual performance appraisal.

Establish and maintain a COR file in accordance with DFARS PGI 201.602-2(ii) and this

Mandatory Procedure. Remain abreast of changes to terms and conditions of the contract resulting from contract modifications. Perform only those duties/responsibilities delegated by the CO in the CO’s Designation Letter.

CORs shall not appoint, delegate, or re-delegate COR duties/responsibilities to another individual. Only a CO may designate a COR and delegate duties/responsibilities to a COR.

CORs provide reports on contract performance to the CO. If advised by the CO that reports are inadequate, ensure follow-on reports address issues expected by CO. When advised by the CO or COR management that COR designation will be terminated, ensure reports/records are made available to the CO, COR management, and a successor COR, if one is designated by the CO.

If circumstances change and there is a reasonable expectation that the designated COR cannot perform effectively, (e.g., personal conflict of interest, change in assignment), the COR shall notify the CO and COR management and request the CO terminate the COR Designation and take action to designate a successor COR.

SECTION D – PERFORMANCE MANAGEMENT

1. Multi-Functional Team (MFT). The MFT is the first element of performance management.

The MFT meets on an as-needed basis and will manage contract performance throughout its lifecycle. The MFT is responsible to ensure the acquisition requirements are met on schedule and within budget. The MFT will review the contractor’s quality control plan after submission.

2. Quality Program (QP). The Contractor shall develop and submit a QP, and update as necessary or as otherwise required for updating plans in accordance with the PWS. The QP shall establish the baseline for measuring and attaining quality of performance encompassing all areas of this contract. A key and basic tenant of the QP is that the Contractor shall provide continuous quality improvement. The Contractor’s QP shall emphasize deficiency prevention over deficiency detection.

3. Performance Assessment. Performance Assessment detailed in this plan focuses on the performance outcomes required by the PWS, not the methodology or process implemented by the Contractor. The objective of this plan is to rely on the Contractor’s Quality Program, effectively changing the Government’s role from “oversight” to “insight.” This plan identifies the methods and procedures the Government will use to ensure it receives the services under contract as identified in the PWS.

4. Methods of Assessment. The Government may use a variety of surveillance methods to evaluate the Contractor’s performance. Each method assesses a Contractor’s performance and provides a record, both positive and negative, and is based on objective facts, supported by performance assessment data. Only one method of surveillance will be used at a time for payment computation purposes. The methods of surveillance or documentation of deficient performance that will be used are:

Periodic surveillance is performed weekly or monthly as determined necessary to assure a meaningful evaluation of Contractor performance.

5. Contracting Officer Representative. The COR will develop a surveillance schedule based on performance requirements identified in the Services Summary, noting the date and time of surveillance and results of the inspection. The COR is to be objective, fair, and consistent in evaluating Contractor performance against the standards.

6. Acceptance of Services. The COR is required to accept contract services and determine payments due. At the end of each payment period, usually monthly, the COR must certify the services actually received via Wide Area Workflow – Receipt and Acceptance (WAWF-RA).

A brief summary of Contractor performance for the period covered shall be documented by the

COR. Where problems are identified, the summary should include corrective actions taken.

7. Unacceptable Performance Contract Discrepancy Report. A Contract Discrepancy

Report (CDR), USAFA Form 103 (Attachment 4 of this plan), will be initiated by the COR if, at any time during the performance period, when instances of unacceptable performance is observed or reported that exceed the performance thresholds established in the SS and the inspector determines that such instance is not caused by the Government. At the end of each month, the COR will provide a CDR to the CO when instances of unacceptable performance exceed the performance requirement.

8. Monthly Inspection Report. All COR inspections will be counted to determine if performance is acceptable or unacceptable based on Performance Threshold criteria in the

Services Summary (SS). A monthly inspection report, Attachment 1 of this plan, will be completed and a copy will be sent to the Contracting Office. Additional supporting data may be included in the report from activities documented in the Activity Log.

9. Surveillance Procedures. It is essential that all required inspections are performed in order to implement an effective quality assurance program. The Contractor is required to immediately correct all discrepancies detected during surveillance by the COR. If the discrepancy cannot be corrected on the spot, the Contractor must correct the deficiency within 6 hours or notify the

COR of the status and approximate time for correction.

If inspection indicates unacceptable performance above the threshold in the SS or a negative trend, the COR will notify the CO, who will in-turn notify the contractor of the discrepancies for correction. The Contractor shall be given 6 hours time after notification to re-accomplish the unacceptable performance if such re-accomplishment is possible. The length of time allowed to correct the problem will depend upon the requirement and the discrepancy.

10. Staff Assistance Visit (SAV). The Quality Assurance Program Coordinator (QAPC) may conduct a SAV. Items checked during the SAV are identified on the Staff Assistance Visit/Self-

Inspection Checklist, Attachment 2, of this plan. Written SAV results will be maintained by the

COR in the Performance Assessment Folder as well as by the Contract Administrator along with any corrective actions taken. The checklist may be used by the COR for self-inspection purposes as needed. The Contract Administrator may also conduct a SAV in lieu of the QAPC.

11. Performance Assessment Folder. A Performance Assessment Folder is developed and maintained by each individual who is assigned COR duties. The folder is typically maintained in hard copy, but may be maintained electronically, or a combination thereof provided there is adequate backup of the data to preclude accidental loss. In the case of multiple COR working on one contract, Performance Assessment Folders may be combined as warranted to avoid duplicate documentation. A cross-reference sheet will be used to identify the location of shared or electronic files. For electronic files, ensure the directory path and file name are clearly identified. The folder must contain as a minimum, the following documents. The Index at

Attachment 3 of this plan will be used as the index for the assessment folder.

Section 1: Appointments. This section must include:

COR nomination letters

The COR Designation Letter

QAPC and CO Led Training certificates

Multi-Functional Team Meeting Minutes

Section 2: Contract Documents.

Copy of the contract with all modifications.

Approved PWS

Approved Quality Assurance Surveillance Plan

Contractor’s Quality Program (QP)

Section 3: Activity Log. An activity log is used by the COR to supplement the performance assessment records. It is maintained in chronological order of actions taken in the performance of

COR duties. The purpose of this log is to provide a brief synopsis of contract inspection activities, meetings, and conversations with the Contractor regarding contract performance. It should include any notes and comments that may be of value at some later date. Documentation that supports activity log entries is maintained in the records section of the folder. This log should not be confused with, or substituted for, the Performance Assessment Log.

Section 4: Performance Assessment Log. The Performance Assessment Log is used to document all assessments performed. Logs are maintained until the CO issues disposition instructions. The COR can modify this in any format desired provided it contains, at minimum, the information required:

Contract Number

Performance Requirement

Contract Paragraph Reference

Method of Assessment

Date Accomplished

Initials of COR Conducting Assessment

Where Accomplished

Results

Date Next Due

Section 5: Records. Maintain all documentation associated with performance assessment such as deficiency reports (open and closed), correspondence, monthly inspection reports, quarterly performance reports, and documents that support the Activity Log.

Section 6: Acceptance of Services.

Invoices

Monthly Receiving Reports (WAWF)

AF Form 9, Funding Requests

Section 7: Unacceptable Performance Documentation. Contract Discrepancy Reports

(CDRs), USAFA Form 103 with all supporting documentation (Attachment 4 of this plan).

Section 8: Base Access Lists & Publications. Maintain all documentation associated with lists of personnel who require access to the base and any supporting publications.

SECTION E – SERVICES SUMMARY

The COR will conduct surveillance of Performance Objectives in the Services Summary monthly. Periodic Inspections and Customer Complaints will be used. At time of Periodic

Inspections, performance threshold is measured at 100% based on Performance Threshold criteria in the SS.

The Services Summary states the service outcomes expected.

SERVICES SUMMARY

Performance Objective PWS

Para.

Performance

Threshold (see

Note 1)

Does the contractor provide all labor, tools, equipment and supervision? 1. 3 contract discrepency reports per month

Does the Contractor ensure all EEFI are protected from public view and are only disposed of through pre-approved methods?

1.1.3 2 contract discrepency reports per month

Does the Contractor not leave their assigned area of responsibility unless properly relieved by a qualified replacement?

1.1.4 100%

Does the Contractor ensure there is at least one mobile guard per housing area at all times?

1.1.4 100%

Does the Contractor not sleep or read unauthorized material on duty? 1.1.5 100%

Does the Contractor provide 65 SFS a record for each employee which will show training received, date of training received, and any discrepancies found

1.1.10, 1.2.4, 1 contract discrepency during no-notice inspections? Are these records provided upon request? 1.2.4.1, 1.2.4.2, 1.2.4.3 report per month

Are the Contractor employee’s well groomed and exhibiting good personal hygiene?

1.1.12 2 contract discrepency reports per month

Does the Contractor participate in Random Antiterrorism Measures with 65

SFS as required by 65 SFS?

1.1.14 1 contract discrepency report per quarter

Does the Contractor conduct Physical Security Checks of assigned areas and document required checks using Physical Security Check sheets provided by

65 SFS?

1.1.14 2 contract discrepency reports per month

Does the Contractor provide a Contract Manager and guards who possess fluent English language skills, to include reading and writing?

1.2.3 100%

Does the Contractor maintain positive control of Government Furnished

Equipment (GFE)?

3.1.1 1 contract discrepancy report per month

NOTE 1: SURVEILLANCE METHODS ARE PERIODIC INSPECTIONS AND CUSTOMER COMPLAINTS.

PERFORMANCE THRESHOLD DURING PERIODIC INSPECTION IS 100%.

Attachment 1 of QASP

COR Monthly Inspection Report

Section I COR CHECKLIST Contract No:

FA4486-

Typed/Printed Name and Office Symbol of Contracting Officer:

Current Modification No.:

Typed/Printed Name and Office Symbol of Contracting Administrator:

Description of Service:

Typed/Printed Name and Office Symbol of Construction Inspector (CE): N/A

Typed/Printed Name of Contractor/Representative:

Section II COR Monthly Observations (This document is to be loaded in the CORT Tool monthly)

Please check each line for applicability and compliance. (Circle one answer)

1. Is the contractor on the job site? Yes No N/A

2. Is the contractor arriving on schedule? Yes No N/A

3. Is the contractor performing the service IAW the SOW? Yes No N/A

4. How would you evaluate the quality of service? Satisfactory Unsatisfactory

5. How would you evaluate customer service relations? Satisfactory Unsatisfactory

6. Does the contract include GFE/GFP? Yes No N/A

7. Does the contractor maintain the GFE/GFP in good condition for use? Yes No N/A

8. Is the contractor wearing uniforms/protective or safety gear IAW SOW? Yes No N/A

9. Is the contractor experiencing any difficulties? Yes No N/A

If yes, please describe problem/issue?

10. Where is the COR accomplishing surveillance? On Site COR Office Other

11. Contracting Office Representative (COR) comments:

Contracting Officer Representative / Date

Contractor / Date

Attachment 2 of QASP

Staff Assistance Visit/Self-Inspection Checklist

All references are from the Quality Assurance Surveillance Plan (QASP)

YES

NO

N/A

Was the Quality assurance surveillance plan reviewed? (Section D, Para

1)

Does the Performance Assessment Folder contain all required section items/documentation IAW this QASP? (Section D, Para 11)

Section 1: Appointments

Section 2: Contract Documents

Section 3: Activity Log

Section 4: Performance Assessment Log

Section 5: Records

Section 6: Acceptance of Services

Section 7: Unacceptable Performance Documentation

Section 8: Other Items

Does COR conduct trend analysis of negative inspections? (Section D, Para 9)

Is Performance Assessment being documented by COR as it is performed using the Performance Assessment Log? (Section D, Para 11)

6 Are monthly reports completed? (Section D, Para 8)

Does COR conduct surveillance of Performance Objectives in the

Services Summary? (Section D, Para 9 and Section E)

Attachment 3 of QASP

Performance Assessment Folder

Index

Section 1: Appointments

A. COR nomination letters

B. Copy COR Designation Letter

C. QAPC and CO Led Training certificates

D. Multi-Functional Team Meeting Minutes

Section 2: Contract Documents

A. Copy of the contract with all modifications.

B. Approved PWS

C. Approved Quality Assurance Surveillance Plan (QASP)

D. Contractor’s Quality Program

Section 3: Activity Log

Section 4: Performance Assessment Log

Section 5: Records

A. Deficiency Reports (Open and Closed)

B. Correspondence

C. Monthly Inspection Reports

D. Quarterly Performance Reports

E. Activity Log Supporting Documents

Section 6: Acceptance of Services.

A. Invoices

B. Monthly Receiving Reports (WAWF)

C. AF Form 9, Funding Requests

Section 7: Unacceptable Performance Documentation

A. Contract Discrepancy Reports (CDRs) with all supporting documentation

Section 8: Other Items

A. Base Access Lists

B. Publications

Attachment 4 of QASP

CONTRACT DISCREPANCY REPORT

1. CONTRACT TITLE AND NUMBER 2. CONTRACT DISCREPANCY REPORT NUMBER

3. TO (NAME OF CONTRACTOR) 4. FROM (NAME OF COR)

5. DATE PREPARED

6. DISCREPANCY (Describe in detail, include reference to PWS, attach continuation sheet if necessary)

7. DATE RECEIVED SIGNATURE OF CONTRACTING OFFICER

8. DATE TO CONTRACTOR 9. SUSPENSE DATE

10. TO (Contracting Officer) FROM (Contractor)

11. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION, AND ACTION TO PREVENT

RECURRENCE (Attach continuation sheet if necessary)

12. SIGNATURE OF CONTRACTOR REPRESENTATIVE

13. GOVERNMENT EVALUATION

14. GOVERNMENT ACTION

CLOSE OUT

NAME/TITLE SIGNATURE DATE

CONTRACTOR

COR

CO/ACO

USAFA FORM 103, 20100927

Attachment 5 of QASP

Contracting Officer Representative (COR)

Monthly Inspection Report

Inspection Month: _________________ Contract #: _________________________

Contractor: ____________________________________________

I have conducted an inspection of Contractor performance IAW PWS requirements, to include surveillance of Performance Objectives in the Services Summary. COR inspections of Security

Guard Services have been used to determine if performance is acceptable or unacceptable based on Performance Threshold criteria in the SS. Findings are as follows:

____ The Contractor has met all the requirements of the contract.

____ The Contractor has not met all the requirements of the contract. These are summarized in this report and are supported by the COR periodic inspections attached to this report.

Summary of discrepancies:

Comments:

COR Signature Block/Date

Surveillance shall be based on the performance objectives outlined in the Service Delivery

Summary.

1. Performance objective is to provide all labor, tools, equipment and supervision. Performance threshold is to insure no more than 3 contract discrepency reports per month.

a. Did the contractor provide all labor, tools, equipment and supervision? Yes / No

b. If not, describe the discrepancies and how did the contractor resolve the problem?

2. Performance objective is to ensure all EEFI are protected from public view and are only disposed of through pre-approved methods. Performance threshold is to no more than insure 2 contract discrepency reports per month.

a. Did the contractor ensure all EEFI are protected from public view and are only disposed of through pre-approved methods? Yes / No

b. If not, describe the discrepancies.

3. Performance objective is to not leave their assigned area of responsibility unless properly relieved by a qualified replacement. Performance threshold is to insure 100% at time of inspection.

c. Did the contractor not leave their assigned area of responsibility unless properly relieved by a qualified replacement? Yes / No

d. If not, describe the discrepancies.

4. Performance objective is to ensure there is at least one mobile guard per housing area at all times. Performance threshold is to insure 100% at time of inspection.

e. Did the contractor ensure there is at least one mobile guard per housing area at all times?

Yes / No

f. If not, describe the discrepancies.

5. Performance objective is to not sleep or read unauthorized material on duty. Performance threshold is to insure 100% at time of inspection.

g. Did the contractor not sleep or read unauthorized material on duty? Yes / No

h. If not, describe the discrepancies.

6. Performance objective is to provide 65 SFS a record for each employee which will show training received, date of training received, and any discrepancies found during no-notice inspections?

Are these records provided upon request? Performance threshold is to insure no more than 1 contract discrepency report per month.

i. Did the contractor provide 65 SFS a record for each employee which will show training received, date of training received, and any discrepancies found during no-notice inspections? Are these records provided upon request? Yes / No

j. If not, describe the discrepancies.

7. Performance objective is to see that employees are well groomed and exhibiting good personal hygiene. Performance threshold is to insure no more than 2 contract discrepency reports per month.

k. Are the contractor employees well groomed and exhibiting good personal hygiene? Yes /

No

l. If not, describe the discrepancies.

8. Performance objective is to perform Random Antiterrorism Measures as scheduled or directed by

65 SFS. Performance threshold is to insure 1 contract discrepency report per quarter.

m. Did the contractor perform Random Antiterrorism Measures as scheduled or directed by 65

SFS? Yes / No

n. If not, describe the discrepancies.

9. Performance objective is to conduct Physical Security Checks of assigned areas and document required checks using Physical Security Check sheets provided by 65 SFS. Performance threshold is to insure no more than 2 contract discrepency reports per month.

o. Did the contractor conduct Physical Security Checks of assigned areas and document required checks using Physical Security Check sheets provided by 65 SFS as directed by 65

SFS? Yes / No

p. If not, describe the discrepancies.

10. Performance objective is to provide a Contract Manager and guards who possess fluent English language skills, to include reading and writing. Performance threshold is to insure 100% at time of inspection.

q. Did the contractor provide a Contract Manager and guards who possess fluent English language skills, to include reading and writing? Yes / No

r. If not, describe the discrepancies.

11. Performance objective is to maintain positive control of Government Furnished Equipment

(GFE)? Performance threshold is to insure no more than 1 contract discrepancy report per month.

s. Did the contractor maintain positive control of Government Furnished Equipment (GFE)?

Yes / No

t. If not, describe the discrepancies.

(End of Document)