J3_QASP.pdf

COMMAND AND CONTROL FACILITY

MAINTENANCE & REPAIR (BLDG. 1000)

FA4600-xx-x-xxxx

Contract

Quality Assurance Surveillance Plan (QASP) 1 November 2016

Multi-Functional Team Members:

____________________________________ Date: ______________ Functional Commander/Director

____________________________________ Date: ______________ Contracting Officer Representative (COR)

____________________________________ Date: ______________ Contract Administrator

___________________________________ Date: ______________ Quality Assurance Program Coordinator

___________________________________ Date: ______________ Contracting Officer

___________________________________ Date: ______________ Contractor (After Award)

TABLE OF CONTENTS

Subject para

1. Overview 1

2. Roles and Responsibilities 2

3. Performance And Method of Assessment 3

4. Performance Assessment Approach 4

5. Performance Assessment Documentation 5

1.0 OVERVIEW

1.0 Purpose. The purpose of this Quality Assurance Plan Surveillance (QASP) is to identify the methods and procedures the Government will use to insure it receives the services under contract as identified in the Performance Work Statement (PWS). This plan will focus on the level of performance required by the PWS, not the methodology or process.

1.1 Intent. The intent of this plan is to rely on the Contractor’s quality control, thus changing the

Government’s role from “oversight” to “insight”. Performance Objectives (PO) will be periodically monitored and the quality program evaluated but the Contractor is left as free as possible to develop the most efficient methodology to meet and exceed the required thresholds of service.

1.2 Compliance with AFI 63-138, AFFARS MP 5301.602-2(d): The QASP is an evolving document for which development begins with acquisition planning, and finalized as the acquisition progresses. The members of the multi-functional team (MFT) sign the QASP. This plan identifies:

1.2.1 A strategy, methods and tools the multi-functional team will use to assess the contractor’s performance against the performance thresholds, measurements, metrics, and incentives identified in the contract. Performance thresholds must be measurable in terms of quality and timeliness of performance.

1.2.2 A management approach, methods and tools the multi-functional team will routinely use to validate the objectives and goals identified as part of the QASP.

2.0 ROLES AND RESPONSIBILITIES

2.1 CONTRACTING OFFICER REPRESENTATIVE (COR)

2.1.1 Individuals designated to perform quality assessment functions, and manage performance in accordance with the QASP. They serve as technical managers assessing Contractor performance against contract performance using the service delivery summary.

2.1.2 Evaluates and documents Contractor’s performance in accordance with the QASP.

2.1.3 Notifies the CO of any significant performance deficiencies.

2.1.4 Maintains surveillance documentation.

2.2 CONTRACTING OFFICER (CO)

2.2.1 Responsible for contract management. Implements the QASP after contract award by the MFT.

Integrates the goals and objectives identified by the multi-functional team, oversight, and performance management and performance measurement in accordance with the QASP.

2.2.2 Delegates authority for inspection and/or acceptance in accordance with terms of the contract and informs the Contractor of the names, duties, and limitations of authority for all contracting officer representatives assigned to the contract.

3.0 PERFORMANCE AND METHOD OF ASSESSMENT

3.1 Performance Objectives (POs). The following is a list of the contractual POs to be validated by the CORs.

Each PO includes a government-determined Performance Threshold and Method of Performance Assessment. The POs are arranged according to the functional area they are associated with. Functional areas not listed were omitted because they did not have POs identified as critical. The POs in this paragraph represent the minimum items that must have performance assessment accomplished on a periodic basis.

Any performance assessment of PWS requirements not required by the QASP must still be documented in the PAR. The Contractor tasks are summarized into POs. Performance Thresholds briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Performance Objective PWS Para Performance Threshold Method of Assessment

1. Operations Management Support

1.2.1.1, 1.2.2.1

6 defects / Yr See QASP 3.2

2. Preventive Maintenance Work Program (Priority 2A) – deferred maintenance

1.2.1.2.2, 1.2.2.2, < 4 deferred maintenance tasks/month

See QASP 3.2

3. Preventive Maintenance Work Program for UPS (Priority 2A) – deferred maintenance

1.3.2.1.1 Twelve or fewer service

calls (routine and emergency combined) in a fiscal year

See QASP 3.2

4. Semiannual UPS preventative maintenance

1.3.2.1.1.7 Complete Spring PM prior

to 1 May and Fall PM prior to 15 November 100% of the time

See QASP 3.2

5. Repair identified during UPS semiannual preventive maintenance

1.3.2.1.1 90% completed within 20 business days; 100% within 40 business days

See QASP 3.2

3. Direct Schedule Work— Response Time

1.2.1.3, 1.2.2.3, ≤ 2/yr of required time frame

See QASP 3.2

4. Direct Schedule Work Emergency (Priority 1) – Performance Time and Completeness

1.2.1.3.1, 1.2.2.3.1

≤ 2/yr of required time frame or not completed satisfactorily

See QASP 3.2

Direct Schedule Work Emergency (Priority 1) for UPS System – Performance Time and Completeness

1.3.2.1.2.3 90% completed within 60 hours; 100% within 72 hours.

See QASP 3.2

5. Scheduled Sustainment Work (Priority 3A/3B) – Performance Time and Completeness

1.2.1.3.4, 1.2.2.3.3

≤ 6/yr of required time frame or not completed satisfactorily

See QASP 3.2

6. Scheduled Sustainment Work (Priority 3C) – Performance Time and Completeness

1.2.1.3.5, 1.2.2.3.4

≤ 8/yr of required time frame or not completed satisfactorily

See QASP 3.2

Scheduled Sustainment Work (Priority 3C) for UPS System – Performance Time and Completeness

1.3.2.1.2 90% provided within 10 business days. 100% within 20 business days.

See QASP 3.2

7. Required Reporting 1.2.1.5, 1.2.2.5, 1.3.1, 1.3.2, Appendix F

≤ 4/yr of required time See QASP 3.2

8. Maintenance Master Plan 4.1.2 No Defects Allowed See QASP 3.2

3.2 Surveillance Techniques

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the Government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

Random Sampling – Designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample.

Periodic Inspection – Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled; daily, weekly, monthly, quarterly, or annually, OR unscheduled.

Customer Complaint – Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated by the COR against the PWS.

Direct Observation – COR can perform this periodically or through 100% surveillance

The government reserved the rights to perform surveillance with any techniques mentioned above at any given time.

4.0 PERFORMANCE ASSESSMENT APPROACH

4.1 Purpose. This section details the method(s) used to verify Contractor compliance with PWS requirements. The key elements of this process are the Contractor's quality program and Government identified Performance Objectives. The Performance Objectives from Paragraph 8.0 of this Quality Assurance Surveillance Plan (QASP) dictate the minimum assessment requirements Contracting Officer Representative (COR) must accomplish on a periodic basis. This (QASP) provides the procedures on how to conduct the evaluations for Performance Objectives and how to document them in a correct and effective manner.

4.2 Performance Assessment Approach. To facilitate the Performance assessment of the Contractor's quality program, Contracting Officer Representative (COR) will verify Contractor compliance with designated Performance Objectives. The intent of the Performance Assessment approach is to gain confidence in the Contractor’s ability to provide satisfactory services and then adjusting the level of Performance Assessment to a point that maintains confidence. This Performance Assessment approach is subject to change based on the Contractor’s performance.

4.3 Annual Review. The COR must review the Performance Objectives, assess their applicability and recommend the addition or subtraction of Performance Objectives as conditions warrant. This review must be accomplished annually as a minimum and documentation shall be provided to the CO.

4.4 Special Audits. The COR must be alert to conditions that would warrant a special quality audit. Any time the COR observes that a functional area is out of acceptable tolerance or that the technical expertise is not available, a request for a functional area quality audit should be addressed to the Contracting Officer.

4.5 Deficiency Identification. Effective contract Performance assessment relies on two methods for identification of unacceptable performance – Contractor Identified Discrepancies (CIDs) and Government Identified Discrepancies (GIDs).

4.6 Contractor Identified Discrepancies (CIDs). CIDs are generated when contract employees detect discrepancies during performance of routine daily services or through the contractor’s Quality Control Program. When CIDs are reviewed by the applicable COR, that person will take the following actions:

4.6.1 Review corrective actions taken by the contractor to resolve a discrepancy.

4.6.2 Determine whether the discrepancy has been corrected. If the discrepancy has been resolved, review the corrective action taken and any applicable procedures the contractor has established to preclude recurrence of the problem.

4.6.3 If a CID has not been resolved and the Contractor has established an Estimated Completion Date (ECD) for resolution of the discrepancy, the COR will monitor the Contractor’s efforts in resolving the discrepancy. If the COR determines the estimated completion date for resolution of the discrepancy is excessive based on the nature of the discrepancy, the CO will be notified. The CO can then evaluate the recommendation to determine the appropriate course of action.

4.6.4 If a CID has not been resolved and the COR determines that the Contractor has not established an ECD for resolution of the discrepancy or has failed to perform a follow-up action for resolution of a discrepancy, the COR will issue a Corrective Action Report (CAR). The Contractor will be given a suspense date to provide corrective action to the Government’s findings and describe the Contractor’s plan to preclude repeat deficiencies.

4.6.5 Government Identified Discrepancies (GIDs). GIDs are generated as a result of COR’s inspection of contractor performance that identifies noncompliance with contractual requirements (Customer Complaint). The COR will record a GID on a Corrective Action Report (CAR).

5.0 PERFORMANCE ASSESSMENT DOCUMENTATION

5.1.1 Corrective Action Report (CAR) Used by COR to document contract requirement findings and subsequent corrective actions to be taken. See attached CAR and instructions for filling it out.

5.1.2 The COR will send the CAR to the CO for their review as the Issuing Authority. Once reviewed, the CAR will be then forward by the CO to the contractor requesting a respond/action plan to resolve the discrepancy in accordance with the PWS.

5.1.3 The contractor shall respond to the CAR their action plan on how/when the discrepancy will be resolved.

5.1.4 The COR will elevate any CARs that cannot be resolved with the contractor to the Contracting

Officer for resolution.

5.1.5 Categories of Findings. A finding is any Government-identified noncompliance with contract requirements that specifies that an activity or action did not take place or was not performed to the quality or timeliness standard required by the contract. A finding can be categorized as either Major or Minor. Findings will be documented on a CAR and must also be tracked in the activity log;

Major/Minor Findings are defined as follows:

5.1.6 A conclusion that identifies a condition having a significant adverse effect on the quality of the activity under review such as:

a. Failure to meet a Performance Threshold.

b. Significant mission degradation in any Contractor operated function.

c. A situation that is likely to result in hazardous or unsafe conditions for individuals (or any other

Government resource) coming into contact with the work.

d. Failure to provide adequate corrective action to preclude reoccurrence of government identified findings.

e. Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period

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

5.1.7 Minor Finding. A departure from established standards having little bearing on service provided.

However, if the same minor finding is repeatedly identified, it may be an indication that Major Finding (d) above is occurring or has occurred because the contractor quality system has not acted to prevent recurrence. In this case, the Minor Finding should be elevated to the level of a Major Finding and a new CAR initiated.

5.1.8 Performance Assessment Report. COR must document Performance assessment as it is accomplished. The Performance Assessment Report is an official government record of inspections of the performance objectives and other inspection items contained in this QASP.

5.1.9 The Performance Assessment Report is attached to this QASP

5.1.10 Completed Performance Assessment Reports will be maintained in the COR performance assessment folder. On a quarterly basis, submission to the contracting officer requires them to be stored in the contract file. At the completion of the contract, disposition instructions of the performance assessment reports will be in accordance with the Federal Acquisition Regulation (FAR) Part 8. These reports can be maintained in hard-copy form as long as there is ample backup to preclude loss of data. Additionally, a copy of the PAR will be uploaded into the CORT tool as they are accomplished.

ATTACHMENTS BELOW WILL BE EMAILED DUE TO ELECTRONIC SIGNATURES:

CUSTOMER COMPLAINT RECORD

CORRECTIVE ACTION REPORT (CAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

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

Customer Complaint Record Template, Feb 05 (SAF/AQCP) CONTRACTOR – 3

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. DATE & TIME

6. CONTROL NUM.

7. DEFICIENCY FOUND BY COR:

8. TYPED NAME AND TITTLE

9. SIGNATURE AND DATE

10. CONTRACTOR RESPONSES WITH CORRECTIVE ACTION AND DATE TO BE COMPLETED:

11. CONTRACTOR NAME AND TITTLE 12. SIGNATURE AND DATE

13. COR DETERMINATION:

14. TYPED NAME AND TITTLE 15. SIGNATURE AND DATE

16. ADDITIONAL COMMENTS OR PICTURES

ADDITIONAL COMMENTS OR PICTURES

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

Block 5. Enter the date and time of finding the deficiency. A date must be entered for all CARs.

Block 6. All CARs will be tracked with a Control Number. The control number will be made up of the last four numbers of the contract, the last two digits of the calendar year, two digit calendar month and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., 0001/12/01/001).

Block 7.

1. Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, section, paragraph and subparagraph and must make a complete brief quotation of the contract reference.

3. State the impact that the finding has or could have on the accomplishment of the mission that the contract provides.

4. When determining how long to give the contractor to respond to the identified finding. Refer to the PWS or 24 hours, whichever is less.

Blocks 8 & 9. Contract CORs initiating a CAR must sign and date in Block 9.

Block 10. The contractor shall response to the findings in block10 with corrective action and date to be completed in accordance with the PWS.

Block 11 & 12. Contractor must sign and ate in Block 12.

Block 13. Upon review of the contractor’s reply, the originator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred. The COR documents Acceptance or Rejection after reviewing the contractor’s response.

Block 14 &15. The COR enters a close date. The COR will then forward the closed CAR to the contractor and report accordingly in the monthly Certificate of Service (COS) or other applicable contracting officer services report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the Issuing Authority forwards the open CAR back to the contractor for additional information.

Block 16. For additional information.

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. QUALITY ASSURANCE PERSONNEL (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

Performance Assessment Report (PAR) Template, Feb 05 (SAF/AQCP)

PERFORMANCE ASSESSMENT REPORT

Continuation Sheet (Number to correspond with applicable Item Number on reverse)

Performance Assessment Report (PAR) Template, Feb 05 (SAF/AQC)

Instructions for PAR

Performance Assessment Report (PAR) Instructions

Block 1. Contracting Officer Representative (COR) enters contract or task order number.

Block 2. COR enters contractor name.

Block 3. COR enters type of services.

Block 4. COR signs and dates.

Block 5. COR enters telephone number.

Block 6. COR assigns suspense date for Contractor Representative Validation if a deficiency box was checked in Block 7.

Part I. Contractor Performance

Block 7. COR checks all boxes that apply.

Block 8. COR enters Services Summary or Performance Work Statement (PWS) paragraph item reviewed.

Block 9. COR enters brief description of deficiency and tracking number if the deficiency box was checked in Block 7. Detailed description will be on Corrective Action Report (CAR).

Block 10. COR enters a detailed performance assessment if the deficiency box in Block 7 was not checked.

Parts II and III will be used only if a deficiency was documented in Part I.

Part II. Contractor Validation

Block 11. Contractor Representative checks one box in response to COR cited deficiency. If Concurrence is indicated, Contractor Representative continues to Block 12. If Non-Concurrence is indicated, continue to Block 13 and state reason(s) for Non-Concurrence with COR cited deficiency and return PAR to COR.

Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Corrective Action and the Action Taken to Prevent Recurrence or Reason for Non-Concurrence of COR cited deficiency.

Part III. Deficiency Corrected

Block 14. COR checks appropriate block, signs, and dates.

Block 15. (Required Entry) COR remarks regarding the Corrective Action and the Action Taken to Prevent Recurrence. If Non-Concur was checked, this block should be very detailed to explain why.

Block 16. Contractor Representative enters remarks if further discussion is needed about COR concurrence with Contractor’s Corrective Action and Action Taken to Prevent Recurrence.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.