Atch 2 QASP.doc

ATTACHMENT 2

FA4626-12-R-0021

ATTACHMENT 2

FA4626-12-R-0021

QUALITY ASSURANCE

SURVEILLANCE PLAN

FOR

ALARM MAINTENANCE

341ST SECURITY FORCES SQUADRON

MALMSTROM AFB, MT

Reviewed and Approved by:

JASON P. PIRONE, SrA/Primary COR

341 SFS/S5A

NICOLAS D. CAPRIATO, SrA/Alternate COR

341 SFS/S3O

CHARLES K. COMBS, MSgt/CORS

341 SFS/S5S

LISA J. MURPHY

Contracting Officer

RUTH G. CARROLL

Quality Assurance Program Coordinator

NOTE: This document is for official use only by Quality Assurance Personnel, Contracting Officer, and Contract Administrator. It is not part of the contract.

TABLE OF CONTENTS

SECTION

TITLE

PAGE

SECTION A

OVERVIEW

SECTION B

ACQUISITION OBJECTIVE

SECTION C

ROLES AND RESPONSIBILITIES

SECTION D

PERFORMANCE MANAGEMENT

SECTION E

SERVICES SUMMARY

ATTACHMENTS:

COR Monthly Inspection Report 9 Quarterly Performance Report Staff Assistance Visit/Self-Inspection Checklist 4 Unacceptable Performance Contract Discrepancy Report, DD Form 2772 13 Performance Assessment Folder Index

SECTION A – OVERVIEW

This Performance Plan has been developed and will be implemented in accordance with Mandatory Procedure 5301.602-2(d). It is designed to provide an effective surveillance method of monitoring contractor performance for each objective listed in the Service 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. The Services Summary (SS) recognizes contractor performance will not be perfect and unforeseen and uncontrollable problems do occur.

In this contract, the Quality Control Plan (QCP) is the driver for product quality. The Contractor is required to develop a comprehensive QCP. The first major step to ensuring a “self-correcting” contract is to ensure the QCP provides the measures needed to lead the contractor to success. Good management and use of an adequate QCP 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 Contractor’s QCP will be reviewed and accepted by the 341st Civil Engineer Squadron and the 341st Contracting Squadron Quality Assurance Program Coordinator (QAPC) prior to start of contract.

The Government reserves the right to inspect Performance Work Statement (PWS) tasks not reflected in the SS under the FAR Inspection of Services clause. These services may be inspected periodically and documented, and if necessary, provided 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

The contractor shall furnish all personnel, equipment, transportation, tools, supplies, supervision, materials and other items and services necessary to perform all duties and tasks associated with alarm maintenance.

SECTION C - ROLES AND RESPONSIBILITIES

1.

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

Members of the MFT may include: the Contracting Officer, Quality Assurance Program Coordinator, Quality Assurance Personnel, Functional Commander/Director, Small Business Specialist, 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 Performance 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 performance plan

Insure the requiring office and contractor understand the unique programs impacting the contract 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; reviewing COR assessments of contractor performance; and resolving all differences between the COR and contractor.

3.

Contract Administrator (CA). The Contract Administrator is responsible for ensuring Government and Contractor compliance with the terms and conditions of the contract. Responsibilities 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. Contracting Officer’s Representative Supervisor (CORS). The CORS has overall responsibility for developing the Performance Work Statement and Quality Assurance Surveillance Plan. The CORS will also be responsible to assign competent primary and alternate CORs and 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 CORS, COR and the CO.

5. Contracting Officer’s Representative(s) (CORs). A Government person responsible for surveillance of contractor performance. The COR is responsible for monitoring, assessing, recording and reporting on contractor performance. This COR will have primary responsibility for completing quality assurance monitoring forms used to document inspection and evaluation of contractor performance.

6. Small Business Specialist. The Small Business Specialist (SBS) develops and manages the unit Small Business (SB) plan and program. They establish and maintain a system for monitoring unit SB program performance. Reviews acquisitions as required by DFARS 219.201, as supplemented by AFFARS. Assists the contracting officer, in cases involving SB, where non-responsibility determinations and termination action are being considered. The SBS works closely with and assists the unit competition advocate to ensure that potential SB and 8(a) opportunities are thoroughly explored.

SECTION D – PERFORMANCE MANAGEMENT

1.

Multi-Functional Team. The MFT is the first element of performance management. The MFT meets on as-needed bases and will manage contract performance throughout its lifecycle and is responsible to ensure the acquisition requirements are met on schedule and within budget.

2.

Quality Control Plan (QCP). The Contractor shall develop and submit a QCP and update as necessary or as otherwise required for updating plans in accordance with the PWS. The QCP shall establish the baseline for measuring and attaining quality of performance encompassing all areas of this contract. A key and basic tenant of the QCP is that the Contractor shall provide continuous quality improvement. The Contractor’s QCP 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 Control Plan, 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 assessment supports 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 that may be used are:

Random sampling of recurring service output (e.g. deliveries). Random sampling, however, is discouraged unless delivery lot size is significant.

Periodic surveillance occurs (weekly, monthly, quarterly, semiannually or annually) as determined necessary to assure a sufficient evaluation of Contractor performance.

Customer Complaint: The primary surveillance method the Government may use to evaluate the Contractor’s performance in meeting the contract requirements. Once a complaint has been filed, the COR will validate the complaint.

5.

Contracting Officer’s Representative(s) (COR). The COR will develop a surveillance schedule based on performance requirements identified in the SS, noting the date and time of surveillance and results of the inspection. At the start of the contract, the COR will instruct grounds custodians of their responsibility to survey contract performance and proper methods for submitting customer complaint forms. COR(s) are 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 (DD Form 2772), attachment 4, will be initiated by the COR if, at any time during the surveillance period, observations of unacceptable performance are noted to exceed the performance thresholds established in the SS and the inspector determines that it is not caused by the Government. At the end of each month, the COR will provide a CDR to the CO when unacceptable performance exceeds the performance requirement.

8.

Monthly Inspection Report. All validated customer complaints will be counted to determine if performance is acceptable or unacceptable based on Performance Threshold criteria in the SS. A monthly inspection report, Attachment 1, will be completed and filed in the Performance Assessment Folder, Section 5 and a copy sent to the CA. Additional supporting data may be included in the report from activities documented in the Activity Log.

9.

Quarterly Performance Report. On a quarterly basis, the COR will complete a narrative summary of Contractor past performance, Attachment 2, addressing the elements listed below and conduct trend analysis of validated negative comments. The COR will forward the narrative to the CA. The CA will use the data prior to exercising the option for the next performance period.

Element 1 - Quality of Service. Assess the Contractor’s conformance to contract requirements, specifications and standards of good services (i.e. commonly accepted technical, professional, environmental, or safety health standards).

Element 2 - Schedule. Assess the timeliness of the Contractor against the completion of contract delivery orders, delivery schedules and administrative requirements.

Element 3 - Business Relations. Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, the Contractor’s history of reasonable and cooperative behavior, and customer satisfaction.

Element 4 – Management of Key Personnel. Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

10.

Performance Ratings. The ratings used for the Quarterly Performance Report are described by one of the following five adjectives: Exceptional, Very Good, Satisfactory, Marginal and Unsatisfactory. These terms are subjective and are not derived through use of any mathematical computations or formulas. The COR will rate each one of the above assessment elements explained above, using one of the following ratings in their narrative summary. The criteria for each rating is reflected below:

- Exceptional (E). Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element being assessed was accomplished with few minor problems for which corrective actions taken by the Contractor were highly effective.

- Very Good (VG). Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element being assessed was accomplished with some minor problems for which corrective actions taken by the Contractor were highly effective.

- Satisfactory (S). Performance meets contractual requirements. The contractual performance of the element being assessed was accomplished with some minor problems for which corrective actions taken by the Contractor appeared to be or were satisfactory.

- Marginal (M). Performance does not meet some contractual requirements. The contractual performance of the element being assessed reflects a serious problem for which the Contractor has not yet identified corrective actions. The Contractor’s proposed actions appear only marginally effective or were not fully implemented.

- Unsatisfactory (U). Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element being assessed was accomplished with serious problems for which the Contractor’s corrective actions appeared to be or were ineffective.

11.

Surveillance Procedures. It is essential that all required inspections are completed for 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 12 hrs or notify COR of status and approximate time of 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 a reasonable time after notification to reaccomplish the unacceptable performance if such reaccomplishment is possible. The length of time allowed to correct the problem will depend upon the requirement and the discrepancy.

During the month, the COR may receive customer complaints about the quality of the service or may observe unacceptable performance by the contractor. The COR is responsible to follow-up on all customer complaints and document the findings. All inspections documentation shall be maintained as official contract management data.

If the COR determines the complaint is not valid, the contractor’s performance is satisfactory. If any government action or lack of action caused unacceptable performance, these discrepancies shall not be considered valid.

If the COR determines the complaint is valid, the complaint form is provided to the Contractor for corrective action (COR will retain and file one copy). The COR will instruct the contractor to return the complaint form. After return from the contractor, the COR will retain and file the form. The COR will send a copy of all complaints received to the Contract Administrator.

12.

Annual Review. The MFT will review this plan’s performance objectives and other assessment items annually to assess applicability and effect changes as necessary to meet mission needs.

13.

Staff Assistance Visit (SAV). The Quality Assurance Program Coordinator (QAPC) will conduct an annual SAV. Items checked during the SAV are identified on the Staff Assistance Visit/Self-Inspection Checklist, Attachment 3, 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.

14.

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 and be set up using the Index at Attachment 4.

Section 1: Appointments. This section must include:

· COR nomination letters

· COR appointment letter

· Phase I and II Training certificates

· Multi-Functional Team Meeting Minutes

Section 2: Contract Documents.

· Copy of the contract with all modifications.

· Approved PWS

· Approved QASP

· Contractor’s Quality Control Plan

Section 3: Activity Log. An instrument used by COR to supplement the performance assessment records, 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, conversations with the Contractor regarding contract performance and 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. 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) DD Form 2772 with all supporting documentation.

Section 8: Other Items. Any other items deemed necessary such as base access letters, delegation lists, publications, or other information that needs to be readily available. This section is optional.

SECTION E – SERVICES SUMMARY

The Contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success. The COR conducts surveillance on the following items monthly to ensure contract compliance.

8.1

Attachment 1

Monthly Inspection Report

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

1. CONTRACT NUMBER

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

I. PERFORMANCE

7. FORMCHECKBOX

DEFICIENCY (CHECK ALL BOXES THAT APPLY)

FORMCHECKBOX

NEW

FORMCHECKBOX

REPEAT

FORMCHECKBOX

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE FORMCHECKBOX

CONCUR FORMCHECKBOX

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. FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

Monthly Inspection Report

Continuation Sheet

(Number to correspond with applicable Item Number on reverse)

Monthly Inspection Report Instructions

Block 1. Contracting Officer’s Representative (COR) enters contract 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 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.

Attachment 2

Quarterly Performance Report

(DATE)

Period of Report: __________________________ Contract #: ________________________

COR: _________________________________________

Contractor: ____________________________________________

I am forwarding this report to the contract administrator to summarize the Contractor’s past performance over the past quarter for the period identified above. I have reviewed the past three months monthly reports and Contractor complaints as well as minutes from past performance meetings to arrive at the following comments for the assessment elements.

(1) Quality of Service (Rating: ______). Assess the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (i.e. commonly accepted technical, professional, environmental, or safety health standards).

(2) Schedule (Rating: ______). Assess the timeliness of the Contractor against the completion of contract delivery orders, delivery schedules and administrative requirements.

(3) Business Relations (Rating: ______). Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, the Contractor’s history of reasonable and cooperative behavior, and customer satisfaction.

(4) Management of Key Personnel (Rating: ______). Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

Trend analysis of any validated negative comments was conducted. Findings are as follows:

____ Analysis of Contractor performance resulted in no negative trends.

____ Analysis of Contractor performance resulted in the following negative trends.

A summarized report, supported by COR periodic and/or monthly inspections and customer complaints, is attached to this report.

Summary of negative trends:

COR Signature Block Attachment 3

Staff Assistance Visit/Self-Inspection Checklist

N/A

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

Attachment 4

Attachment 5 Performance Assessment Folder

Index

Section 1: Appointments A. COR nomination letters

B. COR appointment letter

C. Phase I and II 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 QASP D. Contractor’s Quality Control Plan

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) DD Form 2772 with all supporting documentation

Section 8: Other Items A. Base Access Lists

B. Publications

FOR OFFICAL USE ONLY