Attch3_QASP_30Mar17.pdf

ATTACHMENT 03

FA4626-17-R-0004

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

MATERIEL CONTROL SERVICES

FOR

341ST CIVIL ENGINEER SQUADRON

MALMSTROM AFB, MT

Reviewed and Approved by:

MARK A. DALRYMPLE

341st Civil Engineer Squadron/COR

STEPHANIE J. GROUX

341st Civil Engineer Squadron/CORS

JENNIFER R. GEORGE

341st Contracting Squadron/CO

LISA J. MURPHY

341st Contracting Squadron/QAPC

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

30 March 2017

TABLE OF CONTENTS

SECTION TITLE PAGE

SECTION A OVERVIEW 1

SECTION B ACQUISITION OBJECTIVE 1

SECTION C ROLES AND RESPONSIBILITIES 1

SECTION D PERFORMANCE MANAGEMENT 2

SECTION E SERVICES SUMMARY 6

ATTACHMENTS:

1 COR Monthly Inspection Report

2 Quarterly Performance Report

3 Staff Assistance Visit/Self-Inspection Checklist

4 Unacceptable Performance Contract Discrepancy Report, DD Form 2772

5 Performance Assessment Folder Index

SECTION A – OVERVIEW

This Quality Assurance Surveillance Plan (QASP) has been developed and 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 grounds 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, Contracting Officer’s Representatives (COR), COR Supervisor (CORS), 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 QASP

- 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 QASP

- 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 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. COR Supervisor. The CORS has overall responsibility for developing the PWS and QASP. The CORS will also be responsible to assign competent primary and alternate COR 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 Representative (COR). 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 (MFT). 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 Representative (COR). The COR will develop a surveillance schedule based on performance requirements identified in the SS. CORs are to be objective, fair, and consistent in evaluating contractor performance against the standards.

The COR is responsible to maintain surveillance over the contractor compliance with Combat Trafficking in Persons (CTIP) requirements. The COR shall validate that the Contractor has notified its employees of the United States Government’s zero tolerance policy described in FAR Clause 52.222-50 – Combat Trafficking in Persons.

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. Surveillance Procedures. It is essential that all required inspections are completed for an effective quality assurance program. The contractor is required to correct all discrepancies detected during surveillance by the COR in accordance with the service summary 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.

10. 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.

11. 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.

12. 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:

-The following items will be maintained in CORT:

COR Appointment Letters(s) COR Designation Letters(s) COR Management Certificates(s) CLC106 Training Certificate(s)

CLM003 Training Certificate(s) CTIP Training Certificate(s) Phase I and II Training Certificate(s)

-The following item will be maintained in the physical COR file:

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. The Contractor will ensure validations of compliance with FAR Clause 52.222-50 – Combat Trafficking in Persons.

Section 6: Acceptance of Services.

Invoices Monthly Receiving Reports (WAWF)

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 contract service requirements are summarized in the performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimal acceptable levels of service required for each requirement. The Services Summary (SS) and contractor’s Quality Control Plan provide information on contract requirements, the expected level of contractor performance and the expected method of government validation and confirmation of service provided. These thresholds are critical to mission success. Procedures as set forth in the FAR 52.212-4 (a), Contract Terms and Conditions – Commercial Items, Inspection/Acceptance, will be used to remedy all deficiencies. COR will conduct surveillance of Performance Objectives in the Service Summary (SS) monthly. All validated customer complaints will be counted to determine if performance is acceptable or unacceptable based on Performance Threshold criteria in the SS. The SS states the service outcomes expected.

SS Number Performance Objective PWS

Paragraph Performance Threshold

Coordinate TRIRIGA and EEOSH-MIS system with the system administrator to resolve any discrepancies.

1.3.2

No more than 3-4 unresolved discrepancies per month more than 30 days old

Process purchase request for facility projects and work task

1.3.5

PRs processed through CE computer system within two hours

3 Process purchase requests, shop stock requisitions, and hazardous material requirements through SBSS, Contractor Operated Civil Engineer Supply System (COCESS) and local purchase

1.3.8

Within 8 hours of request

4 Ensure all hazardous material is bar-coded prior to issue

1.3.13 All material identified as hazardous has a

bar-code prior to issue 100% of the time

Operate CE material warehouse

1.3.14

Personnel available to issue materials 100% of the time

6 Ensure SDS are on hand for all materials issued

1.4.2 SDS are available to customers 100% of

the time

7 Inventory loaner tools and equipment

1.4.3 Maintain a 98% accuracy of inventory

items and loaned tools

8 Emergency, Contingency, and Special Event Services

1.10

Have no more than 1 unresolved Discrepancies Per Event

9 Contractor shall inform employees of the Government’s Combating in Persons (CTIP) Zero Tolerance Policy

1.15 0 Deficiencies Permitted

Attachment 1 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(SS). All validated customer complaints have been counted to determine if performance is acceptable or unacceptable based on Performance Threshold 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 and customer complaints attached to this report.

Summary of discrepancies:

Comments:

COR Signature block

Attachment 2

Staff Assistance Visit/Self-Inspection Checklist

Unless otherwise noted, all references are from the QASP

YES

NO

N/A

1 Was the QASP reviewed annually? (Section D, Para 10)

Does the Performance Assessment Folder contain all required section items/documentation IAW this QASP? (Section D, Para 12)

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 solicit customer feedback and investigate the validity of any negative comments received? (Section D, Para 9)

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

Is Performance Assessment being documented by COR as it is performed using the Performance Assessment Log? (Section D, Para 12, Section 4)

6 Are monthly reports completed? (Section D, Para 8 and 9)

Does COR conduct surveillance of Performance Objectives in the Services Summary? (Section D, Para 8 and Section E)

COMMENTS:

Attachment 3

Attachment 4 Performance Assessment Folder

Index

Section 1: Appointments

-The following items will be maintained in CORT:

A. COR Appointment Letters(s) B. COR Designation Letters(s) C. COR Management Certificates(s) D. CLC106 Training Certificate(s) E. CLM003 Training Certificate(s) F. CTIP Training Certificate(s) G. Phase I and II Training Certificate(s)

-The following item will be maintained in the physical COR file:

H. 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. Activity Log Supporting Documents

Section 6: Acceptance of Services.

A. Invoices B. Monthly Receiving Reports (WAWF)

Section 7: Unacceptable Performance Documentation

A. Contract Discrepancy Reports (CDRs) DD Form 2772 with all supporting documentation

Section 8: Other Items