5._Quality_Assurance_Surveillance_Plan_(QASP).pdf

TABLE OF CONTENTS

Part 1

Section 1 – Purpose

Section 2 – Roles and Responsibilities of the Multi-Functional Team

Section 3 – Contractors Quality Control Plan

Section 4 – Contract Management

Part 2 - (This part will be included in the contract, PWS Section 2).

Section 5 – Service Summary

Section 6 – Assessment Procedures

Section 7 – Unacceptable Performance

Section 8 – Certification / Acceptance of Service

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Part 1

SECTION 1.0.

PURPOSE

1.1. This Quality Assurance Surveillance Plan has been developed to provide an effective and systematic method to evaluate contractor provided services as required by the terms and conditions of the contract. This QASP implements the requirements of Air Force Instruction 63-138, Chapter 6 Performance Based Service Acquisitions (PBSA), with respect to the Government’s quality assurance requirements.

1.2. This Quality Assurance Surveillance Plan is based on the premise that the

Contractor is responsible for contract management and quality control, not the Government. The Government’s objective in having the service provided is to ensure services at Grand Forks AFB are accomplished in accordance with the Performance Work Statement (PWS). The results of the multi-functional team is striving to achieve in managing the acquisition is to assure grounds maintenance services meet the stated qualifications and are available to provide services according to Air Force needs. A contract to provide the service is the best means of achieving this objective and results.

1.3. Success for this contract is defined as: Minimal customer complaints and provides grounds maintenance services customers in accordance with all state, federal and GFAFB directives.

1.4. This Quality Assurance Surveillance Plan describes the method(s) used to evaluate contractor provided services in meeting performance objectives and performance thresholds. Contracting Officer Representative (COR) will use periodic assessment and customer complaint assessment methods to evaluate the contractor’s performance. The assessment procedures identified in this QASP, in concert with active application of the contractor’s quality control procedures, are intended to ensure acceptable contractor performance.

1.5. The role of Government quality assurance is to ensure contract standards are achieved. In conducting assessment, COR are to be objective, fair, and consistent in evaluating contractor performance against the performance standards.

1.6. This Quality Assurance Surveillance Plan is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of contractor performance is maintained.

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SECTION 2.0.

ROLES AND RESPONSIBILITIES OF THE MULTI-FUNCTIONAL TEAM

Key Management Principals:

Contracting Flight Commander 319 CONF/CC Contracting Officer 319 CONF/LGCA Contract Administrator/Buyer 319 CONF/LGC A Functional Commander 319 CES/CEO Quality Assurance Personnel 319 CES/CEOSS Quality Assurance Program Coord. 319 CONF/LGCP

2.1. 319 Contracting Flight

2.1.1. Provides comprehensive contract administration, management, and oversight.

2.1.2. Provides oversight for COR training program.

2.1.3. Collects assessment inputs from COR.

2.1.4. Provides annual status on contract performance.

2.2. Contracting Flight Commander

2.2.1. Provides oversight of the multi-functional team in planning, assessing contractor performance, and managing the acquisition throughout the life of the requirement.

2.2.2. Updates the Wing Commander, Group Commanders, and other

Headquarters Directors, to include providing annual reports on the status of their service acquisitions.

2.3. Functional Director/Functional Commander (FD/FC)

2.3.1. Ensures requirements documents developed by the multi-functional team satisfy mission requirements, are performance-based, foster innovation, and define metrics. Prepares PWS and QASP and obtains Contracting Officer coordination on the final product.

2.3.2. Nominates qualified individuals as COR. Ensures all personnel within the functional area who may have contact with contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

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2.4. Contracting Officer/Contract Specialist

2.4.1. Ensures open communication is maintained between all parties, pre- and post-award.

2.4.2. Delegates authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract.

2.4.3. Informs the contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

2.4.4. Periodically assesses the COR performance, not less than quarterly, and advises the QAPC of any problems.

2.4.5. Manages contractor performance assessment data, including submitting Contractor Performance Assessment Reporting System (CPARS) reports.

2.4.6. Issues contract modifications as necessary.

2.4.7. Takes appropriate action should unacceptable contract performance occur.

2.5. Contracting Officer Representative

2.5.1. Develops technical requirements and independent cost/government estimates for contracted services.

2.5.2. Evaluates and documents the contractor’s performance in accordance with the procedures set forth in this QASP.

2.5.3. Immediately notifies the Contracting Officer of any significant performance deficiencies.

2.5.4. Maintains assessment documentation throughout the life of the contract.

2.5.5. Certifies acceptance of services.

2.5.6. Promotes business decisions to meet customer requirements by researching the marketplace to remain current with the most efficient and effective performance assessment methods and techniques. Performs market research throughout the life of the requirement to ensure the team is knowledgeable of the commercial marketplace.

2.5.7. Fosters partnerships with industry to ensure exchanges of information with the service industry and other business experts.

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2.5.8. Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

2.5.9. Recommends any changes necessary to the contract, PWS, QASP, or other requirements to provide more effective operations or eliminate unnecessary costs.

2.6. Quality Assurance Program Coordinator

2.6.1. Coordinates all aspects of the quality assurance program

2.6.2. Participates in the Multi-Functional Team.

2.6.3. Reviews and coordinates all PWS and QASP.

2.6.4. Provides training for the FD/FC and all COR.

2.6.5. Reviews and coordinates on all changes to the PWS and QASP.

2.7. Contractor

2.7.1. Complies fully with the terms and conditions of the contract.

2.7.2. Participates as a member of the multi-functional team in the post-award management phase.

2.7.3. Maintains and implements a Quality Control Plan (QCP) that compliments the QASP.

2.7.4. Ensures that non-conforming contract services are identified, and corrected.

QCP is revised to prevent recurrences.

2.7.5. Tenders to the Government for acceptance only those services that conform to contract requirements.

2.7.6. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

2.7.7 Trafficking in Persons

2.7.7.1 The Contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons. Additional information about Trafficking in Persons

4/30/2014 6 can be found at the site for the Department of State’s Office to Monitor and Combat Trafficking in Persons below. http://www.state.gov/j/tip

2.7.7.2 In accordance with the Department of Defense COR Handbook section on Combating Trafficking in Persons, the COR must inform the Contracting Officer if the contractor, contractor personnel, subcontractor, or subcontractor personnel fail to comply with the requirements of FAR

52.222.50. The Contracting Officer shall provide information for any investigation and enforcement to:

Program Manager

DoD CTIP Law Enforcement and Support

OUSD (P&R) DHRA

4800 Mark Center Dr Suite 06J25-01

Alexandria, VA 22350-4000

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SECTION 3.0.

CONTRACTOR’S QUALITY CONTROL PLAN

3.1 RESERVED

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SECTION 4.0.

CONTRACT MANAGEMENT

4.1 The multi-functional team shall utilize the following approaches, methods, and tools to manage the contract upon award:

4.1.1 COR shall conduct, document, track, and analyze contractor performance via assessments and customer complaints. The assessment results shall be maintained as Past Performance Information and utilized to prepare and support annual Contractor Performance Assessment Report System (CPARS) reporting.

Assessment results will be used to track Contractor’s overall compliance with contract terms and conditions.

4.1.1.1 COR FILE. A contract file must be established and maintained by the COR assigned to the contract. The file is typically contained in hard-copy, but may be maintained in a computer data base provided there is adequate back up of the data to preclude accidental loss. Any computer maintained documents must be readily available for inspection by the contracting office and possible audits. All contract documents must be maintained for the life of the contract and turned in to the contracting office upon contract expiration, including all computer maintained documents. The contract file must contain as a minimum, the following documents and be set up utilizing an index:

a. Appointments. COR assignment letters by the FC, the CO’s Letter of

Delegation to the COR, CO notification to the contactor of COR assignment, Phase I & II training certificates.

b. Contract Documents. The Contract with all modifications (modifications to be posted to the contract), directive document references, maps, pertinent terms defined by the contract, equipment listings, QASP.

c. Surveillance Documentation. All surveillance inspections performed must be documented by the COR and maintained in this section. Any customer complaint training and all customer complaints and resolution thereof will be maintained in this section. Other information that may be included are details of inspections or data gathering, conversations or meetings with the contractor, notes and comments that support the inspection paperwork.

d. Meeting Minutes: Copies of all MFT and Periodic Progress Meeting minutes (PPM)

e. Unacceptable Performance. Documentation. A section used for filing all documentation associated with contract quality assurance

4/30/2014 9 correspondence, the COs inputs/determinations, Cure notices, Show Cause with all supporting documentation.

f. Acceptance and Funding Issues. A copy of the Service Contractor Monthly Satisfaction Survey will be maintained in this section. This is also the location to maintain AF9s, delivery orders, funding issues etc.

g. Reports/Submittals. Contractor reports/submittals as directed by the

PWS.

h. Correspondence. Any other documentation that does not fall into sections listed above.

i. Lessons Learned/Continues Improvement Opportunity. Document here any areas that you determine need to be changed/amended in future contracts, i.e. accountability issues, better description of work hours, cost and performance constraints…….See Appendix CIO

4.1.2 The contractor shall maintain and implement a quality control plan to ensure the contract services conform to the requirements of the performance work statement. COR may monitor contractor’s performance against the contractor’s quality control plan.

4.2 Periodic Progress Meetings (PPM): The multi-functional team shall conduct periodic progress meetings, not less than Semi Annually, to review the contractor’s performance. At these meetings the Contracting Officer will apprise the contractor of how the Government views the contractor’s performance and the contractor will apprise the Government of problems, if any, being experienced. The contractor will also notify the Contracting Officer, in writing, of any work being performed, if any, that the contractor considers over and above the requirements of the contract.

Appropriate action shall be taken to resolve any outstanding issues.

4.3 Contract Administrator Responsibilities: These responsibilities will be outlined in a separate Contract Administrator Plan. This CA Plan will be created at the same time as the award and will be filed in the contract. This plan will outline the inspections schedule of the COR and frequency of the MFT and PPM.

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PART 2

SECTION 5.0.

SERVICE SUMMARY (SS) AND METHOD OF ASSESSMENT

PERFORMANCE

OBJECTIVE PWS PARA. PERFORMANCE

THRESHOLD REMEDY METHOD OF

ASSESSMENT

Performance Objective PWS Para Performance

Threshold Remedy Method of

Assessment

SDS-1

a. Maintain Improved Grounds.

b. Maintain Semi-improved Grounds (BASH area included)

Paras. 1.1.,

1.2 & 1.3, Inclusive

No more than five (5) valid defects per month

Re-performance Within in 8 hours of notification.

Periodic Validation

SDS-2

Maintain Unimproved Grounds

Para. 1.3

No more than zero (0) defects per month

Re-performance Within in one day or a mutually acceptable timeframe to CO, COR or contractor

SDS-3

a. Mowing Golf Course

b. Snow & Ice Removal

Para. 1.1.11

Para. 1.6.

No more than 3 valid complaints for each month.

Re-performance Within in 4 hours of notification.

Customer Complaint, Random Surveillance and Periodic Validation

SDS-5

Quality Control.

Contractor’s quality control plan (incorporated into contract after award)

Para. 2.1.

Periodic

Contractor shall complete a written Corrective Action Report

Periodic Validation

SDS-6

Reports and Records Submittals.

Para. 4.17.1.

100% of required reports and records must be submitted on time and accurate.

Contractor shall submit reports within 2 hours of CO or COR’s request.

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SECTION 6.0

ASSESSMENT PROCEDURES

6.1 Assessment Schedule. If accomplished by customer assess Schedule is N/A

6.2 Reserved

6.3 Customer Complaints. Contractor shall ensure complaint procedures are made available to all customers. Any personnel that observe questionable services, incomplete, not performed, or performed improperly, should immediately contact the contractor at the published customer complaint phone number. The contractor shall receive, document, and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the complainant and explain why the complaint was invalid. The contractor shall fully document the resolution for each complaint on the Customer Complaint Record. If the Contractor challenges the validity of any complaint, and the COR and contractor cannot come to agreement, the complaint in question shall be forwarded to the Contracting Officer for resolution. Complaints will be tracked and if the performance threshold is exceeded, the COR shall notify the Contracting Officer in writing. The Contracting Officer will notify the contractor and appropriate action can be taken.

6.3.1 Customer Complaint Training: Contractor shall provide customer complaint procedures/training to base populace.

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6.4 Service Contract Monthly Satisfaction Survey. (SCMSS) (Appendix 1).

COR shall submit a monthly satisfaction survey (Sat survey) to the CO and FC/FD no later than the first week (3 business days) of the month following the assessed month. The report shall identify the number of unacceptable performances observed, the number of Customer Complaints issued, any significant contractor performance discrepancies, and a rating of the Contractor’s overall performance.

The report shall be signed and dated by the COR and FC/FD and a copy provided to the CO. Elements included in the SCMSS are:

(1) Promptness of Service. Assess the timeliness of the contractor’s performance against contract requirements.

(2) Quality of Service. Assess the contractor’s conformance to contract requirements and standards of good workmanship (i.e. commonly accepted technical, professional, environmental or safety standards).

3) Courtesy/Cooperation by Contractor Personnel. Are open lines of communication maintained? Are contractor personnel courteous in dealing with customers and government representatives? Are problems resolved at the lowest level when possible?

4. Response to Defective Notices and Customer Complaints. Does contractor respond timely to customer complaints and provide satisfactory resolution? Are COR directed re-performances accomplished within the allowed time frames?

5. Overall Satisfaction with the Service Received. Provide rating as to the contractor’s ability to meet overall contract performance for the month.

(6) Candid Comments. Provide comments to support lower ratings, comments to support exceptional ratings, etc.

Performance Rating. The ratings used for the SCMSS are described by one of the following five adjectives: 5 = Exceptional, 4= Very Good, 3= Satisfactory, 2= Marginal and 1=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 in paragraph b above, using one of the following ratings in their narrative summary. The criteria for each rating are reflected below:

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RATING #

(5) Exceptional. Performance meets contractual requirements and *exceeds many to the governments benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

(4) Very Good. Performance meets contractual requirements and *exceeds some to the governments benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were highly effective.

(3) Satisfactory. Performance *meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

(2) Marginal. Performance *does not meet some contractual requirements. The contractual performance of the element or sub-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.

(1) Unsatisfactory. Performance *does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

*Key Guidance to Ratings

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SECTION 7.0.

UNACCEPTABLE PERFORMANCE

7.1 Unacceptable Performance

7.1.1 When the contractor’s performance is deemed unacceptable, COR will determine the cause of the unacceptable performance. If any Government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the contractor. The COR will take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. The COR will completely document the circumstance.

7.1.2 When the unacceptable performance is not the result of Government action, or lack of action, COR shall promptly notify the contractor and to take corrective action. COR shall direct the contractor to re-perform the service, if possible, without additional cost to the Government. If reperformance is satisfactory no complaint will be issued. If the contractor challenges the validity of the COR’s unacceptable assessment finding, and the COR and contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution.

7.2 Contracting Officer Notification.

7.2.1 Major Finding. If at any time COR identify a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR shall document their findings and notify the Contracting Officer immediately in writing. Email is acceptable.

7.2.1.1 Contractor failure to meet a Performance Threshold.

7.2.1.2 Failure to provide adequate corrective action to preclude reoccurrence of

Government identified findings.

7.2.1.3 Failure to provide corrective action to deficiencies identified by the contractor within a prescribed suspense period.

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

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7.2.2 Minor Finding. A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR shall document the findings, but is not required to notify the Contracting Officer.

However, if the same minor finding is identified two months in a row, it may be an indication that a major finding is occurring or has occurred because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing. Email is acceptable

7.3 Remedies for Unacceptable Performance.

7.3.1 In accordance with the contract Inspection of Services clause, if any of the services do not conform to contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of Contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may:

7.3.1.1 Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

7.3.1.2 Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

7.3.1.3 If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may

7.3.1.3.1 By contract or otherwise, perform the services and charge to the

Contractor any cost incurred by the Government that is directly related to the performance of such service; or

7.3.1.3.2 Decrement invoice as stated in the PWS related to performance; or

7.3.1.3.3 Terminate the contract.

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SECTION 8.0.

CERTIFICATION/ACCEPTANCE OF SERVICES

8.1 COR will certify receipt of acceptable contractor services each month. The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract. The COR will certify receipt of contractor services via the Wide Area Workflow (WAWF) website. Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties.

COR are responsible for obtaining, scheduling, and completing WAWF training from the base Accounting and Finance Office.

INDEX OF APPENDICES

Appendix 1, Service Contract Monthly Satisfaction Survey Appendix 2, Customer Complaint Form, optional Appendix 3, CIO, Continuous Improvement Opportunity

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Appendix 1

SERVICE CONTRACT MONTHLY SATISFACTION SURVEY

SUBJECT: SERVICE CONTRACT MONTHLY SATISFACTION SURVEY

CONTRACT #: ____________________ SERVICE: _______________________

MONTH/YEAR: ____________________

Number of unacceptable performances observed ______________ Number of valid customer complaints ______________

General Contractor Satisfaction Promptness of the Service 5 4 3 2 1

Quality of the Service 5 4 3 2 1 Courtesy/Cooperation by Contractor Personnel 5 4 3 2 1 Response to Defective Notices and Customer Complaints 5 4 3 2 1

Overall Satisfaction with the Service Received 5 4 3 2 1

NOTE: 5=Exceptional, 4=Very Good, 3=Satisfactory, 2=Marginal, 1=Unsatisfactory

YOUR CANDID COMMENTS:

Quality Assurance Personnel Functional Commander

Contracting Officer

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Appendix 2

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) COMPLAINANT - 1

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Customer Complaint Record Template, Feb 05 (SAF/AQCP) QAE - 2

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

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Customer Complaint Record Template, Feb 05 (SAF/AQCP) CONTRACT ADMINISTRATOR - 4

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CONTINUOUS IMPROVEMENT OPPORTUNITY

(CIO)

1.TO:

2. FROM:

3. CIO #: 4. DATE ISSUED: 5. ACCEPTED: (Y or N)

6. RESPONSE DATE:

7. IMPROVEMENT OPPORTUNITY: (PRO VIDE SUPPORTING DATA)

8. ADOPTED: (Y or N)

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Instructions for completing the CIO

This CIO form is used to document suggested improvements for the following: 1) The contract

2) The Quality Assurance Surveillance Plan (QASP) improvements to the BRAG. 3) To notify the contractor of opportunities for process improvements which could affect cost, schedule or performance.

NOTE: To be effective, deliver the CIO to the proper management/process owner.

COR STEPS

Block 1. To: Enter contract number and title, contractor or organization name, title and phone number of person presented the CIO.

Block 2. From: Enter your name, organization, title and phone number.

Block 3. CIO #: Use the sequential number from your CIO Log.

Block 4. Date Issued: Enter the date the CIO was issued.

Block 5. Accepted: Circle Yes or No. NOTE: File a copy no matter what the response.

Block 6. Response Date: If accepted, conduct a meeting with the party receiving the CIO and negotiate a reasonable date for a response.

Block 7. Improvement Opportunity: List the Improvement Opportunity; remember to provide supporting data that fully explains the CIO. Update the CIO log with the results and maintain the original. Provide a copy to the Contract Officer and Program Manager.

NOTE: Remember, the person receiving the CIO determines whether to accept/act on it. If needed, put in a disclaimer statement i.e., “This information is for your use solely and completely at your discretion and shall not be considered as direction by the United States Government”.

Block 8. IF ADOPTED, State the specifics of the improvement in as much detail as possible. Attach supporting documents if they are provided. IF NOT, Enter “Not Adopted” and file in CIO Log book.

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