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 – Contractor's Quality Control Plan

Section 4 – Contract Management

Part 2

Section 5 – Service Summary (This part will be included in the contract, PWS Section 2)

Section 6 – Assessment Procedures

Section 7 – Unacceptable Performance

Section 8 – Certification / Acceptance of Service

Part 1

SECTION 1.0.

PURPOSE

1.1. This Quality Assurance Surveillance Plan (QASP) 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, Acquisition of Services with respect to the Government’s quality assurance requirements.

1.2. This QASP 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 result the multi-functional team is striving to achieve in managing the acquisition is to assure EMCS services are available 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: EMCS maintenance services to industrial customers on Grand Forks Air Force Base in accordance with all local, state, federal, and GFAFB directives, with minimal customer complaints.

1.4. This QASP describes the method(s) used to evaluate contractor provided services in meeting performance objectives and performance thresholds. Contracting Officer Representative (COR) will use random 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 QASP 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.

1.7 Trafficking in Persons

1.7.1 The Contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons.

Additional information about Trafficking in Persons 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

1.7.2 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

SECTION 2.0.

ROLES AND RESPONSIBILITIES OF THE MULTI-FUNCTIONAL TEAM

Key Management Principals:

Contracting Flight Commander 319 CONF/CC Contracting Officer (CO) 319 CONF/LGCA Contract Administrator (CA) 319 CONF/LGCA Functional Commander/Director (FC/FD) 319 CES/CEO Contracting Officer Representative (COR) 319 CES/CEOIH Quality Assurance Program Coordinator (QAPC) 319 CONF/LGCP

2.1. 319th 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 Commander/Functional Director (FC/FD)

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.

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.

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 FC/FD 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, and the 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.

SECTION 3.0.

CONTRACTOR’S QUALITY CONTROL PLAN

3.1 RESERVED

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 CPARS reporting. Assessment results will be used to track the 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 database 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/FD, the CO’s Letter of Delegation to the COR, CO notification to the contractor of COR assignment, QAPC/CO led 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.

e. Unacceptable Performance Documentation. A section used for filing all documentation associated with contract quality assurance correspondence, the CO's inputs/determinations, cure notices, show cause letters with all supporting documentation.

f. Acceptance and Funding Issues. A copy of the Service Contractor Monthly Satisfaction Survey (SCMSS) will be maintained in this section. This is also the location to maintain AF Forms 9, 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/Continuous 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.

4.1.2. The contractor shall maintain and implement a quality control plan to ensure the contract services conform to the requirements of the PWS. COR may monitor the 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 (CA) Plan. This CA Plan will be created at the same time as the award and will be filed in the contract file. This plan will outline the inspections schedule of the COR and frequency of the MFT meeting and PPM.

PART 2

SECTION 5.0.

SERVICE SUMMARY (SS) AND METHOD OF ASSESSMENT

Performance Objective PWS Para Performance Threshold Inspection Method

Maintain EMCS Equipment.

Comfort levels (temperatures, humidity, etc. according to set points) maintained. Energy goals are met. Metrics are maintained on system efficiencies. All systems are balanced. System is fully operational. System defects are identified for timely repair.

Normal Service Calls.

Maintain and repair to correct the failure or the faulty operation of any non-critical part of the system.

Emergency Service Calls.

Maintain and repair to correct failure or faulty operation of any critical part of the system referenced in attachment 1.

Software and Controller Maintenance Clean, adjust, update revisions, and calibrate program, software, controllers, sensors, actuators and other control equipment.

Update data files and program chips to reflect changes.

Replace any malfunctioning, damaged or worn parts of the control equipment.

1.1.

1.4.1 1.6.2

1.4.2 1.6.2

1.4.3

EBI downtime shall not exceed twenty four (24) hours during the month.

Technician shall arrive on job site within one (1) working day, twenty four

(24) hours after notification.

Report shall be provided to the COR within 5 working days after the completion of all service calls.

Technician shall arrive on jobsite within two (2) clock hours of notification.

Report shall be provided to the COR within 5 working days after the completion of all service calls.

Every six (6) months as a minimum. The contractor shall provide a written or electronically transmittable report of all changes performed under the recurring maintenance.

COR inspection and contractor service reports submitted within 3 working days.

reports submitted within 3 working days.

reports reports

SECTION 6.0

ASSESSMENT PROCEDURES

6.1. Assessment Schedule. N/A

6.2. Reserved

6.3. Surveillance Methods

6.3.1. Customer Complaints. Customer will be directed to CE customer service. The contractor shall ensure complaint procedures are made available to all customers. 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.

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

6.3.2. Random Inspection/Surveillance. The COR will periodically assess the contractor’s performance by either watching actual performance, physically checking an attribute of the completed task, or inspecting the task or its results to determine whether the performance meets the standard contained in the contract. The COR will evaluate and document the contractor’s performance using locally developed checklists.

6.4. Surveillance of Non-SS Items. The Government has the right to inspect all services called for by the contract, to the extent practicable, at all times and places during the term of the contract. Therefore, COR have the right to conduct surveillance for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in section 7.0 of this QASP, entitled Unacceptable Performance.

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

COR shall submit a monthly satisfaction survey to the CO and FC/FD within 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 the 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 a 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 6.5 above, using one of the following ratings in their narrative summary.

The criteria for each rating are reflected below:

RATING #

(5) Exceptional. Performance meets contractual requirements and exceeds many to the government's 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 government's 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.

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 re-performance 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.

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. Decrease the invoice as stated in the PWS related to performance, or

7.3.1.3.3. Terminate the contract.

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 within 7 days of receipt of a valid invoice.

INDEX OF APPENDICES

Appendix 1, Service Contract Monthly Satisfaction Survey (SCMSS) Appendix 2, Customer Complaint Form, optional

Appendix 1

SERVICE CONTRACTOR MONTHLY SATISFACTION SURVEY

SUBJECT: SERVICE CONTRACTOR 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:

Contracting Officer Representative Functional Commander

Contracting Officer