Atch_7_AFFSC_QASP.pdf

FA4690-19-R-0001

Attachment 7

AIR FORCE FINANCIAL SERVICES CENTER

Ellsworth Air Force Base, South Dakota

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

For

Travel-Pay Processing Services

Date: 23 October 2017

THIS PAGE IS INTENTIONALLY BLANK

Table of Contents

Section Number and Title Page Number

1.0 General 4

2.0 Methods of Surveillance 4

3.0 Procedures 5

3.A Quality Assurance Schedule 5

3.B Performing Quality Surveillance 5

3.C Unacceptable Performance 6

3.D COR Surveillance Records 6

3.E Certification of Services 7

4.0 Attachments 7

1. GENERAL

A. This Quality Assurance Surveillance Plan (QASP) has been developed to provide a logical and consistent method for monitoring the contractor performance under the AFFSC Contractor Support Services contract. Contracting Officer Representatives (CORs) will use this plan in the performance of their duties.

B. The contract and this QASP are based on the requirement that the contractor, not the government, is responsible for the management and quality control actions necessary to meet the terms of the contract. Surveillance activity performed by the government is intended to provide sufficient assurance to justify acceptance of the contractor’s services.

Based on quality data trends, the frequency and methods of government surveillance may be changed.

C. The QASP contains instructions for evaluating each requirement in the Service Summary

(SS). The QASP 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 QASP identifies a combination of the surveillance methods that adequately assures the government of satisfactory contractor performance.

D. This QASP may be shared with the contractor. This allows the contractor to understand the Government surveillance methods and may facilitate continuous improvement, both for the contractor and the Government.

E. CORs shall be objective, fair, and consistent in evaluating contractor performance against the standards. The Performance Work Statement (PWS) recognizes contractor performance will not be perfect and unforeseen and uncontrollable problems do occur.

Good management and use of an adequate quality control plan will allow the contractor to operate within specified performance requirements.

F. The COR will review this QASP, at a minimum, annually, along with the PWS, for continued applicability of the requirements.

G. COR APPOINTMENT AND TRAINING. A representative of the Air Force Financial

Services Center will be appointed COR for the AFFSC Contractor Support Contract. All CORs will receive training that ensures they are knowledgeable of contract requirements, COR responsibilities, and limitations of the COR’s authority.

2. METHODS OF SURVEILLANCE

A. ONE-HUNDERED PERCENT INSPECTION: This method requires the COR to inspect the service each time it occurs. The results of the overall surveillance will be evaluated to determine acceptability.

B. PERIODIC INSPECTION: This method employs a less statistical approach to inspection, utilizing a “spot check” style of evaluation. It is used for less critical processes, or those with acceptable quality history. Periodic inspection is usually conducted on a scheduled basis (daily, weekly, monthly, quarterly, semi-annual or annually) and may be adjusted, based on quality trends. The results of periodic inspections may be used to justify the implementation of sampling or 100% inspection methods.

C. CUSTOMER COMPLAINT: This method utilizes personnel from other activities to supplement the COR evaluation effort and ascertain if the complaint is valid.

3. PROCEDURES

A. QUALITY ASSURANCE SCHEDULE

1. The COR will develop a monthly surveillance schedule based on this surveillance plan’s requirements. The monthly schedule will be completed no later than the last workday of the preceding month. Copies of the schedule shall be sent to the contract administrator and to the functional commander or designee.

2. The COR shall accomplish inspections in accordance with the schedule. If COR is unable to accomplish inspections as scheduled, a letter or e-mail will be sent to the Contract Administrator detailing the situation.

3. The COR will provide timely notification of schedule changes to the Contract

Administrator.

B. PERFORMING QUALITY SURVEILLANCE

1. The COR must inspect by watching actual task performance, physically checking an attribute of the completed task, checking a management information report, or otherwise inspecting the task or its results to determine whether or not performance meets the standards contained in the contract.

2. Record the results of the inspection on the Quality Assurance Surveillance Record

(attachment to this QAP Plan). These documents then become the official Air Force record of the contractor’s performance.

3. When a surveillance observation indicates unacceptable performance, it must be recorded on the Quality Assurance Surveillance Record (QASR). If more room is necessary to record the specific details of the unacceptable performance, the reverse of the QASR or another piece of paper may be used.

4. During the month, the COR may receive customer complaints about the quality of the service or may observe unacceptable performance by the contractor, other than during a scheduled inspection. These complaints and observations will be documented and referred to the contractor for correction.

C. UNACCEPTABLE PERFORMANCE

1. When performance is determined unacceptable, the COR must inform the contractor’s on-site representative that performance is unacceptable and why, and request his or her initials and date on the surveillance form. By initialing and dating the form, the contractor’s on-site representative is acknowledging that he or she has been told of the unacceptable performance. He or she is not necessarily agreeing that the performance is unacceptable. If the contractor chooses to dispute the results of surveillance, the COR must refer the matter to the contracting officer.

2. If, at any time during the performance period, the results of a surveillance show that the contractor’s performance does not meet the Performance Standard, has not been or cannot be satisfactorily re-performed, and the COR determines that it is not government caused, the COR will initiate a Contract Discrepancy Report (CDR), AF Form 714, Customer Complaint Record; and submit it, with the checklist recording the unacceptable performance, to the contract administrator. All CDRs will be provided to the contracting officer as soon as possible

D. COR SURVEILLANCE RECORDS

1. A Quality Assurance File will be established and maintained by the COR for this contract. As a minimum, the file will contain the following:

a. A copy of the contract, including delivery orders and modifications.

b. MP5301.602-2(d) Designation, Assignment, and Responsibilities of a Contracting

Officer’s Representative (COR)

c. Quality Assurance Surveillance Plan (QASP)

d. Contractor Quality Control Plan (QCP)

e. Contract-related correspondence

f. Surveillance Schedules

g. Surveillance records (QASR) and associated documentation

h. Nonconformance Reports (CDR) or Customer Complaint Record

i. COR nomination by the Functional Commander Letter, Duties and responsibilities appointment letter signed by CO, and a copy of the letter to the contractor of COR assignment (includes responsibilities and limitations) signed by the CO.

j. Documentation of completion of Phase I and Phase II training.

k. Performance Work Statement (with Appendix B)

l. Receiving Reports/Acceptance of Service

2. Surveillance records must contain the following information:

a. Description of inspection, including acceptance criteria

b. Number of units inspected

c. Number and types of defects

d. Corrective actions taken

e. Identification of person performing inspection

f. Date of inspection

E. CERTIFICATION OF SERVICES

1. The COR is required to promptly certify acceptable contractor services. Within 5 workdays after completion of each contract payment period (month), the COR must certify the services actually received under the contract. The COR will complete and submit receiving report using Wide Area Workflow and deliver a copy to AFFSC Resource Advisor and to the 28th CONS Contract Administer.

2. A copy of the receiving report, along with a copy of the Quality Assurance Surveillance

Records and Monthly Summary, will be provided to the Contract Administrator within 5 workdays after completion of each contract payment period. The COR will maintain supporting surveillance records in the COR file.

4. ATTACHMENTS

The following attachments are used with this surveillance plan:

Attachment 1: Service Summary (from PWS) Including Method of Surveillance Attachment 2: Monthly Performance Evaluation Summary (locally developed) Attachment 3: Corrective Action Report (CAR) Attachment 4: Customer Complaint Record

Attachment 1:

SERVICE SUMMARY (SS)

SS # PERFORMANCE

OBJECTIVE

PWS

PARA

PERFORMANCE

THRESHOLD

METHOD OF

SURVEILLANCE

1 Process Vouchers (Production) (Individual

FST)

2.0 Minimum 20 vouchers per

work day, per FST, on avg based on number of workdays per month

Monthly, 100% inspection

FST’s with >120 days of employment will be inspected

2 Process Vouchers (Accuracy)(Individual

FST)

2.0 Minimum of 84%

accuracy or composite productivity score of 16.80 (.84 X 20)

Monthly, 100% inspection

FST’s with >120 days of employment will be inspected

3 Balance Travel Accounting Transactions

2.0 Daily Monthly, 100% inspection

FST’s with >120 days of employment will be inspected

4 Provide qualified people at POP start and maintained qualified personnel

2.1 Qualified personnel are on

the job at POP Start

At start of contract, 100% inspection

5 Replacement/substitute personnel

2.1 Submit e-QIP security

clearance documentation to AFFSC Security Manager within fourteen

(14) calendar days of vacancy provided the departing contractor gave proper two (2) weeks notification. If not given, submit e-QIP security clearance documentation to AFFSC Security

Manager within twenty-one (21) calendar days

Monthly, 100% inspection

Attachment 2:

Monthly Performance Evaluation Summary

Contract:

For:

Date:

1. Company Name:

2. QAP Name:

3. Ratings:

a. Quality of Service:

Schedule:

Business Relations:

Management of Key Personnel:

b. Other Areas:

Overall Assessment:

Instructions for assigning ratings. Use specific examples whenever possible.

Evaluation Areas. Evaluate each area based on the following criteria:

Each area assessment must be based on objective data. In addition to QAP data, facts to support specific areas of evaluation must be requested from the contracting officer and other government specialists familiar with the contractor's performance on the contract under review. Such specialists may, for example include the end user for the program and may also, be from engineering, manufacturing, quality, logistics (including provisioning), contract administration services, maintenance, security, etc.

The amount of risk inherent in the effort should be recognized as a significant factor and taken into account when assessing the contractor's performance. When a contractor identifies significant technical risk and takes action to abate those risks, the effectiveness of these actions should be included in the narrative supporting the ratings.

The Monthly Evaluation is designed to assess prime contractor performance. However, in those evaluation areas where subcontractor actions have significantly influenced the prime contractor's performance in a negative or positive way, record the subcontractor actions in block f. Other Areas.

Evaluate all areas which pertain to the contract under evaluation, unless they are not applicable - "N/A".

When performance has changed from one period to another such that a change in rating results, the narrative in block f., Other Areas must address each change.

The QAP should use customary industry quantitative measures where they are applicable if the contract is for commercial products.

Ratings will be in accordance with the definitions described below

• 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.

• 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 effective.

• 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.

• 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.

• 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 a serious problem(s) for which the contractor's corrective actions appear or were ineffective.

NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change the assessment status.

NOTE 2: N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation.

NOTE 3: All of the following areas (except when c. does not apply) must be rated.

Block a. - Quality of Product or Service. Assess the contractor's conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety and health standards). For example: Are reports/data accurate? Does the product or service provided meet the specifications of the contract? Does the contractor's work measure up to commonly accepted technical or professional standards? Assess the degree of Government technical direction required to solve problems that arise during performance.

• For Operations Support (IE AFFSC): Assess how successfully the contractor meets program quality objectives such as productivity, reliability, maintainability and inspect-ability. The assessing official must be flexible in how contractor success is measured; e.g., using data from field reliability and maintainability and failure reports, user comments and acceptance rates, and scrap and rework rates. These quantitative indicators may be useful later, for example, in source selection evaluations, in demonstrating continuous improvement, quality and reliability leadership that reflects progress in total quality management. Assess the contractor's control of the overall production process to include material control, shop planning and control, and status.

Block b. - Schedule. Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements.

• This assessment of the contractor's adherence to the required delivery schedule should include the contractor's efforts during the assessment period that contribute to or effect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems that may have resulted in variance to the contract schedule and should therefore be noted in the evaluation.

Block c. - Cost Control (Not required for Firm Fixed Price or Firm Fixed Price with Economic Price Adjustment). Assess the contractor's effectiveness in forecasting, managing, and controlling contract cost.

May be assessed if there was a cost savings accomplished by the contractor to the government’s benefit.

• For example, does the contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the contractor's budgetary internal controls adequate?

Block d. - 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, proposal submittals, the contractor's history of reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts. In conjunction with the contract administrator, assess whether the contractor met small/small disadvantaged, women-owned, Historically Underutilized Business Zones (HUB Zones), veteran-owned, and service disabled veteran-owned business participation goals in the use of sub-contractors.

• Is the contractor oriented toward the customer? Is interaction between the contractor and the government satisfactory, or does it need improvement? Timely award and management of subcontractors should include subcontract costs and problem resolution. Also, in making the assessment, include the adequacy of the contractor's accounting, billing, and estimating systems; and the contractor's management of Government Furnished Property (GFP), if a substantial amount of GFP has been provided to the contractor under the contract.

https://199.208.242.232/CPARSPS/SilverStream/Pages/#top

Block e. - Management of Key Personnel (For Services Contracts and Information Technology Business Sectors only - Not Applicable to Operations Support {AFFSC}). Assess the contractor's performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

• For example, how well did the contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

Block f. - Other Areas. Specify additional evaluation areas that are unique to the contract, or that cannot be captured elsewhere on the form. More than one type of entry may be included, but should be separately labeled.

If the contract contains an award fee provision, enter "award fee" in the "Other Areas" block (f.). The QAP should translate the award fee earned to adjective ratings, which could prove more useful for using past performance to assess future performance risk in upcoming source selections. If award fee information is included in the Monthly Evaluation, use block f. to provide a description for each award fee. Include the scope of the award fee by describing the extent to which it covers the total range of contract performance activities, or is restricted to certain elements of the contract. NOTE: Accomplished in the period of award fee assessment. IE Monthly, Quarterly, or whatever time period applies.

If any other type of contract incentive is included in the contract (excluding contract share line incentives on fixed price or cost-type contracts), it should be reported in a manner similar to the procedures described above for award fee.

Use f. in those instances where the QAP believes strongly, either positively or negatively, regarding an aspect of the contractor's performance, but cannot fit that aspect into any of the other blocks on the form.

Attachment 3:

CORRECTIVE ACTION REPORT (CAR)

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

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTANCE REJECTION

12. CLOSE DATE

Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

Block 5. Enter the assigned suspense date given the contractor to provide a response to the CAR. A date must be entered for a Major CAR. A date is optional at the discretion of the Contracting Officer’s representative (COR) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director is the Issuing Authority for his/her contract Quality Assurance Evaluators (CORs) generating CARs. By providing the control number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding.

The control number will be made up of the first two letters of the name of the site or contract, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding. See Quality Assurance Surveillance Plan (QASP), paragraph 6.1.4, for the definitions of Major and Minor findings and associated explanations.

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

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

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires a greater amount of time to come to solution.

Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract CORs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9.

Each annotates the date at the time of signature.

Block 10. Upon review of the contractor’s reply, the originator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The COR selects Accept or Reject after reviewing the contractor’s response.

Block 12. The COR enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the contractor and report accordingly in the monthly Certificate of Service (COS) or other applicable contracting officer services report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the Issuing Authority forwards the open CAR back to the contractor for additional information.

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

Attachment 4:

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:

Attachment 4: