Attachment_III_-_FA4890-16-R-8008_QASP_13_Apr_16.pdf

BY ORDER OF THE HQ ACC ACQUISITION

DIRECTOR MANAGEMENT AND

INTEGRATION CENTER

13 April 2016

US Northern Command Mexican Military

Interviewing Courses

FA4890-16-R-8008

Quality Assurance Surveillance Plan

COMPLIANCE WITH THIS DOCUMENT IS MANDATORY

NOTICE: This Document is available in digital format through ACC AMIC/DRQC

OPR: ACC AMIC/DRQC Reviewed by: ACC AMIC/PMT

Clifford E. Searcy Renee Booth

Contract Officer Representative (COR) Program Manager

Accepted by: ACC AMIC/PKD

James Robinson

Contracting Officer

Pages: 14

TABLE OF CONTENTS

Section Page

1.0 SCOPE 3

1.1 Purpose 3

1.2 Application 3

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL 3

2.1 Contract Management Locations 3

2.2 Contract Management Team 3

2.3 Contractor Key Personnel 4

3.0 CONTRACT SURVEILLANCE 4

3.1 Surveillance Methods 4

3.2 Surveillance Documents 5

3.3 Assessing Performance 7

4.0 WIDE AREA WORK FLOW (WAWF) 9

4.1 Validating Receiving Reports 9

4.2 Certifying Receiving Reports 10

4.3 Rejecting Receiving Reports 10

5.0 CONTRACTING OFFICER REPRESENTATIVE (COR) FOLDER 10

TABLES

1 Deliverables 5

2 Services Summary 6

3 Non-conformance Notifications 8

6 COR Folder Tabs and Contents 10

ATTACHMENTS

1 First or Second Notice Template 11

2 Corrective Action Request (CAR) Template 12

3 Surveillance Checklist 13

1.0 SCOPE. The Quality Assurance Surveillance Plan (QASP) is applicable to personnel performing contract surveillance audits in accordance with (IAW) Federal Acquisition

Regulation (FAR) Part 46, Quality Assurance; Department of Defense FAR Supplement

(DFARS) Subpart and PGI 201.602-2 , Contracting Officer Responsibilities; Air Force FAR

Supplement (AFFARS) Mandatory Procedures (MP) 5346-103, Contracting Office

Responsibilities, The Quality Assurance Program; Air Force Instruction (AFI) 63-138

Acquisition of Services, AFI 63-501 Air Force Acquisition Quality Program; and organizational policy. It is designed to provide the Contracting Officer’s Representative (COR) a systematic surveillance method for each service identified in the Performance Work Statement (PWS) for each contract. The COR develop the methods for administering and evaluating contract performance. The Quality Assurance Program Coordinator (QAPC) and Program Manager (PM) or Contracting Manager (CM), will review these methods, which are then accepted or rejected by the Contracting Officer (CO).

1.1 Purpose. This document defines the surveillance policy, procedures, and associated methods used by CORs for planning, preparing, performing, analyzing, and reporting Contractor performance. This QASP provides a systematic surveillance method to evaluate the services received from the Contractor, and NOT to address the details of how the Contractor accomplishes the work.

1.2 Application: This QASP is used by all parties involved with assessing Contractor performance and is for the use of PMs, CMs, CORs and CO. The Contractor may receive a courtesy copy in order to further enhance communications with the Contractor, but shall not considered as part of the contract.

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL.

2.1 The address for Contracting Management is:

ACC AMIC/PKD

11817 Canon Blvd., Ste 306

Newport News VA 23606

2.2 Contracting Management Team.

Contracting Officer (CO). CO duties are detailed in FAR subpart 1.602-2. The CO is the only

Government agents authorized to award or modify contracts; therefore, the CO is the only person authorized to contractually obligate the Government.

The CO (James Robinson) can be reached at DSN: 575-7706 or Commercial 757-225-7706.

2.2.1 Program Manager (PM). The PM assists customers with requirements development and definition, PWS modifications, deficiency resolution, and portfolio management.

The PM (Renee Booth) can be reached at DSN: 575-0955 or Commercial 757-225-0955.

2.2.2 Contracting Officer Representative (COR). The COR is ultimately responsible for implementing all QA matters and procedures. COR(s) should be at a level where other duties don’t prevent proper oversight of Contractor performance. The COR must maintain both technical competency and evaluation proficiency in Contractor surveillance procedures. The

COR cannot assume duties until assigned by the requiring agency, completed COR required training (CO/QAPC and CO led training), and appointed by the CO. The COR assists the CO, CM and PM in managing the overall program and supports customers in developing and adhering to TO-specific QASPs. The COR (Cliff Searcy) can be reached at DSN: 575-2889 or

Commercial 757-225-2889.

2.3 Contractor Key Personnel. TBD

2.3.1 Project Manager. The Contractor’s Project Manager is responsible for the overall execution of the task order. This individual will serve as the focal point for the CO, CM, PM and

COR assigned to the Task Order and may interface with the customer, as needed.

3.0 CONTRACT SURVEILLANCE. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate Contractor performance. The

Contractor, not the Government, is responsible for task order management and Quality Control

(QC) actions to meet the terms of the contract. However, because of the non-commercial nature of the work performed by Contractors, the Government cannot rely solely on the Contractor’s quality program but must have a method to oversee the entire contracting process. The

Government does this through the QASP and can inspect or test all services called for by the contract, to the extent practicable, at all times and places, during the term of the contract. The

COR contribution is comprised of professional, non-adversarial relationships, which include positive and open communications with the CO, PM, and the Contractor. The foundation of this relationship is built upon regular, objective, fair, and consistent COR evaluations of Contractor performance against contract requirements, and the ability to discuss inspection results, trends, and items of mutual interest with the Contractor. The COR uses the methods in this QASP and the PWS to achieve this goal.

3.1 Surveillance Methods. Three primary methods of surveillance are normally used: one hundred percent inspection, periodic audits and customer complaints. Other methods of surveillance must be fully documented and approved by the CO, PM or COR before implementation. Information obtained from these activities may be used to ascertain whether or not Contractor performance is compatible with contract and mission objectives and by the CO for actions relating to the Contractor.

3.1.1 One Hundred Percent Inspection. This method will be used for Contractor submissions, products, and deliverables (tangible items). CORs will use the One Hundred Percent Inspection method to evaluate all reports delivered under paragraph 9.0. The COR in conjunction with the

CO, and PM, accepts or rejects these products based on the criteria and performance standards as outlined in the Services Summary. The COR also documents all results of inspections actions, and subsequent Contractor re-performance tasking, if applicable.

3.2.2 Services Summary. The Services Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the COR will use to validate/inspect these tasks. Inspection of each task will be documented in the COR folder. TABLE 2- Service Summary

Performance

Objective

PWS

Paragraph Performance Threshold Method of Surveillance

Training 3.0 thru 4.0

Performance is acceptable when:

a) Course Material is received within required timelines.

b) All training is completed per the PWS.

c) Training meets all required topics and instructional requirements.

d) Problems related to training encountered are minor and resolved in a satisfactory manner.

USG may complete a baseline assessment of training course against the PWS training requirements to verify contractor compliance. Verification may include USG representative’s physically attending class &

ARNORTH Coordinator feedback.

COR, PM, and/or ARNORTH

Coordinator review of Course

Material to validate training requirements have been met.

Maintain

Instructor(s) skilled in course content

3.0

Performance is acceptable when:

a) Qualified personnel perform training courses, unless previously negotiated by the Contracting Officer with no vacancies occurring during training.

b) Qualified personnel perform training, unless previously negotiated by the Contracting Officer with no vacancies occurring during training events.

COR, PM, and/or ARNORTH

Coordinator shall observe all training event to validate training performance occurred as set forth in paragraph 3.0 thru 4.0 of the

PWS.

Develop and

Submit

Deliverables

4.0 and 9.0

Performance is acceptable when:

a) 100% of deliverable requirements are met with no more than one late or rejected deliverable per course.

b) Critical Information on CDRL is Accurate.

The COR/PM will review deliverable items and validates deliverables are timely, accurate, and complete.

3.2.3 Contractor’s Quality Control Plan (QCP). A Contractor's internal actions, in the form of a QCP, are usually written to satisfy task order requirements for written procedures or to provide direction on how Contractor employees are to perform. Any deviations will be treated as deficiencies/non-conformances and handled IAW paragraph 3.3.3. The COR will review the

QCP IAW requirements of the solicitation and subsequent awarded task order. The COR will forward any deficiencies/non-conformances to the CO and PM for appropriate action.

3.3 Assessing Performance. CORs must document Contractor performance on each contract, as well as the scope and purpose of any inspections. CORs will assess Contractor performance base on contract requirements. The results will be the foundation of the Contractor Performance

Assessment Report (CPAR), which is completed by the PM and CO.

3.3.1 Inspections. The COR may perform inspection/surveillance at any time during contract performance IAW FAR 252.246-2 through 5, as applicable. The COR will retain all audit and inspection documentation until contract closeout, unless otherwise approved by the CO.

3.3.2 Non-conformances and Deficiencies. Audit or Inspection results that fall below contractual standards shall be identified as non-conformances or deficiencies. Non-conformances will be sent to the PM and QAPC/QAM for review. Upon completion of the review, they will be sent to the contractor. The COR will track all non-conformances in the nonconformance log (para 3.3.2.2.3)

3.3.2.1 Types of Non-conformance.

3.3.2.1.1 Minor Non-conformance: A minor non-conformance is a non-conformance, which by itself does not adversely impact mission, safety of personnel and/or equipment, performance

(quality), schedule (delivery), or cost. A minor non-conformance normally does not increase risk to the Government.

3.3.2.1.2 Major Non-conformance: A major non-conformance is a non-conformance that adversely impacts mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A major non-conformance also increases risk to the Government.

An example of increasing risk would be significant number of recurring non-conformances, which indicates inadequate preventive measures or actions, thus lowering the Government’s confidence that quality services will be provided on time and at cost.

3.3.2.2 Non-conformance Notification. If a deficiency is found during inspection of the

Contractor’s performance, the COR will determine the type of notification based on the category of the non-conformance (see Table 3) and pursue non-conformance resolution per paragraph 3.4.

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS

Non-conformance Category Notification Type

Minor

Step 1: First Notice

Step 2: Second Notice

Major Corrective Action Request (CAR)

3.3.2.2.1 First or Second Notices (see Attachment 1). As shown in Table 3, First and Second

Notices provide written notification from the Government to the Contractor of minor non-conformances. Initial minor non-conformances should be addressed with a First Notice to the applicable Contractor representative. The COR will initially send the notice to the PM and

QAPC/QAM for review, once approved it will be sent to the Contractor for action. The First and

Second notices will be issued with a suspense date for the contractors reply. If the Contractor fails to respond by the specified due date, the COR will notify the PM and QAPC/QAM for action. If the Contractor fails to resolve the issue as documented in the Notice, the COR should elevate the issue to the next level (Second Notice or CAR). Corrective/preventive actions initiated and/or completed by the Contractor will be verified by CORs on the scheduled inspection and documented accordingly.

3.3.2.2.2 Corrective Action Requests (CAR) (see Attachment 2). As shown in Table 3, a CAR provides written notification from the Government to the Contractor of significant performance discrepancies. The COR will recommend to the PM and QAPC/QAM that a CAR be issued when previous notifications failed to result in corrective actions or when severe deficiencies exist. If a CAR is deemed necessary, the COR will draft the CAR and provide it to the PM and

QAPC/QAM for review. Once the review is final, the CAR will be sent to the CO. The CAR will be routed NLT ten duty days after the event to the CO for review and signature, as the CO is the only person who has authority to issue a CAR to the Contractor.

3.3.2.2.2.1 To satisfactorily close-out a CAR, the following criteria must be met: the

Contractor must meet the suspense; the corrective action must have already begun; and the

Contractor's actions must correct the deficiency and if applicable, be within specified standards.

3.3.2.2.2.2 If the corrective action is deemed UNSATISFACTORY by the COR and PM, the

COR will annotate the CAR with a brief explanation, including an *estimate of the Government's loss due to the deficient performance (if applicable) and forward it to the PM for review. Once the review is complete, the CAR will be sent to the CO for action.

*The estimate may account for loss or destruction of property, supplies, or equipment, and hours lost to re-perform the task. If the task cannot be re-performed, indicate the number of hours it ordinarily would have taken to do the task, if known.

3.3.2.2.3 The COR will maintain a non-conformance log documenting all First and Second

Notices and CARs. Please review the log for required fields. If a field header has a red triangle in it, click on the triangle and instructions will be provided. The COR log is maintained in the

PMT file plan.

3.3.3 Services Summary Reporting. CORs will perform services summary inspections

(Table 2) a minimum of as described in paragraph 3.3.

3.3.4 COR Report. A report will be provided based on the SS requirements. CDRLs will be reviewed IAW due dates, and the QCP will be reviewed upon delivery and then QC activities will be reviewed monthly upon receipt of CDRL A001. The report will consist of the results of the SS review and a memo (as part of the e-mail that includes the checklist) detailing any concerns or areas where the contractor exceeded requirements. Minor and major nonconformance shall be submitted immediately (instead of delivering with the report). In addition, any significant concerns shall be up channeled immediately.

4.0 WIDE AREA WORK FLOW (WAWF). The PM/COR will accept or reject all

Receiving Reports submitted by the Contactor in WAWF within 7 days of submittal by the

Contractor.

To access the receiving report, log into WAWF, select the Government, Acceptor, Acceptance

Folder tab; then type in the contract and delivery order (task order) number. The Shipment

Number column in WAWF is the Receiving Report number

4.1 Validating Receiving Reports. The PM/COR will review and validate all WAWF receiving reports (Shipment Number in WAWF) ensuring that:

The Contractor submitted a combination invoice/receiving report

The report reflects the correct contract and TO number

Beginning and ending dates being billed are stated and accurate

The correct CLIN(s) is(are) charged for billing period

A description of the services is provided (Firm Fixed Price, Labor Hour, Travel, Materials

The correct amount is charged, to include applicable handling rates

Invoiced travel was pre-approved

Back-up documentation is attached that includes a Contractor invoice with current and cumulative hours (for FFP LOE contracts) and amounts, as applicable

A breakout of any other charges, as agreed to by the CO or required by the TO, is attached in WAWF.

4.2 Certifying and Accepting Receiving Reports.

4.2.1 Certification of services is performed by the PM/COR. After validation of services is performed by the PM/COR per paragraph 4.1 above, the PM/COR will select the “CQA”

(Contract Quality Assurance) button to verify that the invoice was accurate, this step will normally select the Acceptance: button also.

4.3 Rejecting Receiving Reports. If a receiving report is rejected in WAWF, the PM/COR will go to the Miscellaneous Info tab to complete the comments block as follows:

List details regarding all unsatisfactory services or incorrect invoice information

AND

Instruct the Contractor to contact DFAS to have the invoice rejected back to the

Contractor; this will allow the Contractor to make the same correction on both the receiving report and invoice, since combination invoices/receiving reports are required.

5.0 COR FOLDER. The Primary COR will establish and maintain a COR folder for each task order; an electronic version of the folder may be kept. The COR folder must contain the tabs and contents outlined below in Table 7. ALL surveillance records are considered FOR OFFICIAL

USE ONLY documents, and must be marked and safeguarded as such. Documentation is kept for the life of the contract and provides necessary continuity should COR duties transition during the course of the contract. The COR will receive instructions from the CO on disposition or archival procedures upon contract completion.

TABLE 7 – COR FOLDER TABS & CONTENTS

Tab Title Items to Include

1 General Correspondence

2 COR Appointment Letter(s) Assignment/nomination letter(s), appointment letter(s) and Government/Contractor relationships guidance

3 COR Training COR certificates for DAU, QAPC and CO Led training

4 Contract/Task Order, Modifications, PWS, Pricing

Contract for current level of effort, any modifications and most current PWS/amendment on contract, and

Contractor’s contract/task order pricing

5 Quality Assurance Surveillance Plan, Surveillance Checklist

Contract/task order QASP, approved surveillance checklist, and completed surveillance checklists

6 Contractor’s Quality Control Plan If applicable

7 First & Second Notices, Corrective

Action Reports (CAR)

Non-conformance log, First and Second Notices and

CARs issued to Contractor

8 Contractor Deliverables CDRLs, deliverable specified in contract/task order, reports, etc.

Attachment 1

First or Second Notice Template

(Date)

MEMORANDUM FOR (Contractor, ATTN: Contractor POC)

FROM: ACC AMIC/DRT

SUBJECT: First/Second Notice for Contract for (brief name for non-conformance) on

Contract (TBD)

1. Contracting Officer Representative: (Mr/Ms First Last)

2. Office: (COR Office symbol)

3. Date of First Notice: (if 2 nd notice, if 1 st notice delete)

4. Reference: (PWS section and paragraph; Deliverable, Services Summary (SS), or email)

5. Reference Text: (State what action the Contractor should have performed IAW the reference above)

6. Description of Non-Conformity: (provide objective evidence of the Contractor’s performance discrepancy(ies))

7. Date response due from Contractor: (dd-mm-yyyy)

8. Contractor POC: (Mr/Ms First Last)

9. Contractor’s Input (Provide correction action):

10. COR Review (COR comments to reply):

11. Date Closed: (dd-mm-yyyy)

(signature block will be determined by ACC AMIC)

CC: Contracting Officer Representative