HRSM__BEST_QASP_8_Apr_15.pdf

Quality Assurance Surveillance Plan (QASP)

For Base Level Human Resources System

Management

& Base Enlisted Specialty Training

RAF Lakenheath, RAF Mildenhall and

Geographically Separated Units (GSU)

Dated: 8 April 2015

Quality Assurance Surveillance Plan (QASP)

For Base Level Human Resources System Management

& Base Enlisted Specialty Training

1. PURPOSE: This Quality Assurance Surveillance Plan (QASP) has been developed to assess contractor performance and manage the contract to obtain efficiencies and to improve performance and cost savings through the contract performance period. This QASP describes how the government will evaluate and assess contractor performance. It is intended to be a “living” document that will be revised or modified as circumstances warrant.

This plan is based on the premise that the contractor, not the government, is responsible for managing and ensuring that quality controls meet the terms of the contract.

2. OBJECTIVE: The Contractor shall provide personnel and supervision necessary to accomplish Human

Resources System Management (HRSM) and Base Enlisted Specialty Training (BEST) at Royal Air Force (RAF)

Lakenheath, United Kingdom (UK) and RAF Mildenhall, UK as well as, Geographically Separated Units (GSU).

The contractor shall provide all management, personnel, supervision, and other items and services necessary to perform services as defined in the Performance Work Statement (PWS), except as specified as government furnished services. In addition, adhere to the standards identified in AFCSM 36-699, Vol 1, Personnel Data Systems, and Vol 6, Human Resources System Management (HRSM) PC-III/MilPDS; AFI 33-332, Air Force Privacy Act

Program; AFI 33-364, Records Disposition

Procedures & Responsibilities, Chapter 3; AFI 33-115, Vol I, Network Management, Vol II, Licensing Network

Users and Certification Network Professionals, AFI 36-2201, Air Force Training Program and additional instructions or manuals implemented to manage HRSM and Base Training Functions listed within this PWS. Advise the MPS Commander and Superintendent on technical matters per AFCSM 36-699, Vol 6, Table 24.1 (HRSM responsibilities).

3. AUTHORITY: Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition

Regulation, Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or a duly authorized representative.

4. ROLES & RESPONSIBILITIES:

4.1. CONTRACTING OFFICER (CO): Ensures open communication is maintained between all parties, pre- and post-award. Delegate’s authority for inspection and/or acceptance to COR’s in accordance with the terms and conditions of the contract. Informs the contractor of the names, duties, and limitations of authority for all COR’s assigned to the contract. Periodically assesses the COR’s performance and advises the QAPC on any problems.

Manages contractor performance assessment data that may include submitting Contractor Performance Assessment

Reporting System (CPARS) reports or Acquisition of Services reports. Issues contract modifications as necessary.

Takes appropriate action should unacceptable contract performance occur. Facilitates Multi-Functional Team

Meetings.

4.2. CONTRACT ADMINISTRATOR (CA): Serves as the focal point for issues regarding the contract; prepares and processes modifications to the contract; assists the CO in ensuring contractor performance meets contract standards; records and transcribes minutes for meetings.

4.2.1. Performs Quality Assurance (QA) assessments on a periodic basis as determined by the CO. The contract administrator (CA) will verify that the COR’s are accomplishing their surveillance according to this QASP.

Observation of one or two checks will be sufficient to verify the COR’s procedures. If deficiencies are discovered in the QA surveillance procedures, the contracting officer will notify the FC/FD and provide any assistance the

FC/FD may request, such as additional training for COR personnel. The CA will ensure that the COR is documenting all surveillances on a timely basis. Performs a check of the COR files on a periodic basis as determined by the CO/CA.

4.2.2. Provides contract specific training after completion of CLC 106, CLM 033 and CLC 206 (if military or subject to deployment) at the DAU website.

4.3. FUNCTIONAL COMMANDER/FUNCTIONAL DIRECTOR (FC/FD): Ensures requirements documents developed by the multi-functional team satisfy mission requirements, are performance-based, foster innovation, and define metrics. Assists in preparation of the Performance Work Statement (PWS) and the QASP and coordinates with the CO and the QAPC on the final product. Nominates qualified individuals as COR’s. 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.

Reviews the COR’s contractor performance documentation on a regular basis to help ensure contract compliance.

4.4. CONTRACTING OFFICER REPRESENTATIVE (COR): Assists in the development of technical requirements and independent cost/government estimates for contract services. Evaluates and documents the contractor’s performance in accordance with the procedures set forth in this QASP. Immediately notifies the CO of any significant performance deficiencies. Maintains assessment documentation throughout the life of the contract.

Certifies acceptance of services. 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. Fosters partnerships with industry to ensure exchanges of information with the service industry and other business experts. 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. Recommends any changes necessary to the contract, PWS, QASP, or other requirements to provide more effective operations or eliminate unnecessary costs.

4.5. QUALITY ASSURANCE PROGRAM COORDINATOR (QAPC): Coordinates all aspects of the quality assurance program. Participates in the Multi-Functional Team. Reviews and coordinates all PWSs and QASPs.

Provides training for the FC/FD and initial COR training for all assigned COR’s.

4.6. CONTRACTOR: Complies fully with the terms and conditions of the contract. Participates as a member of the multi-functional team in the post-award management phase. Maintains and implements a Quality Control Plan

(QCP) that complements the QASP. Ensures that non-conforming contract services are identified and corrected.

Tenders to the government for acceptance only those services that conform to contract requirements. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

5. PERFORMANCE REQUIREMENTS AND METHOD OF SURVEILLANCE: The COR will inspect the contract requirements per the Surveillance Matrix using a combination of customer complaints and periodic surveillance. See Surveillance Matrix – Appendix 1.

5.1. INITIAL PERFORMANCE REVIEW: The initial evaluation of contractor performance shall take place within 30 days after the contractor assumes full performance responsibilities (i.e. after completion of transition/phase-in) to ensure the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

5.1.1. INITIAL PERFORMANCE REVIEW CRITERIA: The contractor shall be evaluated in accordance with

PWS Section 2 – Service Delivery Summary. These terms are also listed in this document in Appendix 1

Surveillance Summary, which sets out the minimum level of acceptable performance that the contractor must meet and still be considered a satisfactory performer.

5.2. CONTRACT SURVAILLANCE: The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR's contribution is their professional, non-adversarial relationships with the CO, PM and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor's performance. Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

5.2.1. CUSTOMER COMPLAINT: The COR is the point of contact and must collect and validate all customer complaints. The Performance Assessment Report (PAR) or a similar locally devised form may be used for this purpose (see attachment). All complaints and any resulting resolution of such complaints must be documented with the information required on the customer complaint form. Customer complaint forms become a permanent part of the COR surveillance records.

5.2.2 CONTRACT SURVEILLANCE MATRIX: The Surveillance Matrix (Attachment 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor's performance as it relates to the performance element standards. The PWS service summary should be used to form the foundation of the COR's inspection checklist (see para. 2, PWS).

In evaluating the quality of contractor’s performance, the following performance ratings may be used.

Performance

Rating

Criteria

Excellent /

Outstanding

Performance meets contractual requirements and exceeds many to the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly effective.

Very Good Performance meets contractual requirements and exceeds some to the government benefits. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

Good Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear 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 contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

Appendix 1 - Surveillance Matrix

Performance Objective PWS

Paragraphs

Performance Threshold/Acceptable

Quality Level (AQL)

Government Surveillance

Method

Rating

1 Management of the user accounts in PDS

1.2.2. a)New PDS accounts established for authorized users with no unauthorized users on the system.

AQL: 100% of the time.

What: authorization letters How: 100% review of PDS authorization file monthly

Who: COR

Re-inspection for non-compliance will occur no later than 30 days after initial inspection.

Standard(s): Inspection applies to all standards

2 Provides PDS familiarization/training for new users and assistance when requested.

1.2.6. a)Provide service within 10 workdays upon receipt of official appointment letter.

AQL: 98% of the time.

What: Familiarization/training for

PDS

How: 100% review of official appointment letters reviews monthly

Who: COR

Re-inspection for non-compliance will occur no later than 60 days after initial inspection.

Standard(s): Inspection applies to all standards

3 Provides releasable data to authorized

DoD agency and directs non-DoD request to FOIA monitor.

1.2.10. a)Data provided only to authorize agencies IAW governing FOIA directives within 5 working days

AQL: 98% of the time.

What: FOIA requests, Verify data provided to agencies not listed in Appendix 1

How: 100% review of FOIA data request monthly ensuring FOIA requests are completed Who: COR Re-inspection for non-compliance will occur no later than 60 days after initial inspection.

Standard(s): Privacy Act of 1974 and

AFMAN 37-104

4 Ensure automated data reports are forwarded to appropriate MPS work center.

1.2.11. a)Non-recurring products are received by appropriate MPS work center within two (2) duty days.

AQL: No more than 5 late reports per quarter.

What: View product request and response time. Review completed documentation

How: 100% quarterly reviews of product reports conducted

Who: COR

Re-inspection for non-compliance will occur no later than 60 days after initial inspection.

Standard(s): Inspection applies to all standards

5 Provides data and/or analysis when requested by MPS/CC or designated representative, to include but not limited, to recurring DISCOVER.

1.2.8. and/or 1.2.9 a)PDS is available during duty hours or immediately notify

MPS/CC or designated representative of system non-availability.

AQL: 95% of the time.

What: Review documentation received and sent to the MPS/CC or designated representative.

How: 100% reviews conducted monthly on system non-availability Who: COR Re-inspection for non-compliance will occur no later than 60 days after initial inspection.

Standard(s): Inspection applies to all standards

6 Ensure contract employees are trained on all active personnel data systems

1.2.14. a)Ensure Contractor Employees are trained on all active personnel data systems within 30 days.

AQL: 95% accurate and improved to

100% within 2 week notice.

What: Training of new Contractor

Employees

How: Within 30 Days of new personnel or data system: Review employee certification/training documentation for 100% compliance.

Who: COR

Re-inspection for non-compliance will occur no later than 2 weeks after initial inspection.

Standard(s): Inspection applies to all standards

7 Assists Base Training customers with program management and training requests.

1.2.15. a)NLT 5 working days of customer inquiry respond/to track customer issue and responding.

AQL: 95% of the time.

What: Program management and training requests

How: 100% review conducted monthly for program management and training request emails and responses

Who: COR

Re-inspection for non-compliance will occur no later than 30 days after initial inspection.

Standard(s): AFI 36-2201

8 Oversee the management of

Training Status Code Actions.

1.2.16 a) Pull reports for monthly surveillance of Training Status

Codes (TSC) actions affecting qualification and skill level upgrade to include contacting unit Unit

Education and Training Managers

(UETM) when coding concerns arise. AQL: 100% of the time.

b) Identify incorrect TSC.

AQL: No more than 5 discrepancies per month.

What: Base Status Code Roster How: 100% review conducted monthly Base Status Code Roster Who: COR

Re-inspection for non-compliance will occur no later than 5 days after initial inspection.

Standard(s): AFI 36-2201 V3, PARA 3.1.15

9 Provide installation commander status of training for assigned units

1.2.15 a)Each quarter (4 times per year) provide installation commander with a Status of Training Summary as outlined in AFI 36-2201 V3, PARA 3.1.9

AQL: Provide reports within 10 days of meeting 75% of the time.

What: Status ofTraining

Slides

How: 100% quarterly review of the Status ofTraining Slides provided to leadership

Who: COR

Re-inspection for non-compliance will occur no later than 5 days after

10 Manage Base Ancillary Training

Program

1.2.18.

1.2.15 & 1.2.26 a)Ensure total force awareness ancillary training is completed within prescribed timeliness.

AQL: Complete training within required timeframes 98% of the time.

What: Ancillary Training Reports.

How: 100 % monthly review of Review Ancillary Training Reports.

Who: COR

Re-inspection for non-compliance will occur no later than 30 days after

11 Schedule and hold quarterly UETM meetings to disseminate information on current and ongoing training program issues.

1.2.22 a)Within 10 work-days after the scheduled meeting, develop and distribute minutes required offices.

AQL: Provide reports within 10 days of meeting 98% of the time.

What: Meeting Minutes and dates

How: Randomly inspection 100% of meeting minute reports & distribution

Who: COR Re-inspection for non-compliance will occur no later than 30 days after initial inspection.

Standard(s): AFI 36-2201 V3, PARA 3.1.12.2, 3.1.12.5 & 3.1.12.4

12 Provides AFTC instruction for units without an assigned certified instructor and process completions in

PDS.

1.2.23 a)Once instruction has been completed, update AFTC completions in PDS within 10 working days of receipt.

AQL: 95% of the time.

What: Instructors for AFTC courses

How: 100% review quarterly to Verify courses taught for units with non-certified instructors and update of course completion.

Who: COR

Re-inspection for non-compliance will occur no later than 30 days after initial inspection.

Standard(s): AFI 36- 2201 V3, PARA 3.1.14

13 Test control facility management.

1.2.25 a)Compliance with Air Force, MAJCOM and AFIADL

Directives to prevent test compromise.

AQL: No major discrepanies and no more than one minor discrepancy per quarter.

What: Test control facility management How: 100% review quarterly on Completed and documented quarterly test inventory. Review test control procedures.

Who: COR Re-inspection for non-compliance will occur no later than 14 days after

Appendix 2 - Corrective Action Report (CAR)

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. QUALITY ASSURANCE PERSONNEL (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

ACCEPTED REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

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

Appendix 4 - Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

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

1. CONTRACT/TASK ORDER

NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND

DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT

APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM

REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY

BOX WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR

NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION

DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON

FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS