Attachment_6_-_A AS_QASP.pdf

Quality Assurance Surveillance Plan for Advisory & Assistant Services 5 May 2014 Solicitation No. FA7000-14-T-0037 Attachment 6

ADVISORY AND ASSISTANCE SERVICES (A&AS)

AT THE

UNITED STATES AIR FORCE ACADEMY

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

TABLE OF CONTENTS

1.0 PURPOSE

2.0 OBJECTIVES

3.0 RESULTS THE MULTI-FUNCTIONAL TEAM IS STRIVING TO ACHIEVE

4.0 MULTI-FUNCTIONAL TEAM MEMBERS’ ROLES& RESPONSIBILITIES

5.0 CONTRACTING OFFICER REPRESENTATIV (COR) APPOINTMENT AND TRAINING

6.0 GENERAL

7.0 APPROACH, METHOD, AND TOOLS USED TO ASSESS CONTRACTOR

PERFORMANCE

8.0 CONTRACT MANAGER NOTIFICATION

9.0 DISCREPENCY REPORTING

10.0 NON SERVICE SUMMARY (SS) ITEMS

11.0 CERTIFICATION OF SERVICES

12.0 PERFORMANCT METRICS

13.0 CONTRACTOR RATING (CPARS)

14.0 MULTI-FUNCTIONAL TEAM SIGNATURE PAGE

15.0 APPENDCIES

Appendix A –Customer Complaint Record

Appendix B – Corrective Action Report (CAR)

Appendix C – Performance Assessment Report (PAR)

Appendix D – Contracting Officer Representative (COR) Report

Attachment 6

1. UPURPOSE.

This Quality Assurance Surveillance Plan (QASP) has been developed and adheres to Performance-Based Services Acquisition (PBSA) guidelines. This QASP will also be used to implement the Performance Management Assessment Program by interfacing with the Management and Oversight of Acquisition of Services Process (MOASP). This QASP will be used by the Multi-functional team and the Contracting Officer Representatives (COR) to ensure Contractor compliance and progress at meeting mission objectives on the Advisory and Assistance Services (A&AS) service contract.

2. UOBJECTIVE.

This QASP is designed to provide the Multi-functional team a vehicle to ensure delivery of the desired mission support services within cost and on schedule. The QASP will also provide the COR an effective systematic surveillance method for each item listed in the Performance Work Statement (PWS), specifically on the Service Summary (SS). The premise of commercial contracting is for the Contractor to assume responsibility for the work they produce. The government will also rely on the Contractor's submitted Quality Control Plan (if applicable) for ensuring contractual requirements are met.

3. URESULTS.

The results in managing this acquisition through this QASP, is to provide the United States Air Force Academy with A&AS services that are acceptable and timely while protecting Government resources.

4. UMULTI-FUNCTIONAL TEAM ROLES & RESPONSIBILITIES.

The following government officials will participate in performance management of this contract through use of the Management and Oversight of Acquisition of Services Process (MOASP) and the Contractor. Their roles and responsibilities are described as follows:

4.1. UContracting Officer Representative (COR)U: is responsible for monitoring, assessing, recording and reporting on Contractor compliance with the terms and conditions of the contract. These individuals will have primary responsibility for completing quality assurance monitoring forms that will be used to document the inspection and evaluation of the Contractor’s performance. The COR will maintain surveillance documentation, notify the Contracting Officer (CO) of any significant performance deficiencies and recommend improvements to the QASP and Performance Work Statement (PWS) throughout the life of the acquisition.

4.2. UThe Contracting Officer (CO)U: has overall responsibility for overseeing the Contractor’s performance.

The CO will also be responsible for the day-to-day monitoring of the Contractor’s performance in the areas of contract compliance, contract administration, cost control, and property control; reviewing the COR assessment of the Contractor’s performance; and resolving all differences between the COR version and the Contractor’s version of events. The CO is the only person with the authority to direct the Contractor in the performance of their duties under the contract and to make interpretations of and changes to the contract. The CO will facilitate Multi-Functional Team meetings.

4.3. UThe COR Management/SupervisorU: has overall responsibility for developing the PWS and the Quality Assurance Surveillance Plan (QASP) and ensuring they satisfy mission requirements, are performance-based, foster innovation, and define metrics. The COR MANAGEMENT/SUPERVISOR is responsible to assign competent and capable functional experts to the Multi-Functional Team (MFT) who will be available full time or as warranted by the procurement cycle. The COR Management/Supervisor will also assign, as a

Attachment 6 minimum, a primary and an alternate COR and notify the CO of any changes to this designation. Review Contractor performance documentation, prepared by the COR on a regular basis to ensure performance is compatible with contract and mission objectives. The COR MANAGEMENT/SUPERVISOR is also responsible for identifying mission essential services developing the necessary documents for Continuation of Essential DoD Contractor Services During Crisis.

4.4. UThe Contracting Division Director and/or The Director of Business Operations (DBO)U: serves as the Business Advisor to senior leadership; developing and implementing acquisition strategies for services acquisitions; providing oversight of the Multi-functional Team in planning, assessing Contractor performance, and managing the acquisition throughout the life of the requirement IAW the FAR, DFARS and AFFARS. Also provide Management and Oversight of the Acquisition of Services Process (MOASP) reports on service acquisitions to the MAJCOM for consolidation.

4.5. UThe Quality Assurance Program Coordinator (QAPC)U: develops, manages and implements the United States Air Force Academy’s Quality Assurance Program; supports the Multi-Functional Team (MFT) in the development of contract requirements, ensuring requirements are clearly stated and enforceable; aids in development of the Service Summary (SS) and Quality Assurance Surveillance Plan (QASP) and provides training to all COR Management/Supervisors, CORs and others that interact with this contract as needed.

4.6. UThe Contract Administrator (CA)U: is 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.

4.6.1. CAs will perform COR personnel assessment on a periodic basis as determined by the CO. The CA will verify that the COR is accomplishing their surveillance according to this QASP. Observation of one or two checks will be sufficient to verify the QA’s procedures. If deficiencies are discovered in COR surveillance procedures, the CO will notify COR Management/Supervisor and provide any assistance the COR Management/Supervisor may request, such as additional training for CORs. The CA will ensure that the COR is documenting their surveillances on a timely basis. A check of the QA files will also be performed on a periodic basis as determined by the CO/CA.

4.7. UThe ContractorU: is the service provider and will ensure that a government acceptable quality control system is provided and maintained. The Contractor is required to provide all services identified in the PWS not just those identified in the SS. The Contractor will also provide support to Senior Leadership as required (e.g., performance metrics, briefings).

5. UCOR APPOINTMENT AND TRAININGU.

5.1. A primary and alternate COR will be appointed for this contract. The COR Management/Supervisor is the designating authority.

5.2. Each COR will be available to receive QAPC provided training (previously referred to as Phase 1), CO Led Training (previously referred to as Phase 2), Defense Acquisition University (DAU) Continuous Learning Module (CLM) 003 (Ethics), DAU Continuous Learning Course (CLC) 107 (OPSEC Contract Requirements) and DAU CLC 106 (COR Basic) or DAU CLC 222 (COR Course). DAU 106 or 222 will be determined by the category of contract (A, B, or C).

5.3. Each COR will be available to receive refresher training provided by the QAPC as required and maintain the appropriate number of COR specific training hours every three years as determined by the category of

Attachment 6 contract. A- type contracts must maintain 8 hours every three years and ethics every year. B-and C-type contracts must maintain 16 hours every three years and ethics (CLM 003) every year.

6. UGENERALU.

Government surveillance will be conducted by inspections that mirror the market research findings. COR documentation of Contractor performance should be accomplished as the observation is completed, thus preventing loss of information. All documentation generated in the performance of this plan will be marked, "For Official Use Only".

7. UAPPROACH, METHODS, AND TOOLS OF INSPECTION APPLICABLE TO THIS

UCONTRACTU.

U7. 1. CUSTOMER COMPLAINT

The COR will furnish written instructions and customer training to each organization receiving the Contractor’s service. Instructions and training shall cover the format and content of the program and service to be surveilled; the action that may be expected from the COR, Contract Administrator (CA) and Contracting Officer (CO) as a result of the complaints; and the limitations on the customers in dealing with Contractor personnel.

The COR is the point of contact and must collect all customer complaints. The AF Form 714 Customer Complaint Record or a similar locally devised form may be used for this purpose (see Appendix A). 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. The COR will contact each customer involved with this contract periodically to assure there is an understanding of contract requirements by all appropriate personnel and that they have a sufficient number of complaint forms.

Performance Objective Reference Performance Threshold Method of Surveillance

1 All Contractor employees shall behave and dress in a manner commensurate with the professionalism of a combined educational and military institution.

1.3 Complaints shall be

corrected within one (1) working day.

Customer Complaint

2 The Contractor shall protect sensitive information covered under the Privacy Act of 1974 (5 U.S.C. 552a) and data that has not been released to the public.

There shall be no unauthorized release of OPSEC material.

1.7 1.9.2

100% compliance. Customer Complaint

3 The Contractor shall provide complete A&AS support and responsive TO management for USAFA organizations.

1.12 No more than one (1)

discrepancy, corrected within 5 working days, per TO. No more than five (5) corrected discrepancies for the life of the contract.

Customer Complaint

Attachment 6

4 TO tasks shall be performed by qualified individuals IAW the basic contract labor category descriptions, specific TO requirements, and/or Contractor quotation.

1.12 Qualified personnel shall be

provided to support TO efforts 95% of the Period of Performance time proposed (or 10 working days, whichever is fewer).

Customer Complaint

5 TO tasks shall be performed by qualified individuals IAW the basic contract labor category descriptions, specific TO requirements, and/or Contractor quotation.

1.12 Unqualified individuals

shall be corrected to 100% within 10 working days of being identified and this occurrence shall not occur more than 2 TOs per contract year.

Customer Complaint

6 The Contractor shall describe in detail the technical solution or technical approach, identify all required and proposed deliverables, and describe all estimated travel requirements.

1.15.2 No more than two (2) sets

of corrections/edits and all corrections must be accomplished within two

(2) working days or as specified in individual TO.

Customer Complaint

7 The Contractor shall provide a task order response and/or deliverables schedule to include a start date, periodic reviews as required, end dates, and detail the types of reports (verbal or written deliverables) that will be provided at each milestone as required in the individual Task Orders.

1.15.3 No more than one (1) late

delivery of 1-5 working days per TO and zero late deliveries beyond five (5) working days per TO.

Contracting Complaint

8. UCONTRACT MANAGER NOTIFICATIONU.

The COR will ensure that the Contract Manager/Project Manager is informed of contract performance status.

The Contract Manager/Project Manager should also be informed of any contract discrepancies noted during COR surveillance.

9. UDISCREPANCY REPORTINGU.

The COR will notify the Contract Manager/Project Manager of any discrepancies noted during the COR’s inspections. This notification is for discrepancy correction only and does not indicate concurrence to the discrepancy by the Contractor. The COR will also notify the CA of all discrepancies noted during the surveillance. The frequency and method of notification to the CA will be provided to the COR during phase two training. Although reporting will be accomplished using any format, a sample Corrective Action Report (CAR) and Performance Assessment Report (PAR) can be found at Appendices B and C.

10. UNON-SERVICE SUMMARY (SS) ITEMSU.

Everything that is written into the PWS is required to be provided by the Contractor, thus everything in the PWS is subject to government surveillance.

Attachment 6

11. UCOR Reports.

The COR will complete a monthly COR Report and coordinate through the COR Management/Supervisor before providing a copy to the CA for posting in the contract file. In addition, COR Reports are performed by COR via Wide Area Work Flow (WAWF) system. At the end of each billing period, service provider inputs invoice information in the WAWF system. WAWF automatically notifies appropriate COR via email of pending invoice. COR accesses WAWF and verifies accuracy of service provider’s data. If data is correct, COR certifies invoice and payment is conducted by Defense Finance Accounting System (DFAS). If COR encounters errors in service provider’s invoice, COR consults with on site manager to mutually rectify data.

If service provider disagrees with COR, issue is forwarded to the CO for resolution.

31T12. UPERFORMANCE METRICS (MOASP).

Performance metrics are to be used to track Contractor progress quarterly towards meeting stated performance objectives. The effort in assessing Contractor performance validates that the performance metrics align with the PWS and overall mission support objectives and states any negative variances as applicable. These metrics are consolidated and submitted by the CO annually to the Service Designated Official (SDO) for review and are drawn upon for annual MOASP reporting. In addition, any SS item failure will be reported by the COR to the CO who will in-turn notify the QAPC for metrics reporting to the Wing Commander.

13. UCONTRACTOR RATING (CPARS).

Contractor’s Performance Assessment Rating (CPAR) is applicable to all service contracts valued over $1,000,000. Guidance on CPARS is available from the Department of the Air Force CPARS Guide and the 10th Contracting Division CPARS representative.

U14. MULTI-FUNCTIONAL TEAM SIGNATURES.U

The following Multi-Functional Team member signatures indicate their review and acceptance of the Quality Assurance Surveillance Plan (QASP) for A&AS services. These signatures indicate coordination on this QASP at the time of development. These team members are not the only individuals on the Multi-Functional Team (MFT) but are the individuals that will have continual interface with this contract. No further MFT coordination is needed unless the intent of the QASP is changed.

SIGNATURES

This Performance assessment plan represents the Dean of Faculty’s requirement to provide sufficient and qualified functional resources to oversee the A&AS contract. Properly trained, properly appointed COR will help effectively assess contractually performed mission requirements and report sufficiently on Contractor performance.

COR Management/Supervisor Date

This QASP establishes the Contracting Officer’s requirement to provide sufficient contract administration resources in support of the functional area’s contracted mission requirements. The QASP also provides instructions for effectively responding when negative performance indicators are present.

Contracting Officer Date

This QASP meets the responsibilities to establish a performance assessment team for a major service contract and describes how performance is measured, assessed, and managed upon contract award.

Quality Assurance Program Coordinator Date

Contract Specialist: Date

Contracting Officer Representatives (Primary): Date

Attachment 6

*****Appendix A - SAMPLE *****

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)

*****Appendix B - SAMPLE *****

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.

0B8. CONTRACTING OFFICER REPRESENTATIVE(COR)

1BTYPED NAME AND GRADE

2BSIGNATURE AND DATE

3B9. ISSUING AUTHORITY

4BTYPED NAME AND GRADE

5BSIGNATURE AND DATE

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

Attachment 6

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

Attachment 6

CORRECTIVE ACTION REPORT (CAR)

9BContinuation Sheet

(Number to correspond with applicable Item Number on reverse)

*****Appendix B - SAMPLE *****

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

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 Representative(COR) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The COR Management/Supervisor/functional director is the Issuing Authority for his/her contract Contracting Officer Representatives (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 COR Report 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.

****Appendix C – SAMPLE****

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. CONTRACTING OFFICER REPRESENTATIVE(COR) SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

6BI. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or SOW PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX WAS

CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

7BII. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE UORU REASON FOR NON-

CONCURRENCE OF COR CITED DEFICIENCY

8BIII. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

Attachment 6

16. CONTRACTOR REPRESENTATIVE REMARKS

Performance Assessment Report (PAR) Template, Feb 05 (SAF/AQCP)

Attachment 6

PERFORMANCE ASSESSMENT REPORT

10BContinuation Sheet

(Number to correspond with applicable Item Number on reverse)

*****Appendix C - SAMPLE *****

Performance Assessment Report (PAR) Template, Feb 05 (SAF/AQC)

Performance Assessment Report (PAR) Instructions

Block 1.Contracting Officer Representative(COR) enters contract or task order number.

Block 2.COR enters Contractor name.

Block 3.COR enters type of services.

Block 4. COR signs and dates.

Block 5.COR enters telephone number.

Block 6.COR assigns suspense date for Contractor Representative validation if a deficiency box was checked in Block 7.

Part I. Contractor Performance

Block 7.COR checks all boxes that apply.

Block 8.COR enters Services Summary or Statement of Work (SOW) paragraph item reviewed.

Block 9.COR enters brief description of deficiency and tracking number if the deficiency box was checked in Block 7.

Detailed description will be on Corrective Action Report (CAR).

Block 10.COR enters a detailed performance assessment if the deficiency box in Block 7 was not checked.

Parts II and III will be used only if a deficiency was documented in Part I.

Part II. Contractor Validation

Block 11. Contractor Representative checks one box in response to COR cited deficiency. If Concurrence is indicated, Contractor Representative continues to Block 12. If Non-Concurrence is indicated, continue to Block 13 and state reason(s) for Non-Concurrence with COR cited deficiency and return PAR to COR.

Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Corrective Action and the Action Taken to Prevent Recurrence or Reason for Non-Concurrence of COR cited deficiency.

UPart III. UDeficiency Corrected

Block 14. COR checks appropriate block, signs, and dates.

Block 15. (Required Entry) COR remarks regarding the Corrective Action and the Action Taken to Prevent Recurrence. If Non-Concur was checked, this block should be very detailed to explain why.

Block 16. Contractor Representative enters remarks if further discussion is needed about COR concurrence with Contractor’s Corrective Action and Action Taken to Prevent Recurrence.

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

****Appendix D – SAMPLE****

MEMORANDUM FOR Contracting

FROM: Quality Assurance Evaluator

SUBJECT: COR Report, FA7000-XX-X-XXXX, Name of Contract

UPeriod CoveredU: enter the period of time that you performed your Evaluations (1-31 August 99)

UOverview of performanceU: describe your overall perspective of the Contractor’s performance. Tell what the Contractor did or failed to do. Let the Contract Specialist (CS) or Contracting Officer (CO)know if they are acceptable or not acceptable. Describe what you’re doing to resolve unsatisfactory conditions if you stated unacceptable performance.

UDiscrepancy reportsU: describe any contract nonconformities (verbal/written), proposed corrective action, any help needed from the CS, Contracting Officer, etc.

UChange of PersonnelU: notify proposed changes of personnel (i.e. COR MANAGEMENT/SUPERVISOR or CORs on this contract). New CORs will require nomination/appointment letters, Phase I and II training.

UAreas of ConcernU: List any items that your having difficulties with, any potential problems, concerns about the evaluation process, etc. Let the QAM know you need assistance. Don’t wait until it’s too late and the auditors/IG visit you.

John Jones Contracting Officer Representative (COR) cc COR Management/Supervisor Contracting Officer