TAASC II DRAFT QASP.doc

DRAFT QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Tinker Advisory and Assistance Service Contract

TAASC II

PR Number: FD2030-12-40362

Contract Number:

TBD

17 November 2011

Tinker Advisory and Assistance Services (TAASC II) Oklahoma City Air Logistics Center (OC-ALC)

Tinker Air Force Base, Oklahoma

1.0 Introduction:

The Tinker Advisory and Assistance Services Contracts (TAASC) II, herein referred to as TAASC, is a five-year, Indefinite Delivery/Indefinite Quantity (ID/IQ), multiple-award contract for the acquisition of Advisory and Assistance Services (A&AS). The scope of this contract includes management and professional support, studies, analyses, and evaluation, and engineering and technical services In Accordance With (IAW) the Performance Work Statement (PWS). Task orders cover a diversity of A&AS support such as program management, administrative management, configuration management, data management, facilitation support, training support, financial management support, logistics support, contracting support, Government property support, engineering support, manufacturing support, and facilities support.

TAASC II is a service contract, therefore, all task orders issued against it shall be written in performance terms IAW the following documents and will be maintained in accordance with any future publications: AFFARS 5337.101, AFI 63-101, AFI 64-102, DODI 5000.02 Enclosure 3,4, and 9, DFARS 237.76, DFARS 246.401, FAR Part 1, FAR Part 7, FAR Part 10, FAR 15.201, FAR 37.102, FAR 37.6, FAR 42.1104, FAR 46.401, 5301.602, MP 5342.1503, and MP 5346.103.

2.0 Objective:

The objective of this effort is to provide oversight and to monitor the Contractor’s performance on the TAASC II basic contracts. Its intent is to manage this set of contracts as a program, establish performance objectives, monitor them, and provide remedies for non-conformance. This plan will provide the methods, metrics, and goals for measuring the overall TAASC II performance. These metrics and goals will help to highlight areas for potential process improvement and to capitalize on the “lessons learned” throughout the life of the contracts.

Since performance assessment, surveillance, and monitoring are also required for specific task orders, individual QASPs will be written for each task order. The performance assessment and surveillance methods designated in task order QASPs will be tailored to match the performance required for that task.

3.0 Multi-Functional Team (MFT):

A multi-functional team has been established for the management of the TAASC II contract. This team is composed of the TAASC II Program Manager (PM)/Contracting Officer’s Representative (COR), Procurement Contracting Officer (PCO), Functional Command/Functional Director (FC/FD), Qualtiy Assurance Program Coordinator (QAPC), and Contractor. The goals of the team are to manage each basic contract and provide an avenue to collectively work together creating a strong working relationship between the using agency, contracting, and the Contractor to provide the highest level of contract performance and customer service. In addition to this team, task order initiators, task order functional and technical representatives, small business specialists, and the task order Administrative Contracting Officers (ACOs) will all have input into monitoring the performance of these contracts.

4.0 MFT Members and their Responsibilities:

The membership, goals and responsibilities of the MFT are outlined below. The MFT includes, but is not limited to:

4.1 TAASC II Program Manager (PM) Responsibilities:

1) Serves as the focal point between CO and customer regarding all issues and discrepancies with individual Task Orders.

2) Ensures full compliance with the terms and conditions of the contract and participates as a member of the MFT.

3) Communicates with the Contractor regarding performance issues, but cannot obligate the Government.

4) Identifies, analyzes, and manages risk to ensure mission performance is within cost and schedule constraints.

5) Conducts market research.

6) Ensures the task orders are written in performance-based format and align mission performance needs to achieve desired mission support results.

7) Identifies opportunities to improve performance throughout the life of the contract.

8) Develops, implements, and executes performance measurement and management IAW the QASP.

9) Recommends changes to the QASP.

4.2 Procurement Contracting Officer (PCO) and/or Administrative Contracting Officer (ACO) Responsibilities:

1) Lead Authority on QASP.

2) Notifies requiring activity of need for COR(s).

3) Determines if prospective COR is qualified and acceptable.

4) Approves all CORs that are nominated.

5) Ensures contract specific training (to include refresher training) is scheduled and provided to prospective COR.

6) Delegates authority for inspection and/or acceptance to CORs and informs the Contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

7) Keeps current the listing of CORs assigned to the contract, indicating their areas of responsibilities and limitation of authority and ensuring the Contractor is notified in writing of such.

8) Maintains suitable records reflecting decisions regarding the acceptability of the requirements as well as actions to correct defects.

9) Requests re-performance and/or reduction of price of contract when services are not performed or do not meet contract requirements.

10) Determines the amount withheld constitutes a reasonable estimate of the Contractor’s potential liability.

11) Ensures the withholdings represent an amount commensurate with the reasonable value of such services.

12) Ensures past performance inputs are prepared documenting any performance issues.

13) Includes in the contract file any documentation identifying nonperformance and actions taken.

14) Keeps communication lines open with the Contractor regarding performance issues.

15) The only Government agent who is authorized to award or modify contracts; therefore, the PCO is the only person authorized to contractually obligate the Government.

16) Participates as a member of the MFT.

4.3 COR Responsibilities:

1) Perform/assist in accomplishing past performance information, draft the PWS, complete required documents needed to award, and evaluate technical proposals.

2) Must maintain both technical competency and evaluation proficiency in Contractor surveillance procedures.

3) Ensures services rendered by the Contractor meet contract requirements.

4) Notifies the PM, PCO, the Functional Commander/Functional Director (FC/FD) and the Contractor of any performance deficiencies in writing or by e-mail if unable to resolve at the individual task order level.

5) Assists PCO in determination of what portion of the contract has not been performed.

6) Submits quarterly surveillance reports to the PM and maintains real-time data base of quality assurance related data and issues.

7) The COR maintains all documentation related to the Task Order.

8) Ensures discrepancy reports are accurate and reported properly.

9) Identifies areas warranting a change in assessment method, frequency, or performance threshold and provides suggestions for the PWS and QASP to the MFT throughout the life of the contract.

10) Maintains accurate documentation of Contractor assessment activities as required by the QASP and reports the results of Contractor assessment activities to the MFT.

11) Serves as primary coordinator for Contract Administrator, PCO and ACO.

12) Maintains a file IAW the QASP and requests PCO/ACO disposition at the completion of the contract.

13) Shall submit all requests for corrective action to the PCO.

14) Must have knowledge of Contractor activities to properly review and disposition monthly invoices.

15) Shall inspect and accept Contractor services at the completion of each contract payment period, usually monthly. Certifies services actually received.

16) Shall participate as a member of the MFT.

4.4 COR Management (i.e. Supervisor) Responsibilities:

1) Upon request from PCO, prepares COR nomination package.

2) Ensures prospective COR understands importance of performing their designated functions.

3) Ensure the COR will be afforded the necessary resources (time, supplies, equipment, and opportunity) to perform their designated functions.

4) Ensure that performance of the designated functions will be addressed as part of the COR’s annual performance appraisal.

5) Solicit input on performance of COR duties from the PCO.

6) Ensure COR completes required training prior to award or prior to their designation as a COR if appointed after contract award.

7) Identifies mission essential serivdes (i.e. Functional Commander’s only responsibility) IAW, DODI 3020.37, Continuation of Essential DoD Contractor Services During Crisis’s.

8) Participates as a member of the MFT.

4.5 Quality Assurance Program Coordinator (QAPC) Responsibilities:

1) Will assist the Contracting Officer and/or Contracting Officer Designee in providing Contract Specific Training per paragraphs 1.4.1 – 1.4.6 of AFFARS MP 5301.602-2(d) and/or Refresher Training, upon request.

2) Will perform training for COR Management on the use of the Contracting Officer Representative Tracking (CORT) Tool, upon request.

3) Supports the MFT in the development of contract requirements specifically to ensure that requirements are clearly stated and enforceable.Shall participate as a member of the MFT.

4) Offers advice on development for the Service Summary and Surveillance Plan.

5) Participates as a member of the MFT.

5.0 Program Management and Reviews:

Internal quarterly reviews of Contractor status reports will be conducted. The intent of these reviews is to analyze Contractor submitted data, review metrics and performance and evaluate potential process improvements. The Service Designating Official (SDO) is responsible for conducting and documenting annual execution reviews to monitor performance of the TAASC program.

6.0 Continuous Process Improvement:

This TAASC Program QASP is an evolving document. As Government initiatives and recommended process improvements are implemented, new metrics and performance measures may be added to this plan. One of the primary goals of the TAASC QASP is to foster continuous process and performance improvements.

7.0 Performance Assessment:

The following SS reflects the performance evaluation required by the PWS.

SS Performance Objectives

(Applicable to the TAASC Basic Contract and All Individual Task Orders)

PWS

Paragraph

The Contractor shall be responsible for the management of subcontractors, customer satisfaction, and professional and ethical behavior of the contract employees. (SS Item # two (2))

8.0 Procedures:

8.1 A SS will be included in the Performance Work Statement (PWS). This document will summarize the performance objectives and associated performance thresholds required by the Government in the Contractor’s performance. These performance objectives will directly relate to mission essential items. The performance thresholds briefly describe the minimum acceptable levels of services required for each objective, and are critical to mission success.

8.2 Corrective Action Report (CAR) A CAR (found on page 13) shall be used by the COR to document contract requirement findings and subsequent corrective actions to be taken. A computer-generated CAR may be used, provided the information on the CAR remains the same.

8.2.1 CAR Non-Conformance is divided into two types: Major and Minor. The COR will make a determination to be validated by the PCO as to whether the non-conformance is minor or major.

8.2.1.1 Major Finding: Major findings are contract non-conformances which are considered critical or major. IAW FAR 46.101, a major non-conformance means a non-conformance, other than critical, that is likely to result in failure or reduce the usability of the services for their intended purpose. A critical non conformance means a non conformance that is likely to result in a hazardous or unsafe condition for individuals using, maintaining, or depending upon the services; or is likely to prevent performance of a vital agency mission. If at any time COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, the COR shall document their findings and notify the Contracting Officer immediately in writing. Email is acceptable.

A. Contractor failure to meet a Performance Threshold.

B. Failure to provide adequate corrective action to preclude reoccurrence of Government identified findings.

C. Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period.

D. Any failure to adhere to security and/or safety regulations that results in a security or safety incident.

8.2.1.2 Minor Finding: IAW FAR 46.101, a minor non conformance means a non conformance that is not likely to materially reduce the usability of the services for their intended purpose, or is a departure from established standards having little bearing on the effective use or operation of the services. When the COR identifies a minor finding, the COR shall document the findings, but is not required to notify the Contracting Officer. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring, or has occurred, because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing. Email is acceptable.

8.3. The COR will perform surveillance per the above SS, to ensure Contractor compliance with the appropriate paragraphs of the PWS and record the results, noting the date and time of surveillance. If surveillance indicates unacceptable performance, the deficiency will be documented on the AF Customer Complaint Record (CCR) (found on page 12). The COR will provide a copy of this form to the Contractor (including the TAASC basic contract PM), notifying them of the deficiencies for correction. The Contractor shall be given a reasonable time, not to exceed three (3) business days, after notification to provide a corrective action plan. The corrective action plan shall be in Contractor format. The length of time allowed to correct the problem will depend upon the requirement and the deficiency. If resolution is achieved, the COR will attach the CCR to the quarterly TAASC Performance Assessment Report (PAR). The PAR will not contain any validated complaints without the CCR form attached.

If the COR is unable to achieve resolution, the CCR will be forwarded to the TAASC basic contract PM and PCO for resolution. Once the TAASC basic contract PM receives the corrective action plan from the Contractor, it will be sent to the COR for approval. If acceptable, no further action required. If unacceptable, the TAASC basic contract PM will have the COR prepare a Corrective Action Report (CAR)(found on page 13) and return for action.

The COR will not consider the services complete until all deficiencies have been corrected. If re-performance is not a possibility, the PCO will deduct the amount of funds required to purchase the services from the Contractor’s invoice.

Upon notification from the Contractor the defect has been corrected, the COR will verify the root cause and ensure corrective and preventative actions submitted by the Contractor are effective and prevent reoccurrence and provide acceptance to the TAASC PCO. The PCO will then provide the acceptance response to the Contractor.

8.3. Methods of Surveillance.

8.3.1 Customer Complaint/Observation. A customer observing unacceptable services, either incomplete or not performed, for any of the above performance objectives should immediately contact the TAASC COR. The TAASC COR will evaluate the complaints on a case-by-case basis. If any Government action or lack of action caused unacceptable performance, the complaint is not valid. The TAASC COR will document the invalid complaint and keep for their records. If the complaint is not a result of any Government action, the procedures in 8.3 will be followed.

8.3.1.1 100% Inspection. Items that require 100% inspection are always checked after completion of work to assure that work has been accomplished in accordance with the contract.

8.3.1.2. Periodic Inspection. The type of surveillance based upon selecting samples for evaluation on other than 100% inspection or on a statistically random basis.

8.3.1.3 Surveillance of Non-SS Items. The Government reserves the right to inspect and test all services required by the contract, to the extent practicable, at all times and places, during the term of the contract in accordance with the contract inspection clause.

9.0 Remedies for Unacceptable Performance:

9.1 In accordance with the contract Inspection of Services clause, if any of the services do not conform to contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of Contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may:

9.1.1 Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

9.1.2 Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

9.1.3 By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

9.1.3.1 Decrease the invoice amount in relation to performance, document negative Contractor CPAR ratings and negative quarterly PAR findings, issue cure notice, show cause notice and/or terminate the contract.

9.2 The PCO will determine the action to be taken against the Contractor, such as reductions in fee/price in accordance with the Inspection of Services clause. The PCO’s disposition of the deficiency will be annotated on the form and the COR and Contractor will be notified of action.

10. Initial Performance Review:

10.1 Per AFI 63-101, Acquisition of Services, the Services Designated Official (SDO) is responsible for completing an initial contract performance review within thirty (30) days after the Contractor assumes full responsibility. The Services Designated Official (SDO), defined in AFI 63-101, chapter four (4), may waive the initial evaluation for Contractors that have continued performance under a successor contract award (i.e. prior incumbent) or for Contractors which have otherwise demonstrated full compliance with contract start-up. A blank Performance Assessment Report (PAR) form may be used for this evaluation. If the SDO chooses to waive the initial evaluation, documentation must be provided to the TAASC program office.

10.1.1. Initial Performance Review Criteria. The MFT will report the results of the initial performance review to the SDO. The report will include an assessment of schedule, management, and technical performance. Negative variations in schedule, staffing, and/or performance will be reported with an assessment of the root causes and corrective action plan.

10.1.1.1 Schedule. The assessment will include a discussion of the Contractor’s adherence to the required delivery schedule and should address the Contractor’s efforts during the assessment period that contributes to or affect the schedule variance, as applicable.

10.1.1.2 Management. The assessment will include a discussion of 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 (to include timely identification of issues in controversy), customer satisfaction, timely award and management of subcontracts including progress on small business subcontracting goals, and the Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel, as applicable.

10.1.1.3 Technical. The assessment will include a discussion of the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (i.e. commonly accepted technical, professional, environmental, or safety and health standards), as applicable.

10.1.2. Assessment Values.

10.1.2.1. Green —No issues.

10.1.2.2. Yellow—Issue(s) but Contractor has an adequate mitigation or corrective action plan in place.

10.1.2.3. Red—Issue(s) with inadequate or no Contractor’s mitigation or corrective action plan. Any “RED” assessment will include the Government proposed actions with respect to the failing Contractor.

11. Performance Management:

11.1. Market Research. Market research has been conducted at the TAASC basic contract level.

11.2. MFT Meetings. The MFT will manage the contract for the life of the contract. This team will form a partnership between the Government and the Contractor to ensure the best possible service is provided for the life of the contract.

11.2.1. All performance assessment data will be reviewed at these meetings. If performance improvement is necessary a plan of action will be created. The MFT will continually review data and procedures to improve efficiency. The MFT will meet at a minimum annually, or more often if necessary, and be scheduled by the PCO.

11.2.2. The goal of the MFT is to give all members, Government and Contractor, a vested interest in maintaining the highest quality service to our customers and the ability to propose/initiate improvements. The success of the contract is a combined effort of all MFT members.

11.3. Contractor Performance Assessment Report (CPAR) System

Contractor performance is documented annually, if applicable, on a CPAR at the basic contract level and is not required for individual task orders. However, a Performance Assessment Review (PAR) will be required quarterly at the individual task order level. These PARs will be utilized by the TAASC basic contract COR to prepare the basic contract CPAR. The COR will also include positive, as well as negative, documentation on the PAR of Contractor performance. A negative or poor CPAR rating may impact the Contractor’s ability to compete for other Government source selections.

11.4. Disputes. Attempts will be made to resolve all disputes arising under this plan using the Alternate Dispute Resolution (ADR) as outlined in FAR 33.214, IAW FAR clause 52.233-1. The objective is to increase the opportunity to reach mutually agreeable resolutions to disputes that are relatively inexpensive and expeditious. If no resolution can be made under ADR, the parties will resort to the process set forth in the Disputes Clause, FAR 52.233-1.

11.5. Revisions to this QASP. Revisions to this QASP are the joint responsibility of the FC/FD, PCO, QAPC and COR. The COR reviews the QASP annually and will provide proposed changes through the FC/FD to the MFT for review. This is a living document that can be changed at any time.

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)

One copy each for Complainant, COR, Contractor, and Contracting Officer

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 FORMCHECKBOX

MAJOR FORMCHECKBOX

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

FORMCHECKBOX

ACCEPTED FORMCHECKBOX

REJECTED

12. CLOSE DATE