QASP_KC135_ASES_Bridge_25_Aug_14.docx

QUALITY ASSESSMENT SURVEILLANCE PLAN (QASP)

C/KC-135 Avionics Sustaining Engineering Services (ASES) CY15 Bridge

PWS AFLCMC/WKDAA-PWS-14-017

29 August 2014

Prepared by

AFLCMC/WKDAA

3001 Staff Dr Ste 2AC489D Tinker Air Force Base, Oklahoma

1. Objective: This Quality Assessment Surveillance Plan (QASP) provides a systematic method for the Contracting Officer’s Representative (COR) to evaluate the quality of the contractor’s performance in providing Engineering Services for the sustainment of the avionics systems, subsystems, related avionics systems components and associated ground/flight software used on the C/KC-135 aircraft weapon systems. The oversight provided for in the contract and in this plan will ensure that service levels reach and maintain the required levels through the term of the contract as well as providing the COR with a proactive way to avoid unacceptable or deficient performance. In addition to the services described in the PWS, Contractor is expected to be a partner with the Legacy Tanker Division in continuously improving the quality and value of services.

2. Multi-functional Team (MFT): The requirements of this QASP will be executed using a multi-function team concept. The goals of this team are to provide the highest levels of contract performance and customer satisfaction.

3. MFT Members and their Responsibilities: The membership, goals and responsibilities of the MFT are outlined below. Upon award of the contract, the Contractor will become a member of this team.

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

1. Lead Authority on QASP.

2. Appoints a Contracting Officer Representative (COR) via a COR Designation Memorandum, indicating their areas of responsibilities and limitation of authority and ensures that the COR, Contractor and Quality. Assurance Program Coordinator (QAPC) are notified in writing of such.

3. Provides Contract Specific Training for any COR appointed by the PCO.

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

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

6. Determines that the amount withheld constitutes a reasonable estimate of the Contractor's potential liability.

7. Ensures that the withholdings represent an amount commensurate with the reasonable value of such services.

8. Ensures past performance inputs are prepared documenting any performance issues.

9. Includes in the contract file documentation identifying nonperformance and actions taken.

10. Keeps communication lines open with the Contractor regarding performance issues.

11. Participates as a member of the MFT.

12. Terminates the COR Designation in writing, when appropriate, and forwards copies of COR Termination to the COR, COR Supervisor and QAPC and notifies the Contractor.

3.2. COR Responsibilities:

1. Ensures supplies or services rendered by Contractor meet contract requirements.

2. Notifies the PCO and the Contractor of any performance deficiencies in writing or by e-mail.

3. Assists with contract/order closeout.

4. Ensures discrepancy reports are accurate and reported properly.

5. Completes DoD Standard COR training and the Contract Specific Training prior to contract start date and/or Refresher Training IAW the DOD standard for certification of a COR.

6. Identifies areas that warrant a change in assessment method, frequency, or performance threshold and provides suggestions about the surveillance plan to the PCO.

7. Maintains accurate documentation of Contractor assessment activities as required by the surveillance plan and reports the results of Contractor assessment activities to the PCO.

8. Works with the Contractor and the PCO/ACO to resolve issues.

9. Maintains a file in accordance with (IAW) the Surveillance Plan and requests PCO/ACO disposition at the completion of the contract or termination of COR appointment (if applicable). Note: The file should include a copy of the contract/order and all modifications (unless readily available electronically); a copy of COR designation memorandum (if applicable); correspondence between you and the Contractor; copies of correspondence to or from PCO/ACO; minutes of all meetings; copies of all invoices submitted and paid; and all other documentation of actions taken by COR.

10. Submits all requests for corrective action to the PCO.

11. Inspects and accepts Contractor services at the completion of each contract payment period, usually monthly. The COR will certify services actually received, unless the PCO/ACO retains the authority for acceptance.

12. Participates as a member of the MFT.

13. Ensures the Contractor complies with the requirements of FAR clause 52.222-50(c),(d) and (f) (Combating Trafficking in Persons).

3.3. Quality Assurance Program Coordinator (QAPC) Responsibilities:

1. Assists 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 regardless of provider for any COR, upon request.

2 Provides training for COR Management.

3. Supports the MFT in the development of contract requirements specifically to ensure that requirements are clearly stated and enforceable.

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

5. Participates as a member of the MFT.

3.4. Contracting Officer Representative (COR) Management (i.e. Supervisor) Responsibilities:

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

2. Ensure 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 services (i.e., Functional Commander only responsibility).

7. Identifies mission essential services (i.e. Functional Commander only responsibility).

8. Completes training offered by the Quality Assurance Program Coordinator (QAPC).

9. Participates as a member of the MFT.

4. Performance Assessment: The required performance objectives can be found in the Service Summary in the PWS and in Table 1 below. The contractor service requirements are summarized into performance objectives that relate directly to the mission essential items. The performance threshold describes the minimum acceptable levels of service for each requirement. The contractor shall be aware that the absence of any contract requirement from the service summary does not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract.

Table 1: SERVICES SUMMARY

NOTE 1: For this objective, a complaint is defined as a single, documented incident of non-compliance with the requirements of the PWS which required additional work by contactor or government personnel to rectify.

Customer Complaints Periodic Inspection

90% of FFP/CPFF proposals* requested during a contract period must be submitted within 40 calendar days (EAs ≤ $650,000) or 60 calendar days (EAs > $650,000).

The remaining 10% of FFP/CPFF proposals* requested during a contract period must be submitted within 60 calendar days (EAs ≤ $650,000) or 90 calendar days (EAs > $650,000).

T&M EAs 80% of T&M proposals* requested during a contract period are submitted within 5 calendar days.

The remaining 20% of T&M proposals* requested during a contract period are submitted within 8 calendar days.

*For purposes of calculating performance threshold requirements, fractional number of proposals shall be rounded up to the next whole number.

100% Inspection

3.1.1.3

FFP EAs N/A. By definition, all FFP EAs must be completed within the originally authorized cost estimate

CPFF EAs 85% of all CPFF EAs* closed during a contract period must be completed within the originally authorized cost estimates.

The remaining 15% of CPFF EAs* closed during a contact period must be competed at no more than 10% above the originally authorized cost estimates.

T&M EAs 80% of all T&M EAs* closed during a contract period must be completed within the originally authorized cost estimates.

The remaining 20% of T&M EAs* closed during a contact period must be completed at no more than 15% above the originally authorized cost estimates.

*For purposes of calculating performance threshold requirements, fractional numbers of EAs shall be rounded up to the next whole number.

NOTE 1: The PCO may approve a reduction in the Maximum Authorized Expenditure (MAE) for EAs if, during the course of performance, the Contractor proposes use of alternative procedures and/or materials which reduces the overall projected cost to the Air Force while still achieving the essential functions or characteristics at the lowest life cycle cost consistent with required performance, reliability, quality, and safety. If approved, the revised MAE will be used for subsequent objective threshold computations and will not be considered a Contractor cost deviation.

NOTE 2: EA cost changes driven by the Government will constitute a new negotiated price/ MAE and will not be considered a Contractor cost deviation.

100% Inspection

80% of FFP EAs* closed during a contract period must be completed within the originally authorized period of performance.

The remaining 20% of FFP EAs* closed during a contract period must be completed with no more than a 15% schedule increase** from the originally authorized period of performance.

CPFF EAs 85% of CPFF EAs* closed during a contract period must be completed within the originally authorized period of performance.

The remaining 15% of CPFF EAs* must be completed with no more than a 20% schedule increase** from the originally authorized period of performance.

T&M EAs 80% of T&M EAs* closed during a contract period must be completed within the originally authorized period of performance.

The remaining 20% of T&M EAs* must be completed with no more than a 20% schedule increase** from the originally authorized period of performance.

*For purposes of calculating performance threshold requirements, fractional number of EAs shall be rounded up to the next whole number.

**For purposes of calculating performance threshold requirements, schedule increase will be rounded up to the next whole number of days.

NOTE 1: EA Schedule extensions driven by the Government will not be considered a Contractor schedule deviation.

100% Inspection

NOTE 1: For this objective, a complaint is defined as a rejected data submittal which is returned to the contractor for rework due to noncompliance with requirements.

Customer Complaints 100% Inspection

Customer Complaints Periodic Inspection

100% of final delivery T.O. source data is delivered accurate and error free.

100% Inspection

Notes

1A. Sampling Method for SS-1, SS-5 and SS-6 (Customer Complaint): N/A 1B. Inspection Procedures for SS-1, SS-5 and SS-6 (Customer Compliant): See Section 4.2.1 of the Performance Plan and the follow-up procedures as shown under Section 4.1. Documentation will be kept on file and made available to the PCO upon request.

2A. Sampling Method for SS-1 and SS-6 (Periodic, Monthly and/or Quarterly): On a monthly and/or quarterly basis, the QAP will follow the quality assurance procedures per the contract inspection clause by periodically reviewing the output which may include review of contract deliverables etc. in order to document contractor performance.

2B. Inspection Procedures for SS-1 and SS-6 (Periodic, Monthly and/or Quarterly): The QAP will track on a monthly and/or quarterly basis the results associated with his/her performance of the quality assurance procedures per the contract inspection clause in order to verify if the performance threshold has been met. Documentation will be kept on file to show when surveillance was performed and made available to the PCO upon request.

4.1. Procedures: The government COR will periodically perform inspections to ensure Contractor compliance with the appropriate paragraphs of the PWS and will record the results of inspections, noting the date and time. If inspection indicates a performance threshold is not met, the COR will notify the Contractor and the contracting officer of the deficiency for correction. The Contractor shall be given a reasonable time after notification to correct the unacceptable performance if such correction is possible. The length of time allowed to correct the problem will depend upon the requirement and the deficiency, and the Contractor will be notified by the PCO of the time allowed for correction when the deficiency is reported to the Contractor. The COR shall not consider the services complete until all deficiencies have been corrected. Deficiencies not corrected or estimated dates of completion that are not acceptable to the COR will be forwarded to the PCO for action.

The COR will certify services actually received under this contract in accordance with its terms and conditions. Format is at the discretion of the COR.

Upon notification from the contractor that the defect has been corrected, the COR will re-inspect the area/task associated with the customer compliant or Corrective Action Report that was issued by the government. The COR will verify the root cause and corrective/preventative actions submitted by the contractor are effective and prevent reoccurrence.

4.1.1. Corrective Action Report (CAR) A CAR 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. A sample CAR with instructions in contained in Attachment 1 to this performance plan.

4.1.2. Definitions of Critical, Major and Minor Non-Conformances

4.1.2.1. A critical non conformance is 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

4.1.2.2. A major non-conformance is a non-conformance, other than critical, that is likely to result in failure or reduce the usability of the services for their intended purpose..

When the COR identifies a critical or major non-conformance such as (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., or (d) any failure to adhere to security and/or safety regulations that results in a security or safety, the COR shall document their findings and notify the Contracting Officer immediately in writing. E-mail is acceptable.

4.1.2.3. A minor non-conformance is 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. E-mail is acceptable.

4.2. Methods of Surveillance: 1) Customer Complaints/Observation, 2) Periodic Inspection and 3) 100% Inspection.

4.2.1. Customer Complaint/Observation: A report of noncompliance with the requirements of the PWS by any recipient of a deliverable provided by the contractor. The COR will furnish written instructions and/or customer training to each organization receiving the contractor’s services so that PWS requirements, actions that may be expected from the COR, contract administrator and PCO as a result of a complaint and the limitations in dealing with contractor personnel may be understood by all stakeholders.

Any customer observing unacceptable services, either incomplete or not performed, for any of the above performance objectives should immediately contact the COR. The COR must 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 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 paragraph 4.1 will be followed.

4.2.2. Periodic Inspection: Physical verification by the COR on a monthly or quarterly basis that a sampling of deliverables (reports, etc) provided to the government complies with the requirements of the PWS.

4.2.3. 100% Inspection: Physical verification by the COR that all deliverables (reports etc.) provided to the government comply with the requirements of the PWS.

4.3. Standard: The Contractor must correct each discrepancy through re-performance. Recurring discrepancies during the reporting period which bring the performance threshold below the acceptable level will be recorded and reported to the PCO for appropriate action. Additionally if the same discrepancy (ies) occurs repeatedly throughout different reporting periods, this will reflect upon the Contractor's performance. The COR will annotate the unacceptable performance and notify the PCO in order to address the problem areas with the Contractor. In those instances where re-performance is not possible, the CO may deduct payment IAW the inspection of services clause.

4.4. Surveillance of Non-Service Summary Items: The Government reserves the right to inspect and test services required by the contract, to the extent practicable, at all times and places during the term of the contract IAW the contract inspection clause.

4.5. Remedies for Non-Conformance: If inspections indicate unacceptable performance, the COR will notify the Contractor of the deficiencies for correction. The Contractor shall be given an appropriate time frame (depending on the discrepancy identified) after notification to correct the unacceptable performance. If deficiencies are not corrected within the required time frame, the COR should notify the PCO for action. If the Contractor disagrees with the noted discrepancy and an agreement cannot be reached, the PCO shall be notified for a final decision.

4.6. Positive and Negative Incentives: IAW the results of the COR surveillance documentation, areas warranting a change in assessment method, frequency, or performance threshold will be changed in either a positive or negative manner throughout the life of the contract, if warranted.

4.7 Combating Trafficking in Persons: IAW DFARS PGI 222.17, the COR shall pursue, as appropriate, the following methods of monitoring the contractor's performance regarding trafficking in persons such that non-compliances with FAR clause 52.222-50 are brought to the immediate attention of the Contracting Officer:

a. Keep the lines of communication open with the contractor. At the Post-Award conference, remind the contractor of his contractual responsibilities to notify the government if the contractor receives notification of any alleged violations to this policy or if actions have been taken against the contractor employees, subcontractors or subcontractor employees pursuant to the clause.

b. When appropriate, encourage contractor to complete Human Trafficking Awareness Training.

c. Encourage the contractor to take steps to investigate and eliminate slavery and human trafficking in their supply chains and to publish information for consumer awareness.

d. Periodically access the Department of State's Trafficking in Person (TIP) website for updates and to view the latest reports.

http://www.state.gov/g/tip.

5. Performance Management

5.1. Market Research: Market research will be used as a tool throughout the life of the contract to remain current with the most efficient and effective assessment methods and techniques of the commercial marketplace.

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

5.2.1. All performance assessment data will be reviewed at these meetings. If performance improvement is necessary a plan of action will be created.

5.2.2. The goal of the MFT is to give all members 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.

5.3. 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. The objective is mutually agreeable resolutions that are relatively inexpensive and expeditious. If no resolution can be made under ADR, the PCO shall be notified for a final decision.

5.4. Initial Contract Performance Review: The MFT initial evaluation of contractor performance will take place within 30 days after the contractor assumes full performance responsibilities (i.e. after completion of transition/mobilization) 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. The Services Designated Official (SDO) 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. Separate initial contract performance review is not required when they would duplicate existing reviews.

5.4.1. Initial Contract 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, technical, staffing and cost performance (i.e. cost performance will be reported only if other than Firm Fixed Price). Negative variations in cost, schedule, staffing, and/or performance will be reported with an assessment of the root causes and corrective action plan.

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

5.4.1.2 Management/Performance. 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.

5.4.1.3 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.

5.4.1.4 Cost. The assessment will include a discussion of the contractor’s effectiveness in forecasting, managing, and controlling contract cost, as applicable.

5.4.1.5 Staffing. The assessment will include a discussion of contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel, as applicable.

5.4.1.6. Special Interest Items. Special interest items are to be included in the initial performance report when significant modifications to the contract have been made since contract award.

5.4.2. Assessment Values.

6. Revisions to this QASP: Revisions are the joint responsibility of the ACO, PCO and COR. This document can be changed at any time following coordination with the MFT.

ATTACHMENT 1: Sample CAR Document

CORRECTIVE ACTION REPORT (CAR)

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

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

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

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

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

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

CORRECTIVE ACTION REPORT (CAR)

Continuation Sheet (Number to correspond with applicable Item Number on reverse)

Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

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

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director is the Issuing Authority for his/her Contracting Officer’s 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 Performance Plan (PP), paragraph 6.1.4, for the definitions of Major and Minor findings and associated explanations.

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

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

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires a greater amount of time to come to solution. Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract CORs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

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

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

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

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