3.0_Quality_Assurance_Surveillance_Plan.pdf

Attachment 3.0 Instructions to Offerors FA811719R0014 OASIS

QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)*

A-10 Alpha Mach Computer Dual Pressure Transducer Assembly Redesign, Qualification and Approval

Purchase Request FD20301901931 09 May 2019

422 SCMS/GUEAA

Air Force Sustainment Center (AFSC) Tinker Air Force Base, Oklahoma

HOLMAN.LAUR Digitally signed by

COORDINATION

HOLMAN.LAURA.A.1239579511

A.A.1239579511 D-0_a5t_e'0:_02'_019.05.13 13:12:42 _

Quality Assurance Program Coordinator Date REIMER.GARY.D.12451 Digitally signed by

REIMER.GARY.D.1245192610

_9_2_6_1_0 D_a_te_: 2_0_19_.0_5._13_1_3_:4_6:5_0_-0_5'00'

Contracting Officer Representative** Date

Contracting Officer Date HEATON.JAMES. Digitally signed by

HEATON.JAMES.M.1191230449

M.1191230449 Date: 2019.05.14 09:18:18 -05'00'

Program Manager*** and/or Date

Functional Service Manager*** Date

***Signature constitutes approval of the QASP IAW AFI 63-138, paragraph 2.9.1.7

EDWARDS.CYNT Digitally signed by

HIA.M.1083509070 Date: 2019.05.14 09:09:00 -05'00'

EDWARDS.CYNTHIA.M.1083509070

*The Service Summary (SS) is releasable to the Contractor but the QASP is an internal Government document. (Reference AFI 63-138, chapter 6)

** if QA responsibilities will not be retained in house, but delegated to DCMA, please note which DCMA office will be responsible.

1. Objective: The contract resulting from Purchase Request FD20301901931 is for Redesign, Qualification and Approval of the A-10 Alpha Mach Computer Dual Pressure Transducer Assembly (DPTA). This requirement is provided for a redesigned supportable DPTA that is identical to the original unsupportable DPTA. Contractor's service will provide all labor, materials, tools, equipment, parts, transportation, etc. required to fulfill the requirements of the Performance Work Statement (PWS).

The purpose of the QASP is to provide a planned process for surveilling the Contractor’s actual performance and comparing that performance against the contractual requirements to determine conformity with the technical requirements of the contract. The QASP identifies and describes the roles and responsibilities for implementing and maintaining the following key elements of contract performance management:

1) Performance Planning & Preparation

2) Performance Assessment Surveillance

3) Performance Results Analysis and Reporting

4) Performance Assessment Follow-up

It is the responsibility of the Contractor, and not the Government, to ensure that the quality of services provided to the Government is IAW the Contractor’s Quality Management System (QMS). The Contractor’s QMS should be capable of executing four key quality functions:

1) Detection;

2) Identification;

3) Correction; and

4) Follow-up

The goal of the QMS is to obtain performance reflective of continuous improvement with no reliance on the Government’s surveillance to identify contract non-compliances. Contractors are responsible for submitting a complete QMS plan that is reviewed for acceptance by the Government. The QMS plan includes a quality control plan (QCP) addressing the “detection” function

2. Goals of the Multi-functional Team (MFT). 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 by team member. In addition, the overall responsibilities of the MFT include the following:

a. Ensures Services Summary (SS) items are measurable, surveil-able and directly align with applicable CPARS evaluation areas.

b. Identifies how CORs are to assess non-SS items as well as the Performance Based

Payment (PBP), if applicable. The MFT ensures QASP surveillance of SS performance objectives are scheduled and reported in a manner that integrate into a PBP plan (if used) and CPARS reporting. The MFT considers the applicability of a PBP plan IAW FAR 32.1001 with concurrence from the PM and/or FSM and CO.

c. Ensure the QASP adequately addresses surveillance of Contractor QMS related responsibilities that integrate the functional/technical activities quality requirements.

d. Ensures the QASP builds a surveillance plan that schedules surveillance of all Service Summary (SS) and non-SS items.

e. After contract award, ensures COR oversight focuses on the adequacy and adherence of the Contractor to their proposed QMS by paying special attention to:

1. Whether the COR or Contractor is first in detecting defects and trends.

2. Who (COR or Contractor) accomplishes more inspections, and

3. Whether the Contractor is proactively pursuing the four key QMS functions of detection of quality program problems and defects, identification of root causes, quality related problems/defects, correction of root causes related to detected and problem/defects, and follow-up to ensure quality related problems/defects do not recur.

f. Refer to AFI 63-138, chapter 2, paragraph 2.15 for a list of additional MFT responsibilities.

3.1. Procurement Contracting Officer (PCO) and/or Administrative Contracting Officer (ACO) Responsibilities: Advise the MFT on Surveillance Plan development.

1. Appoints a Contracting Officer Representative (COR) via a COR Designation Memorandum (prior to award or prior to their designation as a COR if appointed as a replacement COR after contract award), 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.

2. Provides Contract Specific Training for any COR appointed by the PCO, prior to contract award or prior to their designation as a COR if appointed as a replacement COR after contract award) .

3. Reviews and coordinates on the COR’s monthly and/or quarterly surveillance schedule.

4. Reviews and coordinates on the monthly and/or quarterly COR surveillance report in the month following the scheduled surveillance.

5. Approves any variance to the COR’s surveillance schedule.

6. Ensures the COR surveillance inspections are accomplished as required by the QASP.

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

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

9. Determines that the amount withheld constitutes a reasonable estimate of the

Contractor's potential liability.

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

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

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

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

14. 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.

15. Participates as a member of the MFT.

3.2. DCMA QAR /COR Responsibilities:

1. Provide technical support to the Program Manager (PM)/Functional Service Manager (FSM) and Contracting Officer (CO) and assist the MFT in developing performance requirements in pre-award activities.

2. Pre-award process: Assist the CO and MFT in determining Quality Management System (QMS) requirements being mindful of the requirements of FAR parts 12, 46, 52.212-4(a), 52.246, Chapter 6 of AFI 63-138 and the PWS. COR’s will aid in assessing Contractor submitted QMS’s for congruence with predetermined quality system requirements. Any proposed and accepted QMS exceeding the minimum Request for Proposal (RFP) PWS requirements shall be made part of the resultant contract/task order at the Contractor’s proposed rate, in a way that does not reveal the Contractor’s proprietary information.

3. Assist the MFT in developing the QASP or Award Fee/Incentive Plan, as applicable, prior to source selection that effectively measures and evaluates performance-based activity throughout the life of the functional contract requirement. CORs ensure the QASP is updated to ensure it reflects any contract changes.

4. COR completes all required DoD Standard COR training (see DoDI 5000.72 Enclosure 5 and Tables 2, 3 or 4 of Enclosure 6) prior to award or prior to their designation as a COR if appointed as a replacement COR after contract award and Contract Specific Training (see AFFARS MP 5301.602-2(d)) prior to award or prior to their designation as a COR if appointed as a replacement COR after contract award and/or Refresher Training IAW the DOD standard for certification of a COR (see DoDI

5000.72 Enclosure 5) prior to contract award or prior to designation as a COR if appointed as a replacement COR after contract award.

5. If functional Subject Matter Experts (SMEs) are utilized, develop a plan to collect surveillance documentation from all SME’s for consolidation into a single monthly and/or quarterly surveillance report.

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

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

8. Ensures discrepancy reports are accurate and reported properly.

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

10. Maintains accurate documentation of Contractor assessment activities as required by the surveillance plan and reports the results of Contractor assessment activities to the PM AND/OR FSM (no less than quarterly) and ACO/PCO.

11. Post-award process: Ensure Contractor’s accepted QMS complies with contract requirements. During post award, CORs need to place special emphasis in ensuring the Contractor’s QMS is being followed as written, plus is effective in bringing about the desired results – performance equal to or greater than the service summary (SS) metrics, plus an inspection and corrective action program that identifies and fixes issues without having to be identified by the government.

12. 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). *File (i.e. maintained in the CORT Tool) should include a copy of the contract/order and all modifications (unless readily available electronically); a copy of all COR training records (if applicable); a copy of COR designation memorandum filed in COR on-line file in CORT Tool (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;

copies of Contractor data submittals; records of all inspections performed and the results; and all other documentation of actions taken by QAR/COR.

13. If a SME identifies an area of concern regarding the conformance of the Contractor’s performance, verify the SME’s concerns and document any Contractor non-conformance of the contract requirements.

14. Submits all requests for corrective action to the PCO/ACO.

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

16. Assists with contract/order closeout.

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

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

19. Never direct a Contractor’s work or the re-performance of work, assist the Contractor in any task, advise the Contractor on how to accomplish any task, change the contract, or interpret the contract, but rather observe and report on Contractor compliance with contracted requirements.

20. Draft a CPAR evaluation for contractor performance when designated as the Contractor Performance Assessment Reporting System (CPARS) Assessing Official Representative (AOR) for a contract or task order.

21. IAW AFI 63-138, chapter 2, paragraph 2.12, if a Chief COR is not assigned the COR will perform the Chief COR responsibilities shown in paragraph 3.3 below in addition to the COR responsibilities identified under paragraph 3.2.

22. Participates as a member of the MFT.

3.3. Chief Contracting Officer Representative (COR) Responsibilities: (A Chief COR may be referred to as a Project Manager. If a Chief COR is assigned, they must also comply with the COR responsibilities identified in DoDI 5000.72, DFARS PGI 201.602 and AFFARS MP 5301.602-2(d). If a COR’s supervisor is assigned to perform the Chief COR responsibilities, the COR Supervisor would still be responsible for performing the COR Supervisor responsibilities shown under paragraph 3.6 below. If a Chief COR is not assigned, the responsibilities shown below will be performed by the COR in addition to the COR responsibilities identified in paragraph 3.2 above).

1. Ensure a COR file is maintained with COR records (COR qualification where applicable, contract, modifications, minutes, invoices and payments, inspection results, QASP, Award

Fee or Incentive Plan, etc.) and Memorandums for Record (MFRs) on significant issues relating to the contract as required in DoDI 5000.72. These documents are required to be managed in the Contracting Officer Representative Tracking (CORT) Tool. When a Chief COR is appointed for a service contract pursuant to AFI 63-138, chapter 2, the Chief COR must maintain the sole online COR file in the COR tool for the contract.

2. Inform the CO in writing of any required changes to the contract scope/performance work statement (PWS).

3. Develop and publish a monthly and/or quarterly surveillance schedule of all COR surveillance activities (label as “For Official Use Only”) unless processes in the applicable Award Fee/Incentive Plan delineate specific methods of surveillance unique to the acquisition. The surveillance schedule shall be comprised of a review of all service summary (SS) items and at least ten percent of non SS items but no more than twenty percent of non SS items. Submit to PM AND/OR FSM and CO for review NLT one duty day before the scheduled surveillance period begins. The COR must maintain documentation of the PM AND/OR FSM and CO coordination.

4. Develop and publish a monthly and/or quarterly surveillance report of all COR surveillance activities. The COR will identify any scheduled inspections not accomplished during a surveillance period in the monthly and/or quarterly report and address why the surveillance was not accomplished (in such cases, a statement from the PM AND/OR FSM and QAPC/CO approval for the variance is required). Submit to the PM AND/OR FSM and CO NLT the 5th work day of the month following the scheduled surveillance.

5. Draft Corrective Action Reports (CARs) for submission to the PM AND/OR FSM for each area of contractual non-conformity, either immediately or at the end of each surveillance period (as determined by your QASP and forward to the PM AND/OR FSM for review and the CO for issuance.

6. Assist PM AND/OR FSM and CO in verifying adequate corrective actions are taken to resolve problems.

7. Notify the CO if there is a high risk of the contract costs exceeding the amount programmed (if not PM assigned).

8. Assist CO with validating the accuracy of invoices submitted by the service provider prior to the government paying for the services.

9. Ensure a CPAR is accomplished no less than annually. The CO may determine an out of cycle CPAR is required to address performance concerns.

10. IAW AFI 63-138, chapter 2, paragraph 2.11, if a COR Supervisor is assigned to perform Chief COR duties, the COR Supervisor will also be responsible for performing the COR Supervisor responsibilities shown in paragraph 3.6 below in addition to the Chief COR responsibilities identified under paragraph 3.3.

11. IAW AFI 63-138, chapter 2, paragraph 2.11, if a Chief COR is not assigned the COR will perform the Chief COR responsibilities shown in paragraph 3.3 in addition to the COR responsibilities identified under paragraph 3.2 above.

12. Complete all required COR training.

3.4 Quality Assurance Program Coordinator (QAPC) Responsibilities:

1. Will assist the Contracting Officer and/or Contracting Officer Designee in providing Contract Specific Training per paragraphs 1.5.1 – 1.5.6 of AFFARS MP 5301.602-2(d) and/or Refresher Training regardless of provider for any COR, upon request.

2. Provide training for COR Management prior to contract award.

3. Approves any variance to the COR’s surveillance schedule.

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

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

6. Participates as a member of the MFT.

3.5 Program Manager (PM)/Functional Service Manager (FSM) Responsibilities:

1. Execute management and oversight for the delivery of contractually acquired services.

2. Specifically, identify those services within a requirement that are mission essential IAW

DFARS 252.237-7023. (i.e. FSM, which is the same as FC/FD, only responsibility)

3. Keep up-to-date on mission changes that may drive the need for a contract modification.

Coordinate with and seek advice from the CO on a possible need for a modification based on changes within the functional mission that could affect the performance requirements of the contract.

4. Ensure the adequacy of the Contractor’s QMS via input from the COR.

5. Makes certain that the Contractor’s QMS effectively accomplishes the detection, identification, correction and follow-up functions.

6. Ensures CORs do not become the Contractor’s quality control/quality assurance

(QC/QA)

function.

7. Is responsible, in conjunction with the CO, for addressing QMS non-conformities IAW paragraph 6.4 of AFI 63-138.

8. Is responsible for determining, with input from the MFT, if use of the customer complaint method of surveillance is appropriate IAW chapter 6 of AFI 63-138.

9. Review, approve, and sign surveillance schedules prior to upcoming surveillance periods.

10. When necessary, fulfill contracting office representative (COR) appointment and supervisory duties identified in paragraph 2.10 of AFI 63-138 (also shown in paragraph

3.6 below). Review and approve individual's nomination as CORs to the CO to enable appropriate contract surveillance. The COR(s) should be organizationally aligned with the PM AND/OR FSM whenever possible.

11. No less than quarterly, review Contractor performance documentation prepared by

COR

personnel to ensure performance is compatible with contract objectives.

12. Approve Quality Assurance Surveillance Plan (QASP).

13. Ensure a Contractor Performance Assessment Report (CPAR) is accomplished no less than annually by either the COR or the Chief, Contracting Officer Representative (C- COR). If the program is an ACAT program where services are embedded, the PM is responsible for accomplishing the CPAR.

14. Ensure assessments are consistent with the monthly surveillance reports.

11. Identifies mission essential services (i.e. FSM/Functional Commander/Director only responsibility)

15. Establish a tracking procedures to ensure MFTs are established and led by a PM or FSM as required in DoDI 5000.74.

16. Establish, lead and maintain MFT through the course of the acquisition (pre and post award).

17. Establish a governance to ensure a CPARS Assessing Official (AO) and Assessing Official Representative (AOR) is identified. During the assessment process, provide a perception of the Contractor's overall performance. In some instances this may require the PM AND/OR FSM to be either the AO or AOR.

18. Prepare slides and brief programs greater than $100M at the Annual Executive Review

(AER).

Note: The roles of the PM AND/OR FSM are defined in DoDI 5000.74. In addition, Enclosure 4 of DoDI 5000.74 requires the PM AND/OR FSM to be appointed by the Decision Authority listed in Table 1 of DoDI 5000.74

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

1. Review and approve COR nominations via the CORT Tool (i.e Special Access Programs are exempt from this requirement) at https://wawf.eb.mil . In order to meet the technical experience requirements of FAR 1.602-2(d)(3) and DoDI 5000.72, Enclosure 5, paragraph 4, COR supervisors ensure the COR nominee has relevant technical, professional, or administrative qualifications within the area to be surveilled by both training and experience commensurate with the required COR responsibilities prior to nominating an individual to the CO for COR duties.

2. Annually review the COR's qualifications and contract surveillance files for accuracy and completeness.

3. When required by the CO, ensure CORs submit their OGE Form 450 Confidential Financial Disclosure Report and annual training in a timely and accurate manner.

4. Evaluate the individuals performance as a COR and solicit feedback from the CO to include in the overall evaluation. Evaluation of CORs performance occurs if the COR is a dedicated full-time, part time or if the CORs duties are assigned as additional responsibilities.

5. Functionally align CORs under the Program Manager (PM)/Functional Service Manager (FSM), when possible.

6. Review problem areas identified by COR to facilitate COR/CO coordination to resolve problems.

7. Review Contractor performance documentation prepared by COR personnel to ensure performance is compatible with contract objectives.

8. Ensure prospective COR understands importance of performing their designated functions.

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

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

https://wawf.eb.mil/

12. Completes COR Management training provided by the Quality Assurance Program Coordinator (QAPC) prior to contract award.

13. Participates as a member of the MFT.

3.7 Defense Contract Management Agency (DCMA)/ACO-Specific Responsibilities:

1. Performs contract administration as defined in Federal Acquisition Regulation (FAR) Part

42 and DCMA Guidebook as needed and as authorized by the PCO.

2. Performs inspections and acceptance on all Contract Line Items (CLINs) that are inspection/acceptance at origin IAW the FAR clause and the DCMA Guidebook.

3. Initiates and monitors corrective actions given to the Contractor during the performance of the contract.

4. Keeps PCO informed of the corrective actions that pertain to the contract.

5. Notifies, when necessary, the PCO of any potential delays and any Contractor performance that poses risks to the completion and quality of the contract.

6. Participates as member of the MFT.

4. Performance Assessment.

The required performance objectives can be found in the Service Summary in the PWS. 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.

Method of Surveillance:

Performance Objectives

PWS Para

Performance Threshold

Method of Surveillance

Delivery of Agenda -

CDRL A1

3.1.1.1, 3.1.1.3, 3.1.1.4, 3.1.1.5, 3.1.2.6, 3.1.2.10, 3.1.1.6

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 1 or fewer defects. Defects are inaccuracies that impact date, time, location, or content of the conference.

100% Inspection

Delivery of Minutes -

CDRL A2

3.1.1.1, 3.1.1.3, 3.1.1.4, 3.1.1.6 3.1.1.5, 3.1.2.6, 3.1.2.10

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 1 or fewer defects. Defects are inaccuracies that impact the content of the conference.

100% Inspection

Delivery of Engineering Change Proposal (ECP)-

CDRL A3

3.1.2.1

Contractor shall deliver ECPs as required, and shall be delivered to the COR with 1 or fewer defects.

Defects are contract non-compliances.

Delivery of Temporary Non-Standard Modification Documentation and Marking Requirements for Test Equipment in Aerospace Vehicles and Related Ground Support Equipment - CDRL A4

3.1.2.4, 3.1.2.5

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non- compliances.

Delivery of Electromagnetic Interference Test Report

(EMITR) - CDRL A5

3.1.2.6 deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non- compliances.

100% Inspection

Delivery of Electromagnetic Interference Test Procedures (EMITP) -

CDRL A6

3.1.2.2, 3.1.2.6, 3.1.2.9

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are

Delivery of Lead-Free Control Plan (LFCP)

– CDRL A7

3.1.1.5, 3.1.1.7

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are

Delivery of Counterfeit Prevention Plan (CPP)

- CDRL A8

3.1.1.5, 3.1.1.8

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

Subsystem Specification

(SSS) - CDRL A9

3.1.1.2, 3.1.1.3, 3.1.2, 3.1.1.5, 3.1.2.9

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are

Delivery of Contractor’s Progress, Status, and Management Report

- CDRL A10

3.1.1 and shall be delivered to the COR with 2 or fewer defects on the 10th day of the month (or the next business day if the 10th falls on a holiday or weekend). Defects are inaccuracies that impact the content.

Delivery of Test Procedure (Functional Test Procedure) - CDRL A11

3.1.2.9 and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Test Procedure (Environmental) - CDRL A12

3.1.2.9

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Product Drawings/Models and Associated Lists - CDRL A13

3.1.2, 3.1.1.5, 3.1.2.9, 3.1.1.6

Contractor shall deliver the deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Reliability and Maintainability Predictions Report -

CDRL A14

3.1.2, 3.1.1.5 deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are

Delivery of Acceptance Test Plan (DI-QCIC-

80553A) - CDRL A15

3.1.2, 3.1.1.5 deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Test/Inspection Report, Integration Testing -

CDRL A16

3.1.2.3 deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Test/Inspection Report, Functional Testing -

CDRL A17

deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Test/Inspection Report, Environmental Testing -

CDRL A18

deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are contract non-compliances.

100% Inspection

Delivery of Test/Inspection Report, Ground & Flight Testing -

CDRL A19

3.1.2.7 deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are

Delivery of Failure Modes and Effects Criticality Analysis -

CDRL A20

3.1.1.8 deliverable as identified in the EA, and shall be delivered to the COR with 2 or fewer defects. Defects are

4.1. Procedures.

Depending upon the PWS service requirements, the MFT determines if an overall monthly or quarterly surveillance is warranted. For contracts with higher level quality requirements and/or numerous SS items, MFT’s should strongly consider a monthly surveillance schedule. In order to determine the overall COR surveillance schedule, if more than half of the SS items require a monthly surveillance cycle, then contract surveillance should require CORs to build a monthly surveillance schedule that would include quarterly cycle SS items evenly divided in each of the next three month surveillance schedules. For FAR part 12 commercial service contracts, contracts with a standard inspection of services clause and/or SS items, a quarterly inspection schedule may be warranted. Prior to executing a monthly/quarterly surveillance schedule (i.e. see paragraph 4.4 for information regarding review of non service summary items), CORs must coordinate the schedule through the PM and/or FSM and CO NLT the duty day before the schedule surveillance schedule period begins. The government QAR/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 QAR/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 notified by the PCO of the time allowed for correction when the deficiency is reported to the Contractor. After completing each scheduled surveillance, CORs must request a Contractor representative to initial the completed form in order to ensure the Contractor is aware the surveillance took place and was made aware of any noted defects in the surveilled service. If the Contractor does not meet a SS performance threshold or other PWS or QMS derived standard, CORs may draft Corrective Action Reports (CARs) for addressing areas of contractual non-conformity and forward to the PM and/or FSM and CO for review. Based upon the surveillance schedule, CORs will coordinate and submit a monthly or quarterly surveillance report of all scheduled surveillance through the PM or FSM and submit to the CO NLT the 5th work day of the month following the scheduled surveillance. The monthly/quarterly surveillance report format is determined by the COR, PM and/or FSM and CO. The COR shall document PM and/or FSM and CO coordination. The COR shall identify any scheduled inspections not accomplished during a surveillance period in the monthly/quarterly surveillance report as not completed and why the surveillance was not completed. In such cases, a statement from the PM and/or FSM and QAPC/CO approval for the variance is required. The QAR/COR will not consider the services complete until all deficiencies have been corrected. Deficiencies not corrected or estimated get well dates that are not acceptable to the QAR/COR will be forwarded to the PCO for action.

Performance of the contracted services will occur at facilities specified in the PWS.

The QAR/COR will certify services actually received under this contract in accordance with its terms and conditions, unless the PCO/ACO retains authority for acceptance. Format is at the discretion of the QAR/COR.

Upon notification from the Contractor that the defect has been corrected, the QAR/COR will re-inspect the area/task associated with the customer complaint or Correction Action Report that was issued by the Government. The QAR/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) If the QAR/COR identifies a service summary performance objective that does not conform to the applicable performance threshold, the QAR/COR may draft a CAR for addressing areas of contractual non-conformity. The COR will forward a copy of the CAR to the PM and/or FSM and CO for review. The QAR/COR identifies if the non-conformity is a minor, major, or critical non-conformity. The CO makes the determination on whether to issue the CAR to the Contractor. Contractor responses to CARs require identification of root cause, corrective action, follow-up actions, and get-well date. The CO, in consultation with the PM and/or FSM and COR assesses the contractor’s response for adequacy. Note: all PWS requirements are subject to surveillance; therefore, CARs are not limited to service summary performance objectives and may apply to non service summary items in instances threatening mission accomplishment. Technical/Functional support experts (i.e. PM, MAJCOM/DRU or base level subject matter expert) may be used to validate the technical/contractual/legal merits of the non-conformity and the adequacy of the contractor’s get-well plan. Once a contractor fails to meet a service summary standard, the QAR/COR does not need to wait until the end of the performance period to draft a CAR. In order to manage corrective action suspense’s and subsequent contractor responses, the COR will establish a tracking system for corrective actions that includes date COR submitted CAR to PM and/or FSM, date reviewed by PM and/or FSM, date reviewed by CO, date issued by CO, contractor’s identified root cause, proposed corrective action, contractor follow-up actions, and get-well date.

A computer-generated CAR may be used, provided the information on the CAR remains the same. See attached CAR and instructions for filling out contained at the end of this document.

4.1.2. Definitions of Major Findings & Minor Findings.

Major Findings. 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 QAR/COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, the QAR/COR shall document their findings and notify the PM and/or FSM and Contracting Officer immediately in writing (email is acceptable).

A. Contractor failure to meet a Service Summary Performance Threshold or other PWS or QMS derived standard.

B. Failure to provide adequate corrective action to preclude reoccurrence regardless of whether the finding is Government or Contractor identified.

begins, the inspection schedule shall be comprised of at least ten percent of non-service summary items, but no more than twenty percent.

C. Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed get-well date.

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

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 QAR/COR identifies a minor finding, the QAR/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 QAR/COR shall notify the Contracting Officer in writing (email is acceptable).

4.2. Method of Surveillance. 100% Inspection. This surveillance method is preferred for contractor services that do not occur frequently, are critical, and/or have stringent performance requirements. When using this surveillance method, QAR/CORs inspect and evaluate the contractor’s performance every time they accomplish the service. See attached copy of performance assessment report and instructions for filling it out at the end of this document.

4.3. Standard. The first corrective action required of an individual service not meeting contract requirements is the re-accomplishment of the service at no charge to the government. QAR/COR documentation of the services not meeting contract requirements denotes the contractor has to re-perform the service. However, upon advice of the technical/functional activity and the nature of the service, the CO may pursue other options. 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 QAR/COR will annotate the unacceptable performance and notify the PM and/or FSM and PCO in order to address the problem areas with the Contractor. In those instances where re-performance is not possible, the government can require the contractor to take necessary actions to ensure future performance of a service meets contract requirements. In such instances, the CO should require the contractor to develop a plan that ensures future performance of that service meets contractual requirements. In addition, the CO may seek consideration for any services not provided or that do not otherwise meet contractual requirements. Typically, re-performance applies to a single performed service but can apply for a series of services covered under a service summary performance objective over a monthly or quarterly performance period.

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. Prior to the COR executing a monthly/quarterly surveillance schedule for review by the PM and/or FSM and CO NLT the duty day before the schedule surveillance period

4.5. Remedies for Non-Conformance. The types of corrective actions available to the government for contractor services not meeting contract requirements are prescribed in FAR

52.246. Examples available to the government range from re-performance of a service, requiring the contractor to develop plans to ensure future contractual conformity, and financial withholding.

This above list is not intended to be all inclusive. In the most egregious instances of contractual non-conformity, COs may pursue cure notices and show cause notices. Note, A contractor not meeting a service summary performance threshold during the prescribed performance period is considered a contractual non-conformity; however, failure of a single surveillance, in most instances, is not considered a contractual non-conformity but rather a failure to meet contract performance requirements (i.e. standards/performance thresholds etc.). If inspections indicate unacceptable performance, the QAR/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 QAR/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 QAR/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, subcontractor’s 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 in performance of the contract, especially with regard to the contractor

QMS.

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

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. Assess and manage contractor performance data to include submitting CPAR reports.

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 Contractor Performance Review. The MFT will assess and manage performance data, to include CPAR reports. IAW AFI 63-138, this could include the MFT providing regular performance reports to the Program Manager (PM) and/or Functional Service Manager (i.e. this is the same as the Functional Commander/Functional Director) to ensure that performance is compatible with contract objectives. This information provides the PM and/or FSM with valuable feedback on how well a contractor is performing when it comes time to prepare a CPARS assessment, if applicable.

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

REVISION QASP CHANGE ACTIVITY DATE

Original Surveillance Plan for CSAG Engineering Project/MPST

Project 4123; A-10 Alpha Mach Computer Dual Pressure Transducer Assembly Redesign, Qualification and Approval

03-May-2019

Examples of

+ Metrics.docx corrective_action_rep ort.pdf customer_complaint_ record.pdf performance_assess ment_report.pdf

corrective_action_rep ort.pdf