EMATS_QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

F100 ENGINE MANAGEMENT AND TRACKING SYSTEM (EMATS)

PR Number FD2030-16-31967

15 AUGUST 2016

AFLCMC/LPSIA

Tinker AFB, OK 73145-3031

1. Objective: The contract resulting from Purchase Request FD2030-16-31967 is for the F100 Engine Management and Tracking System (EMATS) to support FMS F100 users of EMATS. Pratt and Whitney (P&W) as a sole source Original Equipment Manufacturer (OEM) provider.

2. Goals of the Multi-functonal Team (MFT): The goals of this team are to manage this contract and provide an avenue to collectively work together to expedite installation between the using agency, contracting, and the Contractor to provide the highest levels of contract performance and customer satisfaction.

3. MFT Member and their Responsibilities: The membership, goals, and responsibilities of the MFT are outlined below.

Procurement Contracting Officer (PCO) and/or Administrative Contracting Officer (ACO)

Responsibilities:

1) Advise the MFT on Surveillance Plan development.

2) Appoints a Quality Assurance Representative/Contracting Officer Representative

(QAR/COR) via a QAR/COR designation memorandum, indicating their areas of responsibilities and limitation of authority and ensure that the QAR/COR, Contractor and Quality Assurance Program Coordinator (QAPC) are notified in writing of such.

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

4) Maintains suitable records reflecting decision regarding acceptability of requirements as well as action to correct defects.

5) Request 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) Upon award of the contract, the contractor will become a member of the team.

13) Terminates the QAR/COR Designation in writing, when appropriate, and forwards copies of QAR/COR Termination to the QAR/COR, QAR/COR Supervisor and QAR/COR and notifies the Contractor.

QAR/COR Responsibilities:

1) Ensures services rendered by the Contractor meet contract requirement.

2) Assists with contract/order closeout.

3) Notifies the PCO and the Contractor of any performance deficiencies in writing.

4) Identifies areas that warrant a change in assessment method, frequency, or performance threshold and provides suggestions about the QASP to the PCO.

5) Ensures discrepancy reports are accurate and reported properly.

6) QAR/COR completes DoD Standard QAR/COR training and the Contract Specific Training prior to contract start date and/or Refresher Training in accordance with (IAW) the DoD standard for certification of a QAR/COR.

7) Maintains accurate documentation of Contractor assessment activities as required by the QASP and reports the results of Contractor assessment activities to the PCO/ACO.

8) Maintains a file IAW the QASP and requests PCO disposition at the completion of the contract or termination of QAR/COR appointment (if applicable).

9) Submits all requests for corrective action to the PCO.

10) 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.

11) Participates as a member of the MFT.

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

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

QAR/COR Coordinator (QAR/COR) 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 regardless of provider for any QAR/COR, upon request.

2) Provide training for QAR/COR Management.

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

4) Is the lead authority on development for the Service Summary and QASP.

5) Participates as a member of the MFT.

Contracting Officer Representative (QAR/COR) Management (i.e. Supervisor)

Responsibilities:

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

2) Ensure prospective QAR/COR understands importance of performing their designated functions.

3) Ensure the QAR/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

QAR/COR’s annual performance appraisal.

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

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

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

8) Completes training offered by the Quality Assurance Program Coordinator (QAR/COR).

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. 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.

Service Summary

Performance Objective Reference Paragraph (Para)

Performance Threshold

SS–1 The Contractor shall provide technical and program support for a specified period from date of delivery order.

Technical support includes resolution of all EMATS related software problems, software changes and new releases/updates. Technical and software support will be provided remotely from the Contractor. The Contractor has established a dedicated email address to receive all technical support and software questions

– gppwemats@pw.utc.com.

All user’s EMATS questions/concerns/issues shall be acknowledged within 24 hours during normal business operating hours.

As part of program support, the Contractor shall assign personnel, as appropriate, to manage and administer program activities, including contract administration and financial control.

Performance Work Statement, Section 1 Para 1.1.1.

95% of all user’s EMATS questions/concerns/issues shall be acknowledged within 24 hours after receipt during normal business operating hours.

SS‐2 The Contractor shall provide software updates via maintenance release, updater or patch resolve EMATS product defects.

Performance Work Statement, Section 1 Para 1.1.2

100% software updates will be delivered and configuration reports shall reflect any updates performed by the Contractor.

4.1. Procedures:

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 be notified by the PCO of the time allowed for correction when the deficiency is reported to the Contractor. The QAR/COR shall not consider the services completed until all deficiencies have been corrected. Deficiencies not corrected or estimated dates of completion that are not acceptable to the QAR/COR will be forwarded to the PCO for action.

The QAR/COR will certify services actually received under this contract IAW its terms and conditions.

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 Corrective 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.

Performance of the contracted services will occur on site at the contractor’s facilities:

P&W Military Engines 400 Main Street East Hartford, CT 06108

4.1.1 Corrective Action Report (CAR). A CAR shall be used by the QAR/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. See attached CAR and instructions for filling out.

SS‐3 The Contractor shall develop, maintain, and deliver a Progress, Status and Management Report bi‐annually.

The Bi‐Annual report will be generated for each customer based on receipt from the end‐user’s system image to the Contractor the on the first of June and January. FMS users that do not submit their data to the Contractor cannot expect an analysis report.

Analysis reports will be provided to the customer in February and July. Data elements to report on are:

Hardware, Application and Data issues. Likewise the contractor shall provide individual user EMATS configuration reports to the PCO bi‐annually. The report should document software revisions and include any applicable license expiration dates, if applicable. Additionally, the Contractor shall include in their report any Service Help Desk requests submitted by the users and a description of the issue/problem and its resolution

Performance Work Statement, Section 1 Para 1.3

Contractor will provide the Report by 15 February and 15 July for the duration of the contract. The report will contain all the elements described in Section 1, Para 1.3. of the Performance Work Statement.

4.1.2 Definitions of Major Findings & Minor 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 nonconformance 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 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.

Minor Finding. IAW FAR 46.101, a minor non conformance means a nonconformance 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. Methods of Surveillance. 1) Periodic Inspection of process or output; 2) Random Inspection or,

3) Customer Complaint/Observation. 4) 100% inspection

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

4.2.2 Customer Complaint - Any customer observing unacceptable services, either incomplete or not performed, for any of the above performance objectives should immediately contact the QAR/QAR/COR. The QAR/QAR/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 QAR/QAR/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 the 4.1 will be followed. The QAR/COR will furnish written instructions and/or customer training to each organization receiving the contractor’s services.

4.2.3 Random Inspection - A statistically based method that assumes a receipt of acceptable performance if a given percentage or number of scheduled assessments are found to be acceptable.

4.2.4 100% Inspection - All deliverables (reports etc.) will be inspected 100% for the errors and omissions. Documentation will be kept on file to show when surveillance was performed and made available to the PCO upon request.

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 QAR/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 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 QAR/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.

6. Revisions to this Quality Assurance Surveillance Plan. Revisions are the joint responsibility of the PCO and QAR/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. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

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

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

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 Quality Assurance Personnel (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 contract Quality Assurance Evaluators (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 QASP (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 bloc