Section_J_Attachment_8_Draft_PSSC_QASP_20140325.docx

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

INTERCONTINENTAL BALLISTIC MISSILE (ICBM)

PROPULSION SUBSYSTEM SUPPORT CONTRACT (PSSC)

AIR FORCE NUCLEAR WEAPONS CENTER (AFNWC)

ICBM SYSTEMS DIRECTORATE (ICBMSD)

Flight Systems Division (AFNWC/NIB) ICBM Propulsion Branch (AFNWC/NIBB)

HILL AIR FORCE BASE, UTAH 84056

As of 21 March 2014

Coordination and Review:

TREVOR A. BAILEY Date Contracting Officer Representative

MARK L. ELKINS Date Contracting Officer Representative

JED NOORDA Date Contracting Officer

DONALD G. MOWLES Jr. Date Program Manager, PSSC

Table of Contents

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Propulsion Subsystem Support Contract (PSSC)

1. Vision

Nuclear Excellence…2030 and beyond.

Mission

Deliver a safe, secure, responsive, on-time and on-target nuclear deterrent force to the warfighter as the Nation's Nucleus for ICBM development, acquisition, and sustainment.

Purpose

This Quality Assurance Surveillance Plan (QASP) is a Government-developed document used to determine if the contractor’s performance meets the performance objectives contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

· What will be monitored

· How monitoring will take place

· Who will conduct the monitoring

· How monitoring efforts and results will be documented

The contractor is responsible for implementing and delivering performance that meets contract standards using the contractor’s Quality Control Plan (or equivalent contractor document). This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. The QASP provides the structure for the Government’s surveillance of the contractor’s performance to assure that it meets contract standards. It is the Government’s responsibility to be objective, fair, and consistent in evaluating contractor performance.

This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the contractor. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

Authority

Authority for issuance of this QASP is provided under Federal Acquisition Regulation (FAR) Part 46, Quality Assurance, Inspection of Services clauses, which provides for inspection, acceptance, and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or a duly authorized representative.

Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

Contracting Officer (CO):

Assigned CO: Jed Noorda Organization or Agency: AFNWC/PZBF Telephone: 801.777.8878 Email: Jed.Noorda@us.af.mil

The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the Government in the contractual relationship. The CO shall also ensure the contractor receives impartial, fair, and equitable treatment under this contract. In the performance of overseeing and coordinating surveillance activities, the CO, as a minimum, will perform the following:

· Determines the final assessment of the contractor’s performance

· Reviews the contracting officer representative’s (COR) reports for completeness/accomplishment

· Provides an assessment of the COR’s performance to the COR’s supervisor as requested

· Follows up with COR via written assessment and discussion if COR reports and/or performance are inadequate

· Delegates authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract

· Informs the contractor of the names, duties, and limitations of authority for all CORs assigned to the contract

Contracting Officer’s Representative (COR):

Assigned COR: Trevor A. Bailey Organization or Agency: AFNWC/NIBB Telephone: 801.775.4706 Email: Trevor.Bailey.1@us.af.mil

The COR is responsible for providing continuous oversight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The purpose is to ensure the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the CO. The COR is required to provide an annual, or as requested, performance assessment to the CO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

Engineering Contracting Officer Representative (EN COR) Assigned EN COR: Mark Elkins Organization or Agency: AFNWC/NIBE Telephone: 801.777.0623 E-mail: Mark.Elkins@us.af.mil

The EN COR researches common surveillance or quality control methods. The EN COR performs surveillance according to this plan and provides documentation of surveillance observations to the CO. The EN COR will focus on tasks directly related to Engineering, i.e., technical performance, evaluating technical deliverables, and technical assessments.

In the performance of overseeing and coordinating surveillance activities, the CORs, as a minimum, will perform the following:

· Certifies acceptance of services

· Remains abreast of changes to terms and conditions of the contract, resulting from contract modifications

· Performs only those duties/responsibilities delegated by the CO in the CO’s Designation Letter

· Shall not appoint, delegate, or redelegate COR duties/responsibilities to another individual (only a CO may designate a COR and delegate duties/responsibilities to a COR)

· Performs inspections to evaluate and document the contractor’s performance and notifies the CO of any significant performance deficiencies

· Provides reports on contract performance to the CO (if advised by the CO that reports are inadequate, ensures follow-on reports address issues expected by the CO)

· Establishes and maintains a COR file in accordance with Defense Federal Acquisition Regulation Supplement (DFARS) Procedures, Guidance, and Information (PGI) 201.602-2(ii), Contracting Officers, Responsibilities and Air Force Federal Acquisition Regulation Supplement (AFFARS) Mandatory Procedures (MP) 5301.602-2(d), Responsibilities

· Obtains a user name and password for the Contract Manpower Reporting Application (CMRA) website (https://cmra.army.mil) to validate the contractor has completely filled in required contractor information by 30 November of the first year of the contract, and annually by 30 November thereafter for the duration of the contract (or sooner if the contract is closed out)

· Performs the CMRA validation during the month of November each year and reports the CMRA results in the November Monthly COR Report (due in December) to the CO each year

· Recommends improvements to the surveillance procedures, Performance Work Statement (PWS), and QASP throughout the life of the contract

· Ensures reports/records are made available to the CO, COR management, and a successor COR, if one is designated by the CO (when advised by the CO or COR management that COR designation will be terminated)

· If circumstances change and there is a reasonable expectation the designated COR cannot perform effectively (e.g., personal conflict of interest, change in assignment), notifies the CO and COR management and requests the CO terminate the COR designation and take action to designate a successor COR

Program Manager (PM):

Assigned PM: Donald G. Mowles Jr.

Organization or Agency: AFNWC/NIBB Telephone: 801.777.7654 Email: Donald.Mowles.1@us.af.mil

The PM provides primary program oversight, ensures the COR is trained before performing any COR duties, and supports the COR’s performance assessment activities. While the PM may serve as a direct conduit to provide Government guidance and feedback to the contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the Government’s behalf.

Other Key Government Personnel: Other POCs shall coordinate, review, and provide information that helps the COR monitor contractor performance as needed.

Engineer:

· Performs continuous research to remain current with available vendors that may be certified to accomplish contract work

· Defines and establishes performance testing procedures and criteria for functionality of prototype equipment

· Evaluates the applicability and adequacy of testing methods and testing documentation

· Performs quality surveillance and documents the results of the surveillance

· Provides support to senior leadership as required (e.g., performance metrics, data, briefings)

Funds Manager:

· Validates propriety of funding

· Assists PM with program budgeting

· Coordinates on purchase request package

· Tracks budget and funding expenditures

· Provides support to senior leadership as required (e.g., performance metrics, data, briefings)

Defense Contract Management Agency:

· Ensure contractor compliance with contractual quality assurance requirements

· Perform property administration

· Perform necessary screening, redistribution, and disposal of contractor inventory

· Ensure compliance with earned value management systems requirements

· Perform other contract administration office functions as delegated by the procurement contracting officer in accordance with FAR 42.302, Contract Administration Functions

Integrated Product Team (IPT) Leads:

· Performs program planning, budgeting, and execution

· Develops performance metrics where applicable

· Develops a Statement of Objectives, PWS, or Statement of Work

· Performs Acquisition Initiation Process and prepares appropriate documentation for future efforts and programs

· Develops and coordinates the purchase request package including all applicable documents and attachments

· Ensures compliance with AFI 63-101/20-101, Integrated Life Cycle Management

· Performs quality surveillance and documents the results of the surveillance

· Assesses and manages contractor performance assessment data to include submitting Contractor Performance Assessment Reporting System (CPARS) reports or support documentation for CPARS

· Provides support to senior leadership as required (e.g., performance metrics, data, briefings)

Contractor Representatives

The following employees of the contractor serve as the contractor’s Program Manager and Task Manager for this contract. (Complete this section after the contract award)

Program Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

Task Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

Other Key Contract Personnel - <upon award, enter name or delete these lines if not applicable> Title: <enter title> Telephone: <enter number> Email: <enter address>

Performance Requirements and Method of Surveillance

6.1 Contract Surveillance

The goal of the QASP is to ensure contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the CO, PM, and the contractor which enables positive, open, and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance. The COR will monitor and analyze the contractor’s on-going performance. Data for tracking trends can be gathered from all evaluation sources and methods to build the database upon which trend analysis can be based. Additionally, this QASP is based on the premise that the contractor, not the Government, is responsible for management and quality control/quality assurance actions to successfully meet the terms of the contract.

6.2 Surveillance Matrix

The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance threshold/metrics identified in the contract. The Surveillance Matrix (Attachment 1) should be used to form the foundation of the COR’s surveillance methodology.

A Services Summary is included in the PWS. The Services Summary summarizes the performance objectives and performance thresholds, required by the Government, in the contractor’s performance. The performance thresholds briefly describe the minimum acceptable levels of service required for each objective. All performance assessment data will be reviewed. If performance improvement is necessary, the corrective action will be requested from the contractor.

The Surveillance Matrix (Attachment 1) is the list of performance objectives and threshold/metrics that must be performed by the contractor. The surveillance methodology defines the objective, threshold, method of surveillance, and remedy.

6.3 Performance Rating Definitions

In evaluating the quality of contractor’s performance, the following performance ratings may be used.

Performance Rating Criteria

6.4 Methods of Surveillance

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP. Surveillance results may be used as the basis for actions against the contractor.

Regardless of the surveillance method, the COR shall always contact the contractor's task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard.

a. Direct Observation. During unannounced, periodic observations, the contractor is providing the requested and required support to the satisfaction of the Government. If there are issues with that support, the contractor, once aware, makes every effort to resolve the issues to ensure Government complete satisfaction. Inspections may be conducted at any time during the period of performance as determined by the COR.

b. Customer Surveys. Customer surveys may be obtained from the results of formal customer satisfaction surveys or from random customer feedback information. Customer complaints identified in the survey should be provided in writing to the COR, using the Customer Complaint Record (Attachment 3) when available. The COR shall maintain a summary log and enter findings into the Quality Performance Assessment (QPA) (Attachment 2).

c. Validated User/Customer Complaints. In the event there are user/customer complaints in any areas of contract performance, the complaints will be presented to the contractor for their response and resolution. User/Customer complaints should be provided to the COR, using the Customer Complaint Record (Attachment 3) when available. In cases where the situation cannot be resolved to the customer’s satisfaction, a less than favorable performance rating will result. In cases where there is timely and adequate resolution of the issue, there will be no unfavorable ratings made.

d. 100% Inspection. Inspection will be accomplished on each CDRL deliverable and may be accomplished on all information provided by the vendor. Deliverables will be analyzed for completeness and accuracy with the expectation that no changes will be required. When corrections are required, the contractor will be expected to implement the corrective actions to avoid recurrence of the errors or types of errors.

e. Progress or Status Meetings. For specified taskings, typically those of significant size and duration, recurring progress/status meetings will be required for the purpose of reporting on those areas of interest to the Government. These meetings are expected to be well organized with an advance agenda provided. Progress from previous meetings and against projected schedules will be provided with appropriate updates. The contractor will be expected to take notes, action items, and publish timely and accurate minutes. The COR may use Program Management Reviews, Risk Management Boards, and IPT meetings to determine progress or status of performance.

Documenting Performance

Documentation must be accurate and thorough. Completeness, currency, and accuracy support both satisfactory and unsatisfactory performance.

a. Acceptable Performance. The Government shall document positive performance.

b. Unacceptable Performance. When unacceptable performance occurs, the COR shall inform the CO and subsequent notification will be made to the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a QPA and present it to the contractor's task manager or on-site representative. A QPA template is attached to this QASP.

The contractor shall acknowledge receipt of the QPA in writing. The QPA will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The QPA will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor's corrective action plan to determine acceptability.

7.1 Contract Performance Assessment

Contract Performance Assessment Reporting System (CPARS). CPARS will be initiated annually, documenting contractor performance for this specific contract. More frequent updates may be made as required to document a significant improvement or degradation of the level of contract performance. The Assessing Official Representative will be the COR; the Assessing Official will be the Functional Commander/Functional Director.

Disputes

Every attempt will be made to resolve all disputes arising under this contract, using Alternate Dispute Resolution (ADR) as outlined in FAR 33.214. If no resolution can be made under ADR the CO will render a CO’s final decision.

Revisions

Revisions to the QASP are the joint responsibility of the CO and COR. Personnel may submit proposed changes through the COR for coordination with the contractor. This is a living document that may be revised or modified as circumstances warrant.

ATTACHMENT 1 - SURVEILLANCE MATRIX

Responsiveness (Schedule)

1.6.3 1.6.4 1.6.5 1.6.6 3.1 3.2 4.2 4.8 4.10 Contractor provides all deliverables by Estimated Closure Date (ECD).

Maintains accurate status of tasks.

Reports potential schedule impacts to Propulsion Subsystem Sustainment

Accommodates some requests for changes on high priority tasks.

COR will conduct periodic interviews/surveys with Government personnel to ensure responsiveness of work and services received are satisfactory.

Monthly Status Report for new; Quarterly PMR/Task Log Review for ongoing.

100% Inspection of Deliverables Award Fee

CPARS documentation

3.0 4.0 Contractor execution of task meets all requirements to resolve the issue for work accomplished in the current or previous award-fee periods.

*Some rework (<10%) of total task output required to satisfy task requirements.

*Percentages of rework may be based on proportion of deliverable requiring corrections or proportion of schedule necessary to accomplish corrections.

Customer Surveys

COR will conduct periodic interviews/ surveys with Government personnel to ensure quality of work and services received are satisfactory.

Award Fee

Cost

**The Task Log will be the unit of measurement the Government utilizes to analyze cost efficiencies implemented by the PSSC contractor. The Government recognizes that tasks can reach a level of criticality where a few tasks have the potential to outprioritize and consume the entire budget. On a case-by-case basis, consideration may be given to the PSSC contractor in scenarios where cost efficiencies cannot be gained due to the level of complexity and urgency.

Periodic review

COR will conduct periodic interviews/ surveys.

Award Fee

CPARS documentation

Transition

Complete the final transition plan and ensure submission no later than 55 calendar days after the Post Award Conference. This includes Government’s 20-day review period.

Accomplishes successful transition of all Sustaining Engineering and Program Management CLIN requirements and is effectively performing tasks covered within the PWS not later than 6 months after the Contract Post Award Conference.

Budget and cost management practices and procedures met requirements.

Provide required cost reporting deliverables in accordance with applicable CDRL (threshold; objective = 100%)

Contingencies are appropriately forecasted and budgeted.

Inspection Clause

Periodic 3rd Party Audits

COR will conduct periodic interviews/surveys with Government personnel to ensure items are being delivered in accordance with the CDRL requirements, cost estimates are accurate, and costs are appropriately controlled and easily traceable.

CPARS documentation

Business Relations (Customer Interface and Communications)

The contractor must resolve customer complaints or provide resolution plan within 10 working days of receipt.

Contractor was responsive to resolution of issues/concerns during contract performance period Inspection Clause

Customer Comments

COR will conduct periodic interviews/surveys with Government personnel to ensure the frequency and quality of communication between parties was sufficient, beneficial, facilitated greater understanding, and promoted an environment of open communication.

CPARS documentation

Management of Personnel (including recruitment, employment, and efficient application to Government needs)

Contractor management cognizant of customer needs and provides the staffing required on assigned tasks when required by the task.

Customer satisfied with staffing efforts.

Provide replacement personnel within 30 working days of occurrence of vacancy.

Periodic review

COR will conduct periodic interviews/surveys with Government personnel to ensure reasonable efforts are made to retain and recruit personnel, as needed. For instance, when personnel are lost, the COR will ensure they are replaced with personnel of the appropriate experience and skill levels in a timely manner.

100% Inspection upon vacancy identification

Assess the contractor’s performance in selecting, retaining, supporting, and replacing personnel.

CPARS documentation

Review PSSC subcontractor awards to ensure goal is being met CPARS documentation

4.4

Periodic review of contractor security program. Ensure contractor has a process in place that tracks findings and corrective actions CPARS documentation

100% assessment of medium and high cost risks with appropriate cost analyses and estimating or logistics costs models

100% compliance with the applicable performance requirements detailed in 1.6.5.1

1.6.5.4.3, 1.6.5.4.4

Resolve cost, schedule, performance, and technical issues and status for 100% of Government-approved sustainment tasks and approved priority programs/activities detailed in 1.6.5.4.1

Provide program and subcontractor approach and status information at the IPT-level in a clear, organized manner for 100% of Government-approved sustainment tasks and approved priority programs/activities detailed in 1.6.5.4.2

Provide recovery plans which clearly describe the necessary steps and estimated timelines associated with issues/delays for 100% of Government-approved sustainment tasks and approved priority programs/activities detailed in 1.6.5.4.3

Provide assessment of 100% of “medium and high” consequence cost risks with appropriate cost analyses and estimating or logistics costs models detailed in 1.6.5.4.4 Monthly Status Report for new; Quarterly PMR/Task Log Review for ongoing

CPARS documentation

Data Rights

100% Inspection CPARS documentation

Sustaining Engineering

100% of requests for assistance acknowledged within 1 business day; 100% of requests for assistance prioritized within 3 business days

Coordinate 100% of tasks (to include contractor prioritizations) with Government within 5 business days

Review DMSMS Plan annually and provide Government updated DMSMS Plan (contractor draft) addressing any applicable improvement recommendations and all applicable new technologies and processes; detailed in 1.6.6.1.20

100% compliance with the performance requirements detailed in 1.6.6.2

Quarterly RMB for on-going CPARS documentation

ATTACHMENT 2 – QUALITY PERFORMANCE ASSESSMENT

QUALITY PERFORMANCE ASSESSMENT (QPA)

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

4. Quality Assurance Personnel (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| Task Performance |_| Services Concern |_| Non Conformance |_| Unacceptable Performance

8. SERVICES SUMMARY or SOW PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF FINDING

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR RESPONSE

11. CONTRACTOR REPRESENTATIVE

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF FINDING

III. GOVERNMENT ACCEPTANCE

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

QUALITY PERFORMANCE ASSESSMENT

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

Quality Performance Assessment (QPA) Instructions

Block 1. COR enters contract or task order number.

Block 2. COR enters contractor name.

Block 3. COR enters brief description of services.

Block 4. COR signs and dates.

Block 5. COR enters telephone number.

Block 6. COR assigns suspense date for Contractor Response. No response by designated date indicates concurrence with findings.

Part I. Contractor Performance Block 7. COR checks all boxes that apply.

Task Performance – Indicates positive performance assessments or close-out of Task Order with no further action required by the contractor.

Service Concern – Indicates performance assessments needing immediate attention by the contractor that may require a resolution plan to mitigate risk of identified findings, or further information from the contractor to clarify specific aspects of the tasking to meet government expectations.

Non-Conformance – Indicates performance that did not meet acceptable thresholds and a resolution plan is mandatory to mitigate further risk to the project prior to completion.

Unacceptable Performance – Indicates performance that did not meet acceptable thresholds and is beyond the known capability of the contractor to resolve prior to project completion.

Block 8. COR enters Services Summary or Performance Work Statement (PWS) para. item reviewed.

Block 9. COR enters brief description of finding.

Block 10. COR enters a detailed performance assessment.

Part II. Contractor Response Block 11. Contractor Representative Name Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Contractor’s action taken to prevent recurrence or addresses specific required action within Section I.

Part III. Government Acceptance Block 14. COR checks appropriate block, signs, and dates.

Block 15. (Required Entry) COR remarks regarding the Contractor’s Response.

Block 16. Contractor Representative enters remarks if further discussion is needed about COR concurrence with Contractor’s Response.

ATTACHMENT 3 – CUSTOMER COMPLAINT RECORD

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY