16-70496_QASP_-_Signed_by_PCO.PDF

PR: FD2060-16-70496 QASP REVISION: 0 1

Quality Assurance Surveillance Plan for

REPAIR OF AN/PLM-4 RADAR SIGNAL SIMULATOR (RSS)

Purchase Request: FD2060-16-70496

February 8, 2018

PR: FD2060-16-70496 QASP REVISION: 0 2

1.0 Purpose

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

What will be monitored How monitoring will take place Who will conduct the monitoring How monitoring efforts and results will be documented

1.1 The contractor is responsible for implementing and delivering performance that meets contract standards using its own quality control plan. The QASP provides the structure for the government’s surveillance of the contractor’s performance to ensure that it meets contract standards. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance.

1.2 The QASP is not part of the contract nor is it intended to duplicate the contractor’s quality control plan. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

Copies of the QASP and any revisions shall be provided to the contractor and the Contracting Officer's Representative (COR) to facilitate implementation of surveillance activities. In addition, the QASP should recognize and accommodate unforeseen or uncontrollable circumstances which might occur that are outside the control of the contractor.

1.3 Objective(s)

The contractor shall perform repair of the AN/PLM-4 Radar Signal Simulator (RSS). The objective is to meet the requirements for multiple years of repair effort of the High Power version, NSN 6625-01-497-7780EW; the High Power with Millimeter Wave Option, NSN 6625-0l -516-8238EW; and the High Power with Millimeter Wave and Emitter Multiplex option, NSN 6625-0l-533-4055EW. Work required under this effort includes all actions necessary to return an item to a serviceable condition. The hardware repair line shall be accomplished at the contractor’s facility.

1.4 Result(s)

The QASP is used for managing contractor performance assessment by ensuring that systematic quality assurance methods validate that contractor quality control efforts are timely, effective, and are delivering the results specified in the contract or task order. The QASP directly corresponds to the performance objectives and standards specified in the PWS. It provides specific details on how the Government will survey, observe, test, sample, evaluate, and document contractor performance results to determine if the contractor has met the required performance standards for each objective in the PWS. Successful completion of the objectives for the performance of the contract constitutes success of the program.

PR: FD2060-16-70496 QASP REVISION: 0 3

1.5 Authority

Generally, Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provide for inspection, acceptance and documentation of the service called for in the contract or order. If commercial, quality assurance will be applied in accordance with commercial items clause.

2.0 Assessment Management

2.1 Services Summary

Performance Objective

PWS

Reference

Performance Threshold Method of Surveillance

Reliability 4.3

For each monthly delivery, no more than 10% of repaired units shall have validated Product Quality Deficiency Reports

(PQDR).

Surveillance will be conducted by the MFT validating PQDRs received via customer reporting.

Surveillance will be documented, at a minimum, quarterly by the COR in the Performance Assessment Report (PAR).

Repair Turn Around Time

4.3

There shall be no more than one instance of not meeting the monthly quantity requirement per quarter.

Surveillance will be conducted by the MFT monitoring CAV-AF and reviewing Contractor status reports.

Surveillance will be documented, at a minimum, quarterly by the COR in the PAR.

Mishap Notification and Reporting

5.6.2 For each Delivery Order, there

shall be no more than one instance of late mishap notification.

Surveillance will be conducted by the MFT monitoring mishap reporting.

Surveillance will be documented, at a minimum, quarterly by the COR in the PAR.

Contractor Manpower Reporting

5.8 Within 30 calendar days of

contract/order award, the Contractor shall establish a record for the contract/order in eCMRA including Order Data, Contact Data and Location Data.

The Contractor shall provide a count of contractor/subcontractor personnel performing services for each fiscal year and report all contractor/subcontractor labor hours required for performance

Surveillance will be conducted by the COR monitoring eCMRA.

Surveillance will be documented annually by the COR in the applicable quarterly PAR.

PR: FD2060-16-70496 QASP REVISION: 0 4

of services for each fiscal year.

All data shall be reported no later than October 31 of the following fiscal year.

Adherence to Contractor Quality Management System

(QMS)

5.9 100% compliance with the QMS is required.

Surveillance will be conducted by the COR reviewing the contractor’s QMS to ensure that it is effective in bringing the desired results (performance is equal to or greater than the SS metrics).

Surveillance will be documented, at a minimum, quarterly by the COR in the PAR.

2.2 COR Online File Documentation

The COR will establish and maintain an online file containing training and surveillance documentation (COR Profile and COR Online File in the CORT Tool). At a minimum, the following documentation will be uploaded in the CORT Tool by the COR or PCO as applicable.

a. COR INFORMATION (COR Profile):

Training and Appointment:

DAU CLC 222 Contracting Officers Representative (COR) Online Training DAU CLM 003 Overview of Acquisition Ethics DoD Combatting Trafficking in Persons for Acquisition & Contracting Professionals Wide Area Workflow training QAPC-Led Training (Level C) Contract-Specific Training Refresher training

b. QASP

c. Designation of Contracting Officer’s Representative

d. Annual COR File Inspection Checklist(s)

e. COR ONLINE FILE:

i. COR Status Reports/Surveillance PAR(s) CAR(s)

ii. COR Trip Reports (if applicable)

iii. COR Correspondence Reports:

Meeting Minutes Contractor correspondence

PR: FD2060-16-70496 QASP REVISION: 0 5

iv. Miscellaneous Documents:

Contract, including modifications PWS, including revisions QASP revisions DD Form 254 CDRL(s) CDRL deliverables Contractor Safety Plan Applicable status report(s) Master/Delivery Schedules Customer Complaint Records CAV-AF Repair Item Actions Report(s) iRAPT report(s) and/or other documentation of Contractor payment

2.3 Plan for Corrective Action

2.3.1 Unsatisfactory Contractor performance will result in the COR issuing a negative PAR. The COR will set a suspense date and forward the PAR to the PCO for submission to the Contractor.

The PCO will submit the PAR to the Contractor for corrective action. The Contractor shall explain the deficiency and identify the corrective action they shall take to resolve the deficiency and prevent recurrence. The Contractor shall sign and return a negative PAR to the PCO by the suspense date. The COR will upload the PAR in the CORT Tool under COR Status Reports.

2.3.2 If repetitive negative PARs or a single negative PAR identifying critical Contractor non-compliance are issued without satisfactory resolution, the COR will initiate the CAR process.

However, the MFT reserves the right to issue a CAR at any time based on the severity of the Contractor non-compliance. The PCO will set a suspense date and submit the CAR to the Contractor for corrective action. The Contractor shall sign and return the CAR, with a corrective action plan, to the PCO for acceptance by the MFT by the suspense date. The corrective action will be tracked and documented until the deficiency is resolved to the satisfaction of the MFT.

The COR will upload the CAR in the CORT Tool under COR Status Reports. The CAR will become part of the PCO contract file. If the CAR process fails to resolve the deficiency, the PCO has the right to invoke the Inspection of Supply/Services clause(s) identified in the contract/order.

2.3.3 CORs shall establish a tracking system for corrective actions that includes date COR submitted CAR to PM/FSM, date reviewed by PM/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.

2.4 Acceptance of Services

2.4.1 The Contractor shall submit/process payment requests and receipt/acceptance documents via Wide Area WorkFlow e-Business Suite / Invoicing, Receipt, Acceptance, and Property Transfer (iRAPT). Services will be accepted by the COR or Engineer.

PR: FD2060-16-70496 QASP REVISION: 0 6

2.4.2 CDRL deliverables may be submitted using iRAPT or be submitted directly to the MFT member identified on the CDRL. The CDRL will determine submittal requirements; however, separately priced data must be accepted in iRAPT in order for the Contractor to receive payment, and both separately priced and non-separately priced data must be accepted in iRAPT in order for the contract line item to be closed out.

3.0 Roles and Responsibilities of Multi-Functional Team (MFT)

3.1 General Responsibilities

3.1.1 The MFT is responsible for ensuring the acquisition utilizes Performance-Based Service(s) Acquisition (PBSA) methods including establishment of performance thresholds, procedures to evaluate Contractor performance and positive/negative incentives to encourage the highest quality of services.

3.1.2 The MFT is responsible for conducting surveillance of Contractor performance to ensure Government requirements including quality of services, cost and schedule are met. The MFT will provide the results of their surveillance to the Contracting Officer’s Representative (COR) for input into the Performance Assessment Report (PAR) and to the MFT member updating the Contractor Performance Assessment Reporting System (CPARS).

3.1.3 For contracts requiring higher-level quality requirements, the MFT is responsible for developing metrics in tracking the effectiveness of the contractors QMS that tie to contractual requirements including the SS, QASP, and CPARS. Ensure contracts requiring higher-level contract quality requirements include a SS performance objective that encompasses MFT goals related to quality directly relates to the CPARS category of “Quality”.

3.1.4 The MFT ensures contract oversight focuses on the adequacy and adherence of the contractor to their proposed QMS. The MFT shall focus on whether the COR or contractor is first in detecting defects and trends, who (COR or contractor) accomplishes more inspections, and, whether the contractor is proactively pursuing key QMS functions to ensure quality related problems or defects do not recur.

3.2 Contracting Officer’s Representative (COR)

3.2.1 Registers in Wide Area Workflow (WAWF) as a Contracting Officer Representative Tracking (CORT) Tool user. Self-nominates in the CORT Tool as the designated COR for the contract. If required, files an Office of Government Ethics (OGE) Form 450, Confidential Financial Disclosure Report. Establishes and maintains an online file containing training and surveillance documentation (COR Profile and COR Online File in the CORT Tool).

3.2.2 Registers for an Enterprise Contractor Manpower Reporting Application (eCMRA) account after designation as a COR. No later than 60 calendar days after contract/order award, verifies the Contractor has established a record for the contract/order in eCMRA. Reviews and, if required, corrects the Contractor record (Order Data, Contact Data, Location Data, etc.). Enters the National Defense Authorization Act (NDAA) Elements and the Fund Cite Data. Verifies the

PR: FD2060-16-70496 QASP REVISION: 0 7

Contractor has reported all data for each fiscal year, including an annual count of contractor/subcontractor personnel performing services and the total of contractor/subcontractor labor hours, no later than October 31 of the following fiscal year.

3.2.3 Works with the MFT in conducting and documenting surveillance on Contractor performance. Reports unethical conduct and instances of fraud, waste and/or abuse to the Procuring Contracting Officer (PCO). Inspects and accepts/rejects deliverables during contract/order performance and at close-out to ensure contract/order terms and conditions are met. Develop an inspection schedule that shall comprise of at least ten percent of non-services summary items, but no more than twenty percent. Monitors control and disposition of Government property. Monitors Contractor payment and verifies it is commensurate with Contractor performance. Documents Contractor performance via PARs, Corrective Action Report(s) (CAR), etc. Issues PARs, at a minimum, quarterly and negative PAR(s) or CAR(s) as required.

3.2.4 Ensure contractor’s accepted Quality Management System (QMS) complies with contract requirements. In 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 contractual requirements including the SS metrics, plus an inspection and corrective action program that identifies and fixes issues without having to be identified by the Government.

3.3 Contracting Officer’s Representative (COR) Supervisor

3.3.1 Upon PCO request for COR support, selects a qualified nominee. Confirms the COR nominee has no personal conflicts of interest with performing the responsibilities to be delegated by the PCO. Verifies the COR nominee has the appropriate clearance for the contract/order. If required, ensures the COR nominee files an OGE Form 450. Ensures the COR takes initial, annual and any additional training required by the contracting activity. Ensures the COR completes 16 hours of refresher training every three years after completion of the QAPC-Led Training.

3.3.2 Ensures the COR registers in WAWF as a CORT Tool user. Ensures the COR self-nominates as the designated COR for the contract in the CORT Tool. Upon notification of the COR self-nomination, approves the nomination in the CORT Tool. Reviews the COR Profile and COR Online File, at a minimum, annually. Considers performance of COR duties in their appraisal.

3.4 Procuring Contracting Officer (PCO)

3.4.1 Only individual authorized to enter into contracts for supplies and/or services by obligating the Government. Determines if a COR is required to conduct/document surveillance of Contractor performance. If the requiring activity has not initiated a COR nomination in the CORT Tool, submits a Request for Contracting Officer’s Representative Support memorandum to the requiring activity. Determines whether a COR is required to file an OGE Form 450.

Provides Contract-Specific Training to the COR.

PR: FD2060-16-70496 QASP REVISION: 0 8

3.4.2 Upon notification of COR Supervisor approval of the COR self-nomination, approves the nomination in the CORT Tool. Before contract/order award, submits a Designation of Contracting Officer’s Representative memorandum to the COR and Contractor for signature thereby ensuring the Contractor is notified of the COR assigned to the contract/order and their areas of responsibility and limitation of authority. Uploads the Designation memorandum in the CORT Tool under Contracting Officer / Appointment Letter. Upon transfer/termination of the COR, issues a Revocation (Termination) of Designation of Contracting Officer’s Representative memorandum. Uploads the Termination memorandum in the CORT Tool under COR Revocation.

3.4.3 After the COR is designated, uploads a blank copy the COR File Annual Checklist to the CORT Tool under Annual COR File Inspection Checklist to guide the COR in constructing the COR Online File. Reviews the COR reports on Contractor performance in the CORT Tool.

Approves/Rejects PARS and any CAR(s). Reviews the COR Profile and COR Online File, at a minimum, annually. Documents the results of their review on the Annual COR File Inspection Checklist. Uploads the checklist in the CORT Tool under Annual COR File Inspection Checklist.

3.4.4 Determines QMS requirements in collaboration with the MFT. Assesses the Contractor-submitted QCP for congruence with predetermined QMS requirements. Ensures QMS will be effective in bringing about the desired results, i.e., Contractor performance which meets or exceeds contract/order requirements including Services Summary metrics. Confirms QMS includes an inspection and corrective action program which will proactively identify and resolve issues without having to be identified by the Government. Addresses Contractor non-compliance with the QMS.

3.5 Quality Assurance Program Coordinator (QAPC)

3.5.1 Supports the MFT in the development of the contract/order quality assurance requirements specifically ensuring the requirements are clearly stated and enforceable. Prior to contract/order award, provides training to CORs and COR management [e.g., FC/FD. COR supervisor, etc.]

3.5.2 Provides functional, not technical, support for CORT Tool users including assistance with registration, role activation and CORT Tool training. Monitors records of COR and COR management training in the CORT Tool.

3.6 Contractor

3.6.1 Participates as a member of the MFT upon approval of the Justification & Approval (J&A) or Sole Source Justification (SSJ) if the acquisition is sole source and upon contract/order award if it is competitive.

3.6.2 The Contractor shall ensure the quality of services through a quality and/or inspection system. The Contractor shall submit a QCP for meeting QMS requirements identified by the MFT. In order to meet the government’s quality requirements, a contractor’s QMS should be

PR: FD2060-16-70496 QASP REVISION: 0 9

robust enough and resourced adequately to execute four key quality functions: 1) Detection of quality program problems and defects; 2) Identification of root causes for quality related problems/defects; 3) Correction of root causes related to detected problems/defects; and, 4) Follow-up to ensure quality related problems/defects do not recur; a mature QMS requires the contractor be the proactive party on quality issues. The goal is to obtain performance reflective of continuous improvement with no reliance on COR’s surveillance to detect problems/defects, determine root causes, or ensure quality related problems/defects do not recur.

3.6.3 Responsible for ensuring personnel, information, system, property, facility and, if applicable, international security requirements are met in accordance with the DD Form 254, Department of Defense Contract Security Classification Specification, and applicable Government regulations.

3.6.4 Maintains an inspection process acceptable to the Government and records of inspections, which shall be made available to the Government as long as the contract requires in accordance with the Inspection of Supply/Services clause(s) identified in the contract/order.

3.6.5 Signs and returns a positive PAR within five business days. Signs and returns a negative PAR with corrective action identified by the suspense date. Signs and returns a CAR with a corrective action plan by the suspense date.

3.6.6 Establishes a record for the contract/order in eCMRA no later than 30 calendar days after contract/order award. Enters Order Data, Contact Data and Location Data. Provides an annual count of contractor/subcontractor personnel performing services for each fiscal year if the Department of Defense (DoD) is the requiring activity, if the acquisition is using United States (U.S.) Government appropriated funds, and if the acquisition is in excess of $3,000,000.00.

Reports all Contractor labor hours, including subcontractor labor hours, required for performance of the services provided under the contract/order for each fiscal year in eCMRA.

3.7 Functional Commander/Functional Director (FC/FD)

The Functional Commander or civilian equivalent has determined these services are not mission-essential and will not continue in the event of a crisis. Reference PWS and QASP signature page.

4.0 Management Strategy

4.1 The MFT will meet and record minutes quarterly to review contractor’s performance. The COR will issue PARs, documenting both satisfactory and unsatisfactory Contractor performance, at a minimum, quarterly. The COR will forward the PAR to the PCO for submission to the Contractor. The PCO will submit the PAR to the Contractor. The Contractor shall sign and return a positive PAR to the PCO within five business days. The COR will upload the PAR in the CORT Tool under COR Status Reports. Unsatisfactory Contractor performance will result in the COR issuing a negative PAR.

PR: FD2060-16-70496 QASP REVISION: 0 10

4.2 If repetitive negative PARs or a single negative PAR identifying critical Contractor non-compliance are issued without satisfactory resolution, the COR will issue a CAR. However, the MFT reserves the right to issue a CAR at any time based on the severity of the Contractor non-compliance. If the CAR process fails to resolve the unsatisfactory Contractor performance, the PCO has the right to invoke the Inspection of Supply/Services clause(s) identified in the contract/order.

4.3 Incentives

4.3.1 If Contractor performance meets or exceeds contractual requirements, positive incentives may include, but are not limited to, decreased surveillance, favorable CPARs and exercising options.

4.3.2 If Contractor performance does not meet contractual requirements, negative incentives may include, but are not limited to, increased surveillance, unfavorable CPARs, not exercising options and Government recourse authorized by the Inspection of Supply/Services clause(s) identified in the contract/order.

5.0 Annual COR Online File Inspection: The COR, the COR Supervisor and the PCO will review the COR Profile and COR Online File, at a minimum, annually. The PCO will document the results of their review on the Annual COR File Inspection Checklist. After the COR and COR supervisor sign the checklist, the PCO will upload the checklist in the CORT Tool under Annual COR File Inspection Checklist.

6.0 Contractor Performance Assessment Reporting System (CPARS): The total estimated value of the contract exceeds $1,000,000.00; therefore, CPARS reporting is required.

6.1 The MFT will evaluate Contractor performance. The COR will, at a minimum, review the PARs and other information contained in the COR Online File to prepare and substantiate the CPAR. CPARS will be updated, at a minimum annually, documenting Contractor performance for the contract/order. More frequent updates may be made, as required, to document a significant improvement or decline in the level of Contractor performance.

6.2 The Contractor shall have input into the CPAR prior to it being finalized. For each reporting period, the COR will provide the Contractor a draft CPAR with no ratings, only justifications, to examine for seven calendar days. After MFT review of the Contractor’s response, the CPAR will be coordinated through management up to the Division level. Once approved, the CPAR will be sent to the Contractor via CPARS for the official 60 calendar day review. The Contractor shall have the option to concur or non-concur, with comments, via CPARS.

6.3 In evaluating the quality of contractor’s performance, the following performance ratings are used in documenting past performance. The areas rated may include: Quality of Service, Business Relations, Management, Cost Control (if applicable), and Schedule.

PR: FD2060-16-70496 QASP REVISION: 0 11

Performance Rating

Criteria

Exceptional Performance meets contractual requirements and exceeds many to the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly effective.

Very Good Performance meets contractual requirements and exceeds some to the government benefits. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

Satisfactory Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear marginally effective or were not fully implemented.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

7.0 Safety Requirements

7.1 Mishap Notification/Investigation: The Contractor shall report mishaps including damage to DoD property; occupational illness to DoD military or civilian personnel; injury to on- or off-duty DoD military personnel; injury to on-duty DoD civilian personnel; and damage to public or private property or injury or illness to non-DoD personnel caused by Government operations.

The Contractor shall ensure the Safety Office and the PCO are notified of mishaps. The Contractor shall contact the MFT (COR, if available, or another MFT member) by telephone within four (4) business hours and by email. The Contractor shall cooperate with Government safety investigations.

7.2 MFT Surveillance: MFT member(s) will report any potential safety hazards or actual mishaps to the COR. The COR will monitor Contractor reporting and review any mishap notifications. The COR will address safety and/or health issues in the PAR or in a CAR as applicable.

8.0 Trafficking in Persons: The MFT must inform the PCO if the contractor/subcontractor fails to comply with the requirements of FAR 52.222.50, Combating Trafficking in Persons. The PCO must convey the information to DoD Combat Trafficking in Persons (CTIP) Law Enforcement and Support / Office of the Under Secretary of Defense (OUSD) Personnel and Readiness (P&R) Defense Human Resources Activity (DHRA).

PR: FD2060-16-70496 QASP REVISION: 0 12

9.0 Signatures

By signing below, you are appointed to the MFT for this acquisition and accept the above responsibilities.

The QAPC signature above signifies guidance was provided to the MFT in the development of Services Summary requirements in accordance with PZCA direction as of 5 June 2015.

COR Date

COR Supervisor Date

PCO Date

Contractor Date

By signing below, you are identifying that these services are not mission-essential.

FC/FD Date