Attachment_8_-_Quality_Assurance_Surveillance_Plan.doc

FOR OFFICAL USE ONLY

FA8629-11-R-2318

Attachment 3

25 May 2011

PAGE

FOR OFFICIAL USE ONLY

QUALITY ASSURANCE SURVILLENCE PLAN (QASP)

FOR

RAPID DEVELOPMENT INTEGRATION FACILITY (RDIF) IDEFINITE DELIVERY INDEFINITE QUANTITY Coordination and Review:

Approved By:_________________________ Date:____________

ALAN L. BROOKSHIRE

Technical Director, RDIF Approved By:_________________________ Date:____________

Richard K. Porter

Contract Officer

AFLCMC/WISK

MULTI-FUNCTIONAL TEAM MEMBERSHIP SIGNATURE PAGE

Technical Director/Commander:

Date: __________________

Quality Assurance Personnel:

Date: __________________

Program Manager:

Contracting Officer:

Contract Specialist:

QAPC:

Financial Management:

Date: __________________

Safety Representative:

Date: __________________

Security Forces Representative:

Contractor*:

* Contractor will have limited authority in the Multi-Functional Team, so as to not be involved in any inherently governmental responsibilities.

QUALITY ASSURANCE SURVILLENCE PLAN

Part 1

PERFORMANCE MANAGEMENT

INTRODUCTION

This QASP has been developed to implement Performance-Based Service Acquisitions (PBSA) on the service elements of this requirement. It is designed to meet the needs of the organization, assess contract success, assess and document contractor performance in accordance with the requirements set forth in the Performance Work Statement, (PWS). The QASP also provides the Contracting Officer Representative (COR) an effective and systematic surveillance method for each listed service. In addition, this QASP implements the Multi-Functional Team (MFT) concept. The goal of the MFT is to give all members/stakeholders the ability to maintain the highest quality representative service to our customers and propose/initiate improvements throughout the life of the contract. Under this concept, continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the customer. The signatures, on the attached charter signature page, indicate membership in the MFT. Changes of team members will require an amendment to the charter signature page.

1.0 OBJECTIVE

The Rapid Development Integration Facility (RDIF) focuses on aircraft development, integration, prototyping, and production as awarded. The RDIF provides customer based capability. The contractor’s support requirements will vary depending on the types of projects RDIF accepts. While touch-labor is a common element of support, delivery of the final end product may require other incidental services to include: work at offsite locations, short term specialties, materials, manufacturing, research and development, prototyping, quality assurance, engineering, aircraft modification, test support, etc… The QASP will provide oversight capability to make certain that contractor personnel are delivering products/and or services that conform to the contract requirements. It will also identify the methods used for evaluation and surveillance of the contractors.

2.0 GOALS OF THE MULTI-FUNCTIONAL TEAM

The MFT should strive to achieve efficiencies in the contract performance and improved customer support. The team is composed of stakeholders in the acquisition process and is responsible for the acquisition throughout the life of the requirement. The goal of the team is to define the alteration and installation requirements, which are incidental to end items procured, in performance based terms, assure contractor compliance with contract requirements, and ensure that the contract, as written, continues to meet the needs of the functional organization. In addition, an associate goal is implementation and execution of an acquisition strategy to ensure support of the mission. The role entails planning, programming, and budgeting for adequate funds, ensuring program execution within the approved funding, developing the milestones and managing execution to ensure the contract supports mission requirements within the approved scheduled baseline, ensuring the program maintains accountability, and planning and managing of this service.

3.0 ROLES AND RESPONSIBILITIES:

3.1 Chief of the Contracting Office (COCO):

3.1.1. Serves as Business Advisor to senior leadership.

3.1.2. Updates the Wing Commanders, Group Commanders, Air Force Materiel Command (AFMC) Center-level Commander and other Headquarters Directors annually on the health of the service acquisitions.

3.1.3. Ensures personnel on the MFT receive the appropriate level of training to meet local needs.

3.1.4. Ensures compliance with the Federal Acquisition Regulation and supplements.

3.1.5. Assures Functional Area leadership receives training.

3.2 Contracting Officer (CO)

3.2.1 Ensures acquisition processes (i.e. market research, gathering past performance information, source selection, issuing solicitations, evaluating proposals and awarding the contract) are aggressively performed.

3.2.2 Participates in MFT meetings.

3.2.3 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 COR assigned to the contract.

3.2.4 Advises the MFT.

3.2.5 Manages CORs assigned to the contract.

3.3 COR Supervisor

3.3.1 Nominates primary and alternate COR unless another QA organization or method is used to satisfy surveillance requirements (e.g. centralized performance management office).

3.3.1.1 Ensures nomination package specifies nominee’s qualifications.

3.3.2 Ensures COR is afforded the necessary resources (i.e. time, supplies, equipment, opportunity) to perform the designated functions.

3.3.3 Reviews the contractor performance documentation prepared by COR on a regular basis to ensure performance is compatible with contract and mission objectives.

3.3.4 Evaluates COR on performance of their COR duties – both pre- and post-award - as part of their performance assessment throughout the period of the contract.

3.3.4.1 Solicits input on COR’s performance of COR duties from the CO.

3.4 Functional Commander/Director (FC/FD)

3.4.1 Ensures requirements documents developed by the MFT satisfy mission requirements, are performance based, foster innovation, and define metrics. Metrics should provide meaningful measurements of the contractor progress aimed at attaining desired outcomes.

3.4.2 Identifies mission essential services and develops the necessary documents in accordance with DoDI 1100.22, Policy and Procedures for Determining Workforce Mix.

3.4.2 Reviews the contractor performance documentation prepared by COR on a regular basis to ensure performance is compatible with contract and mission objectives.

3.5 Quality Assurance Program Coordinator (QAPC):

3.5.1 Coordinates all aspects of the QA program.

3.5.2 Supports the MFT and attends MFT meetings, as requested.

3.5.3 Provides training to COR Management including COR Supervisor and FC/FD.

3.5.4 Provides Phase I training to CORs at CO’s direction.

3.5.5 Maintains records of QA appointments and documents all COR and COR Management training.

3.6 Contracting Officer Representative (COR):

3.6.1 Participates in MFT meetings; performs/assists in accomplishing market research, gathering past performance information, evaluating technical proposals, and preparing the PWS and QASP.

3.6.2 Performs inspections to evaluate and document the contractor’s performance; notifies the CO of any significant performance deficiencies; submits monthly inspections records to the CO.

3.6.3 Maintains QA documentation, and recommends changes/improvements to the contract, PWS, QASP, or other requirements throughout the life of the contract to provide more effective operations or eliminate unnecessary costs.

3.7 Subject Matter Experts (SMEs) (i.e. Legal, Finance, Small Business, and Engineering POCs: Other POCs shall assist the MFT by coordinating, reviewing and providing input as needed and by participating as members when appointed.

3.8 Contractor:

3.8.1 Complies fully with the terms and conditions of the contract.

3.8.2 Participates as a member of the MFT in the post-award management phase if requested.

3.8.3 Maintains and implements a Quality Control Plan (QCP) that compliments the QASP if requested.

3.8.4 Ensures that non-conforming contract services are identified and correct and that the QCP is revised to prevent recurrence.

3.8.5 Tenders to the Government for acceptance only those services that conform to contract requirements.

3.8.6 Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

3.9 Multi-Functional Team (MFT): This is a customer-focused team composed of stakeholders in the acquisition process. The team promotes good business decisions to meet customer requirements, fosters partnerships with industry to ensure exchanges of information with the contractor and other business experts, develops a performance-based acquisition strategy to include performance metrics, develops PBSA requirements, develops technical requirements and the independent government cost estimate. The team is also responsible for managing contract performance in accordance with the QASP, assessing and documenting contractor performance in accordance with the QASP, identifying opportunities to improve performance throughout the life of the contract, completing and reporting annual performance reviews in the Contract Performance Assessment Reporting System (CPARS) as required. All members of the MFT are responsible for determining if the contract continues to support the needs of the organization and notifying the CO if it does not. In this context, members of the MFT should consider whether there are tasks covered by the contract which are no longer required, whether there are needs related to the contract’s purpose which are not covered by the contract but could or should be, and whether they have received any customer complaints regarding contract scope. After contract award, the contractor may become a member of the MFT.

4.0 PERFORMANCE MANAGEMENT

4.1 Market research will be used as a tool throughout the life of the contract to ensure the most current, efficient, and effective assessment methods and techniques of the commercial marketplace are applied to the performance of services under the contract. At a minimum, market research (including an informal survey of customers) will be conducted annually. The survey will address the following:

4.1.1 Are you satisfied that the contract and QASP as currently written are meeting your objectives?

4.1.2 Do you feel the contract is meeting the schedules, costs, and performance as expected?

4.1.3 Are there any changes that need to occur to improve the contract?

4.1.4 Are there any complaints regarding the contract?

4.1.5 Are contractor deliverables meeting expectations?

4.1.6 Any other comments regarding the contract?

4.2 MFT meetings will be scheduled throughout the life of the contract. Attendees at specific team meetings will vary based on the circumstances or issues to be covered at each meeting. Continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the customer. Team members will consider whether the contract includes tasks which are no longer required; whether there are needs related to the contract’s purpose which are not covered by the contract; and whether any customer complaints regarding contract scope have been received. The success of the contract is dependent upon a combined effort of all members of the MFT.

4.3. All performance assessment data will be reviewed. If performance improvement is necessary, the corrective action will be requested from the Contractor via the Contracting Officer.

5.0 PERFORMANCE ASSESSMENT

5.1 This QASP is based on the premise that the contractor, not the government, is responsible for the management and quality control actions needed to meet the standards of the contract.

5.2 Following is the QASP the team will use to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

5.2.1 A Services Summary will be included in the Performance Work Statement. This document will summarize the performance objectives and performance threshold required by the Government in the contractor’s performance. These performance objectives will directly relate to mission essential items. The performance thresholds briefly describe the minimum acceptable levels of service required for each objective, and are critical to mission success.

5.2.2 COR will perform QA procedures following the QASP.

5.3 Initial Performance Review

5.3.1 The initial evaluation of contractor performance shall take place within 30 days after the contractor assumes full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

5.3.2 Initial Performance Review Criteria

5.3.2.1 Technical: Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, safety, or health standards).

5.3.2.2 Schedule: Assess the timeliness of the contractor against contract requirements, orders, milestones, delivery schedule, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

5.3.2.3 Cost: Assess the contractor’s ability to remain within cost. (i.e. cost performance will be reported only if other than Firm Fixed Price). The assessment will include a discussion of the contractor’s effectiveness in forecasting, managing, and controlling contract cost, as applicable.

5.3.2.4 Management/Performance: Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

5.3.2.5 Staffing: Assess the contractor’s performance in selecting, retaining, supporting and replacing when necessary, personnel.

5.3.2.6 Special Interest Items: Assess any significant modification to the contract made since contract award.

5.3.3 Assessment Values:

5.3.3.1 Green—No issues.

5.3.3.2 Yellow—Issue(s) but contractor has an adequate mitigation or corrective action plan in place.

5.3.3.3 Red—Issue(s) with inadequate or no contractor’s mitigation or corrective action plan. Any “red” assessment shall include the government proposed actions with respect to the failing contractor.

5.4

CPARS

5.4.1 CPARS will be updated documenting contractor performance. The Assessing Official Representative (AOR) will be the COR; and the reviewing official will be the FC/FD. The contractor also has input prior to finalization.

5.4.2 The website for the CPARs toolkit is: http://www.cpars.csd.disa.mil/cparsmain.htm

5.5 Combating Trafficking in Persons: COR shall verify that contractor is in compliance with FAR 52.222-50(c) regarding trafficking in persons. If the COR, through his/her interaction with the contractor or any subcontractors becomes aware or suspicious of a violation, the CO shall be notified immediately.

6.0 REVISIONS

Revisions are the responsibility of the MFT. The COR reviews the PWS and QASP periodically and shall provide any proposed changes to the MFT for review. Revisions to the QASP are the joint responsibility of the MFT and are only accomplished with the approval of and by the CO.

QUALITY ASSURANCE SURVILLENCE PLAN

Part 2

ASSESSMENT MANAGEMENT

SERVICES SUMMARY (SS)

PERFORMANCE OBJECTIVE, PERFORMANCE THRESHOLD,

METHODS OF SURVEILLANCE AND REMEDIES

Facility

> Adequate environment for type of work requested.

Write-up

Write-up

Write-up

Write-up

Write-up

Write-up

> On time deliveries of ordered products.

Write-up

> Perform mechanical subsystem integration.

> Able to develop new solutions/systems and prototype the idea.

> Ability to perform reverse engineering.

CPARS Write-up

> No aircraft delays due to maintenance failure.

CPARS Write-up

> Easy to follow.

> No rework required.

CPARS Write-up

*The procedures set forth in the Inspection of Services Clause will be used to remedy all deficiencies. The re-performance times will be based upon sensitivity of the issue.

SURVEILLANCE PROCEDURES

CONTRACTOR’S NAME:

CONTRACT NUMBER:

PROJECT: RDIF

APPROVED BY:

Richard K. Porter DATE

Contracting Officer

AFLCMC/WISK

QASP

SURVEILLANCE PROCEDURES

1.0 INTRODUCTION: These Surveillance Procedures have been developed to implement Performance-Based Service Acquisition (PBSA) for incidental alteration and installation services performed on this contract. They are designed to provide the Contracting Officer Representative (COR) instructions explaining how to perform surveillance and document findings on orders issued against this contract for RDIF requirements.

1.1 COR may inspect any aspect of contractor performance at any time during the contract, whether or not it is included in the Services Summary (SS). A format for documenting these inspections is found on page 21 of this plan.

1.2 Any nonconformance with contract requirements is a “defect”. The term “defective” is used in reference to a service output in the SS that does not meet the outputs associated with the standard.

1.3 This QASP is based on the premise that the contractor, and not the Government, is responsible for the management and quality control actions required to meet the terms of the contract. The Performance Thresholds recognize that the contractor is not a perfect manager and that unforeseen and uncontrollable problems do occur. CORs are to be objective, fair, and consistent in evaluating contractor performance against the standards.

1.4 Following is the approach the team will use to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

1.4.1 A Services Summary (SS) will be included in the Performance Work Statement (PWS). This document will summarize the performance objectives and performance thresholds required by the Government in the contractor’s performance. These performance objectives will directly relate to mission essential items. The performance thresholds briefly describe the minimum acceptable levels of services required for each objective, and are critical to mission success.

1.4.2 COR will perform quality assurance procedures contained herein.

2.0 PERFORM SURVEILLANCE: Three common methods of surveillance are explained below as follows:

2.1 Customer Complaint: When the customer (using activity/facility) discovers unacceptable performance or a defect in service, he/she will prepare a customer complaint form, identifying the discrepancy. The customer will keep one copy and forward a copy to the COR either manually or electronically. The COR will review the item and determine if the complaint is contractually valid. If valid it is forwarded to the contractor for corrective action (CA). Customer complaints may be submitted on the Customer Complaint Record (CCR), included on pages 19 - 20 of this document. If a customer notifies the COR either verbally or by email of a complaint, but does not submit a CCR, the COR will generate a CCR to document the complaint. The CCR will then be submitted to the contractor for his CA. When the contractor documents the CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the Contracting Officer (CO) for final dispensation. The CO will, in turn send copies of dispositioned CCRs to the COR and the contractor for their records.

2.2 Periodic Surveillance: If periodic surveillance is used, inspections shall be performed at the frequency identified for each SS item, and is on other than 100% or statistically random basis. The frequency of inspection is established (i.e. daily, weekly, monthly, quarterly) but the specific time of occurrence need not be specified. When the COR discovers unacceptable performance or a defect in service, he/she will generate a Contract Deficiency Report (CDR) identifying the discrepancy. The CAR will then be submitted to the contractor for CA. When the contractor documents CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of the dispositioned CDRs to the COR and the contractor for their records.

2.3. 100% Inspection: When 100% inspection is used, all articles will be inspected by the COR each time the task is performed to ensure compliance. The results will be recorded on the Surveillance Activity Checklist, included as an attachment to this document. When the COR discovers unacceptable performance or a defect in service, he/she will generate a CDR identifying the discrepancy. The CDR will then be submitted to the contractor for CA. When the contractor documents CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of the dispositioned CDRs to the COR and the contractor for their records.

3.0 INFORM CONTRACT MANAGER: The COR must always contact the contractor’s manager and inform him/her of any deficiency that was observed. This may be accomplished in person or electronically, but any verbal communication must be supplemented by submission of a CCR or CDR. The contractor will annotate on the report provided by the COR the CA he/she will take to correct the defect and prevent its recurrence, and will return the completed report to the COR.

4.0 EVALUATE CONTRACTOR CORRECTIVE ACTION: After the contractor documents the proposed CA, the COR will evaluate the proposed CA and forward the record, annotated with the results of his evaluation, to the CO for final dispensation. The CO will determine if further actions need to be taken against the contractor, such as reductions in invoiced payments in accordance with the Inspection of Services clause. The CO’s disposition of the CA and proposed corrective action will be annotated on the record, and copies will be returned to the COR and the contractor.

5.0 REMEDIES FOR UNACCEPTABLE PERFORMANCE:

5.1 In accordance with the contract Inspection of Services clause, if any of the services do not conform to contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of Contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may:

5.1.1 Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

5.1.2 Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

5.1.3 If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance is in conformity with contract requirements, the Government may:

5.1.3.1 By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

5.1.3.1.1 Decrease the invoice amount in relation to performance

5.1.3.1.2 Cure Notice

5.1.3.1.3 Show Cause Notice

5.1.3.1.4 Terminate the contract.

5.1.4 The CO will determine the action to be taken against the contractor, such as reductions in fee/price in accordance with the Inspection of Services clause. The CO’s disposition of the deficiency will be annotated on the form and the COR and contractor will be notified of action.

6.0 COR MONTHLY INSPECTION REPORT: COR shall submit an assessment report and attach all Corrective Action Reports, Performance Assessment Reports, and validated customer complaints to the CO and FC/FD no later than 5 working days following the month in which the actual surveillance occurred. The report shall be signed and dated by the COR and provided to the FC/FD regularly for review, prior to sending the information to the CO. Validated customer complaints and all documentation will be used to support Contractor ratings in the Contractor Performance Rating System (CPARS) (applicable if contract is over 1 million).

7.0 WIDE AREA WORKFLOW:

7.1 The COR will certify receipt of contractor services via the Wide Area Workflow (WAWF) website. Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties.

7.2 CORs are responsible for obtaining, scheduling, and completing WAWF training from the Base Accounting and Finance Office.

8.0 REVISION TO THE QASP: Revisions to the QASP are the joint responsibility of the MFT. This is a living document and can be changed at any time by the CO.

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

Customer Complaint Record Template, Feb 05 (SAF/AQCP) One copy each for Complainant, COR, Contractor, and Contracting Officer

CONTRACT DISCREPANCY REPORT (CDR)

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

1. CONTRACT NUIMBER

2. DATE

3. TO: (Contractor’s and Manager’s names)

4. FROM: (Name of COR)

5. DISCREPANCY OR PROBLEM: (Describe in detail. Include reference to PWS requirement(s). If more space is needed, use reverse and identify by number.)

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.

6. SIGNATURE OF COR

7. TO: (COR)

8. FROM: (Contractor)

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION, AND ACTIONS TO PREVENT RECURRENCE (Use reverse if needed.)

11. COR EVALUATION (Acceptance, partial acceptance, rejection. Continue on reverse if needed.)

12. TO: (Contracting Officer)

13. FROM: (COR)

14. GOVERNMENT ACTIONS (Reduced payment, cure notice, show cause, other.)

15. CONTRACTING OFFICER NAME: (TYPED OR PRINTED)

16. CONTRACTING OFFICER SIGNATURE AND DATE

Contract Deficiency Report (CDR) Template, May 06 Copy of completed form will be provided to COR and Contractor

CONTRACT DISCREPANCY REPORT (CDR)

Continuation Sheet

(Number to correspond with a QASP Item Number on reverse)

Contract Deficiency Report (CDR) Template, May 06 Copy of completed form will be provided to COR and Contractor NON-SS Inspection Form THIS FORM ADDRESSES REQUIREMENTS IN THE CONTRACT THAT SHOULD BE PERIODICALLY INSPECTED, BUT ARE NOT ADDRESSED IN THE SS. THE COR CAN USE THIS FORM AS IS OR CHANGE THE FREQUENCY AND/OR NUMBER OF ITEMS TO BE INSPECTED. ANY DEFICIENCIES NOTED SHALL BE REPORTED TO THE CONTRACTOR USING A CONTRACT DEFICIENCY RECORD.

Date

COR Surveillance Checklist

A = Acceptable

METHOD OF ASSESSMENT-

U =Unacceptable

CONTRACTOR'S NAME:

N/A= Not applicable

CONTRACT NUMBER:

SS-1 -

Paragraph

SS-2

Paragraph

SS-3

Paragraph

SS-4

Paragraph

DATE:

See Corrective Action Report (CAR) for write-ups

ACRONYMS

AFLCMC

AIR FORCE LIFE CYCLE MANAGEMENT CENTER

AFMC

AIR FORCE MATERIEL COMMAND

CA

CORRECTIVE ACTION

CO

CONTRACTING OFFICER

COR

CONTRACTING OFFICER REPRESENTATIVE

CDR

CONTRACT DISCREPANCY REPORT

CPARS

CONTRACTING PERFORMANCE ASSESSMENT REPORTING SYSTEM

FD/FC

FUNCTIONAL DIRECTOR/FUNCTIONAL COMMANDER

MAJCOMS

MAJOR COMMANDS

MFT

MULTI-FUNCTIONAL TEAM

PWS

PERFORMANCE WORK STATEMENT

QASP

QUALITY ASSURANCE SURVIELLENCE PLAN

QAPC

QUALITY ASSURANCE PROGRAM COORDINATOR

SS

SERVICES SUMMARY

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