FA8650-16-R-4103-Atch4.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

For

Aeromedical Aviation Laboratory

In Support of

UNITED STATES AIR FORCE SCHOOL OF AEROSPACE MEDICINE (USAFSAM)

27 April 2016

Wright-Patterson Air Force Base

SECTION 1

PERFORMANCE MANAGEMENT

GENERAL

1.1. Purpose: This Quality Assurance Surveillance Plan (QASP) has been developed to meet the requirements as outlined in FAR Subpart 46.4, Quality Assurance Program. 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), dated 14 Nov 2012. This QASP also provides the Contracting Officer’s Representative (COR) an effective and systematic surveillance method for each listed service.

This QASP is based on the premise that the Contractor is responsible for contract management and quality control, not the Government. The Government COR will use customer feedback, Corrective

Actions Reports (CAR), Monthly Surveillance Reports (MSR) and random inspection methods to evaluate and assess the contractor’s performance. This is a 12-month basic contract with the option to extend performance through contract modification for a period not to exceed three option years (4 years total).

The Government’s assessment procedures and Contractor’s quality control procedures are intended to ensure acceptable contractor performance.

1.2. Objective: The QASP is to ensure that contractor performance in support of USAFSAM Aeromedical

Aviation Laboratory (AAL) is effectively monitored and documented. The Contracting Officer Representative’s (COR) contribution is their professional, relationships with the Contracting Officer, Program Manager 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.

1.3. Incentive Plan: Positive incentives as a result of performance that continually exceeds the performance objectives as outlined in the PWS may result in reduced surveillance and favorable

Contractor Performance Assessment Reports (CPAR). Negative performance incentives include re-performance of the defective service in accordance with the Inspection of Services clause, reduction of fee/price, negative CPAR reporting and/or increased surveillance.

SECTION 2

CONTRACT ASSESSMENT

2.1 Objective: The Government’s objective is to have quality support in the form of classroom and in-flight instruction to the students of the USAFSAM AAL program. There are three objectives of the AAL program. The first is to provide the student flight surgeon insight to the human response to the flight environment. The second is to design the student USAF flight surgeon into a valued combat crewmember regardless of the weapon system to which they are assigned. The final objective is to provide the equivalent of initial operational military flight surgeon flying and applied aerospace experience to all USAFSAM Aerospace Medicine Primary (AMP) graduates.

Additionally, the AAL shall enhance the students’ ability to succeed in flight medicine by jumpstarting the development of the student’s military aviation experience while igniting the students’ passion for flight medicine. This program shall train students to the skill levels required to complete the AAL syllabus.

2.2. Results: The results in managing this acquisition through this QASP are to enhance the students’ ability to succeed in flight medicine by jump-starting the development of the student’s military aviation experience while igniting the students’ passion for flight medicine. This program shall train students to the skill levels required to complete the AAL syllabus. Success for this contract is defined as achieving these outcomes as stipulated in the PWS and that the government receives the services it is paying for.

2.3. Validation of Objectives: On an annual basis, the Multi-Functional Team will review Performance

Assessment Date (Service Summary) under this contract to verify if the objectives and results established in this plan are being met. Performance assessment data will be reviewed by the

Government for positive organizational trends. During the surveillance period, results of surveillance must show that the number of observations during the period meets the performance threshold.

2.4. Multi-Functional Team Roles & Responsibilities: The purpose of the multi-functional team is to create an environment that shapes and effectively performs all of USAFSAM’s acquisitions. The emphasis is on teamwork, trust, common sense, and agility. These stakeholders are responsible for the acquisition throughout the life of the requirement, instituted under the authority of the senior leadership; every representative within the multi-functional team brings to the team their unique level of expertise. The following members will participate in the performance management of this specific contract. Their roles and responsibilities are described as follows:

2.4.1. Program Manager (PM): Has overall responsibility for initiating, managing and tracking the various programs that support USAFSAM departments. The OMP PM is the primary liaison between the

Contracting Officer (CO) and the technical Contracting Officer’s Representative (COR). The PM is responsible for assisting in the preparation of all requirements documents initiated by the directorates and providing USAFSAM customers with a single contact point, monitoring the contractor’s overall performance of all assigned contracts initiating contract changes and other supporting documentation.

2.4.2 Senior Leadership: Has overall responsibility for identifying mission essential services and developing the necessary documents in accordance with DoDI 3020.37, Continuation of Essential Contractor Services During Crisis, assigning primary and alternate CORs who will be available full-time or as warranted by the procurement cycle, and reviewing contractor performance documentation on a regular basis to ensure performance is compatible with the contract and mission objectives while supporting a higher level of contractor performance, and fostering synergistic partnerships.

2.4.3. The Contracting Officer: Has overall responsibility for overseeing the contractor’s performance.

The CO, through an assigned Contract Negotiator, is responsible for the day-to-day monitoring of the contractor’s performance in the areas of contract compliance, contract administration, cost control, reviewing the COR’s assessment of the contractor’s performance; and resolving all differences between the COR version and the contractor’s version of events. The CO is the only person with the authority to communicate with the contractor in the performance of his/her duties under the contract and to make interpretations of and changes to the contract. The CO and PM share joint responsibility in facilitating the multi-functional team meetings. The CO works with authority for inspection and/or acceptance to the COR in accordance with the terms and conditions of the contract. Informs the contractor of the names, duties and limitations of authority for all quality assurance personnel assigned to the contract.

2.4.4. Contracting Officer’s Representative (COR): Has responsibility for the technical monitoring of the contractor’s performance and assessing, recording, and reporting on the contractor’s compliance with the terms and conditions of the contract. Each COR will ensure his/her availability to receive all training prior to performing contractor surveillance. Each COR will maintain surveillance documentation, and notify the Functional Commander/Functional Director, through the CO, of any significant performance deficiencies, and recommends improvements to the QASP and PWS throughout the life of the contract.

The COR is responsible for assisting in the preparation of all requirements documents initiated by the directorates and providing USAFSAM customers with a single contact point, monitoring the contractor’s overall performance of all assigned contracts, initiating contract changes and other supporting documentation.

2.4.5. Legal, Finance and Engineering POCs: Other POCs shall coordinate, review and provide input as needed by the multi-functional team.

2.4.6. The Contractor: Is responsible for complying fully with the terms and conditions of the contract, participating as a member of the multi-functional team in the post-award management phase, maintaining and implements a Quality Control Plan (QPC) that compliments the QASP, ensuring that non-conforming contract services are identified, and corrected. When necessary revising the QCP to prevent future recurrence, tendering to the Government for acceptance only those services that conform to contract requirements and recommending any changes to the contract that will provide more effective operation or eliminate unnecessary costs.

SECTION 3

CONTRACTOR ASSESSMENT

3.1 Strategy for Assessing Contractor Performance: The contractor will be monitored and assessed initially and throughout the period of performance of the contract. The MFT will perform the initial evaluation of contractor performance. The USAFSAM COR will perform monthly assessment for the contract he/she is assigned. When a discrepancy in contractor performance occurs, the USAFSAM COR will notify the USAFSAM PM and CO. The USAFSAM PM and CO will engage the contractor’s PM to resolve the discrepancy.

3.2. Initial Contract Performance Review: The initial evaluation of contractor performance is a joint determination by the MFT that the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract. Review shall take place within 30 days after the contractor assumes full performance responsibility. The review shall include an assessment of schedule, management, technical, and cost performance. Significant modifications to the contract made since contract award shall be included in the initial performance report as special interest items.

3.3 Methods of Assessment: Potential surveillance methods used for monitoring of contractor performance of the contract will include random inspection, Customer Feedback, Monthly Surveillance

Reports, and Corrective Action Report. All methods of assessment become a permanent part of the COR surveillance records.

3.3.1. Random Inspection: inspections will occur periodically, but not less than monthly. The COR will verify acceptability and compliance with the performance threshold by monitoring and tracking each performance objective.

3.3.2. Customer Feedback: The COR is the initial focal point for collection of all customer feedback and is responsible for ensuring the customer knows how to submit complaints. Customer Complaint Report

(Attachment 1) shall be used for this purpose. All feedback must be documented on the form. The COR will contact each customer involved with this contract periodically to assure there is an understanding of the contract requirement by all appropriate personnel and that they have a sufficient number of feedback forms. A lack of complaint does not imply or verify satisfactory performance.

3.3.4 Monthly Surveillance Summary Report (MSR) (Attachment 2): The COR is the primary point for oversight of the MSR (Attachment 2). MSRs will identify acceptability and compliance with the performance objectives and performance threshold. MSRs will be conducted at least monthly.

3.3.5 Corrective Action Report (CAR) (Attachment 3): The contractor is responsible for correcting any deficiency identified by the COR via the CAR.

3.4. Services Summary:

PERFORMANCE

OBJECTIVE

PWS

PARAGRAPH

NUMBER

PERFORMANCE

THRESHOLD

METHOD OF

SURVEILLANCE

Meet Programmed Graduation Dates

1.2.1.3.5 95% Compliance Random inspection, but not less than monthly

Train students IAW AAL Syllabi

1.2.1.4 95% students trained without deviation

Random inspection, but not less than monthly

Provide flying training plans

1.2.1.4 100% The Contractor shall have, at all times, current and updated flying training plans.

Random inspection, but not less than monthly

Conduct mass briefings that provide UFT-like experience to AAL students.

1.2.1.4.3 95% Briefings shall include time hack, actual /forecast weather, current FCIF, Standup Emergency Procedures, TOLD data, NOTAMs, Random inspection, but not less than monthly and Ops Notes of Interest.

Provide Daily Flying Schedule

1.2.1.5.7 95% Compliance Random inspection, but not less than monthly

Provide AAL Flying Schedule

1.2.1.5.8 100% Compliance Random inspection, but not less than monthly

Provide sufficient numbers of qualified CFIs to meet student loads and graduation dates

1.2.1.8.1 1.2.1.8.1.1 1.2.1.8.1.2

100% Compliance Random inspection, but not less than monthly

Maintain a Go / No Go Checklist system;

ensure all aircrews accomplish items before every flight

1.2.1.8.2

No safety of flight deviations (FCIF, DNIF status, non-current status).

Random inspection, but not less than monthly

Provide sufficient numbers of training aircraft to meet student loads and graduation dates

1.2.2 100% Compliance Random inspection, but not less than monthly

Provide Insurance 1.2.3.1 Maintain types and amounts of insurance with provisions as specified at all times

Random inspection, but not less than monthly

Maintain Aircraft IAW Manufacturer/ Vendor Manuals and Applicable CFRs

1.2.4 No Airworthiness

Directive discrepancies allowed; 95% error-free documentation

Random inspection, but not less than monthly

Provide qualified, trained, and certified employees

1.2.7

Ensure employees are qualified, trained, and certified to perform their assigned duties 100% of the time

Maintain Flying and Ground Safety Programs

1.2.9 Ground and flying

mishap frequency and severity rate shall not exceed the USAF three-year average.

Random inspection, but not less than monthly

Maintain a Supervisor of Flying (SOF) program

1.2.9.5 SOF shall be on duty

and positioned to supervise local flying at all times

Random inspection, but not less than monthly

Provide publications and forms

1.2.11.4 100% of the students have the appropriate publications and forms when required.

3.5. Metrics: The USAFSAM COR will design surveillance metrics utilizing the surveillance methods established in the Services Summary for each respective task in order to track contractor progress towards meeting the established performance objectives of the Performance Work Statement. The USAFSAM point of contract will submit surveillance metrics to Contracting (The PKH Contract Negotiator) no later than the 10th of the last month of each reporting period. If applicable, the metrics will be used to design an overall contract rating reported annually in the CPARS.

3.6. Remedies for Unacceptable Performance: 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 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:

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

3.6.2. Reduce the contract price to reflect the reduced value of the services performed.

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

3.6.3.1. 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

3.6.3.2. Decrement invoice as stated in the PWS related to performance; or

3.6.3.3. Terminate the contract.

3.7. Non-SS Items: Quality performance is expected on all contract requirements (Non SS items by the contractor). All Non-SS items, applicable at the contract, shall be inspected by the COR.

3.8. Certification of Services: Certification of services is performed by the COR or the PM via Wide Area Work Flow (WAWF) system. At the end of each billing period the contractor in/outs invoice information in the WAWF system. The WAWF automatically notifies the appropriate COR via email of pending invoice.

The COR accesses WAWF and verifies accuracy of the contractor’s data. If data is correct the COR certifies invoice and payment is affected by the Defense Finance Accounting System. If the COR encounters errors in the contractor’s invoice, the COR will resolve with the program manager. If the contractor disagrees with the COR the issue is forwarded to the CO for resolution.

3.9. Review & Acceptance: The multi-functional team member signatures below indicate their review and acceptance of the QASP for classroom and in-flight instruction to the students of the USAFSAM AAL program. These signatures indicate coordination on the plan at the time of development and will remain in effect until the plan is changed.

3.10. Wide Area Work Flow:

3.10.1. The COR and PM will certify receipt of contractor services via the Wide Areas 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.

3.10.2. COR/PMs are responsible for obtaining, scheduling, and completing WAWF training from the Base Accounting and Finance Office.

MUTLI-FUNCTIONAL TEAM SIGNATURE PAGE

The multi-functional team (MFT): The MFT is responsible for performing work in accordance with the terms and conditions of the contract. Membership on the MFT will include:

• Contracting Officer Representative (COR)

• Program Manager (PM)

• Contracting Officer (CO)

• Quality Assurance Program Coordinator (QAPC)

• Contractor Representative

_____________________________________________ Date: ______________ James E. Fiene

Contracting Officer Representative

Ann L. Hoyniack-Becker, Col, USAF

Contracting Officer Representative

_____________________________________________ Date: _______________ James E. Fiene

Program Manager

Nicholas L. Kyriakidis

Contracting Officer

_____________________________________________ Date: ______________

Carol South Quality Assurance Program Coordinator

TBD

Contractor Representative

Attachment 1

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

Attachment 2

MONTHLY SURVEILLANCE SUMMARY REPORT

Attach continuation sheet(s) if necessary

1. CONTRACT NUMBER :FA8650-12-C-6310 2. MONTH

3. OVERALL PERFORMANCE SUMMARY 4. FROM: (Name of COR)

Please BOLD if performance was Acceptable or Unacceptable

5. Monthly Performance Assessment:

PERFORMANCE OBJECTIVE PWS

PARAGRAPH

NUMBER

PERFORMANCE THRESHOLD METHOD OF

SURVEILLANCE

Meet Programmed Graduation Dates

1.2.1.3.5 95% Compliance Random inspection, but not less than monthly

Train students IAW AAL Syllabus

1.2.1.4 95% students trained without deviation

Random inspection, but not less than monthly

Provide flying training plans 1.2.1.4 100% The Contractor shall have, at all times, current and updated flying training plans.

Random inspection, but not less than monthly

Conduct mass briefings that provide UFT-like experience to

AAL students.

1.2.1.4.3 95% Briefings shall include time hack, actual /forecast weather, current

FCIF, Standup Emergency Procedures, TOLD data, NOTAMs, and Ops Notes of Interest.

Random inspection, but not less than monthly

Provide Daily Flying Schedule 1.2.1.5.7 95% Compliance Random inspection, but not less than monthly

Provide AAL Flying Schedule 1.2.1.5.8 100% Compliance

Random inspection, but not less than monthly

Provide sufficient numbers of qualified CFIs to meet student loads and graduation dates

1.2.1.8.1 1.2.1.8.1.1

1.2.1.8.1.2

100% Compliance Random inspection, but not less than monthly

Maintain a Go / No Go Checklist system; ensure all aircrews accomplish items before every flight

1.2.1.8.2

No safety of flight deviations (FCIF, DNIF status, non-current status).

Random inspection, but not less than monthly

Provide sufficient numbers of training aircraft to meet student loads and graduation dates

1.2.2 100% Compliance Random inspection, but not less than monthly

Provide Insurance 1.2.3.1 Maintain types and amounts of insurance with provisions as specified at all times

Random inspection, but not less than monthly

Maintain Aircraft IAW Manufacturer/ Vendor

Manuals and Applicable CFRs

1.2.4 No Airworthiness Directive

discrepancies allowed; 95% error-free documentation

Random inspection, but not less than monthly

Provide qualified, trained, and certified employees

1.2.7

Ensure employees are qualified, trained, and certified to perform their assigned duties 100% of the time

Random inspection, but not less than monthly

Maintain Flying and Ground Safety Programs

1.2.9 Ground and flying mishap frequency

and severity rate shall not exceed the

USAF three-year average.

Random inspection, but not less than monthly

Maintain a Supervisor of Flying (SOF) program

1.2.9.5 SOF shall be on duty and positioned

to supervise local flying at all times

Random inspection, but

Provide publications and forms 1.2.11.4 100% of the students have the appropriate publications and forms when required.

Random inspection, but

EXCEPTIONAL Dr. Wolf provides exceptional service. Outstanding feedback. No record errors in pt documentation and maintains 100% compliance with emergency and safety procedures under direct observation.

VERY GOOD

SATISFACTORY

MARGINAL

UNSATISFACTORY

Exceptional. Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective. Note: To justify an Exceptional rating, you should identify multiple significant events in each category and state how it was a benefit to the GOVERNMENT. However, a singular benefit could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

Very Good. Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor was effective. Note: To justify a Very Good rating, you should identify a significant event in each category and state how it was a benefit to the GOVERNMENT. Also there should have been no significant weaknesses identified.

Satisfactory. Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory. Note: To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract. Also there should have been NO significant weaknesses identified. Per DoD policy, a fundamental principle of assigning ratings is that contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract.

Marginal. Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. Note: To justify Marginal performance, you should identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the GOVERNMENT. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g.

Management, Quality, Safety, or Environmental Deficiency Report or letter).

Unsatisfactory. Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective. Note: To justify an Unsatisfactory rating, you should identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the GOVERNMENT. However, a singular problem could be of such serious magnitude that it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g.,. Management, Quality, Safety, or

Environmental Deficiency Reports, or letters).

Attachment 3

CORRECTIVE ACTION REPORT (CAR)

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

1. CONTRACTOR

2. CONTRACT NUMBER

FA8650-12-C-6310

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