Atch_1_-_TRDM_QASP.doc

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

UNITED STATES TRANSPORTATION COMMAND

REFERENCE DATA MANAGEMENT SERVICES

28 June 2012

APPROVED:

LCDR WANDA MARTIN

LISA A. GROSS

Distribution Enterprise Architecture Contracting Officer

Division

USTRANSCOM – TCAQ-D

USTRANSCOM – TCJ6-I

1. INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) was developed in accordance with AFI 63-124, Performance-Based Services Acquisitions (PBSA), for work performed to provide technical and administrative support services for the United States Transportation Command (USTRANSCOM) Distribution Enterprise Architecture Division (TCJ6) at Scott AFB IL. This QASP sets forth the procedures and guidelines to be used by the Government to ensure that the Contractor achieves the required performance standards as specified in the Performance Work Statement (PWS). The PWS contains a Service Delivery Summary (SDS) that summarizes performance objectives (service required) and performance thresholds (specific standard) contained within the body of the PWS. The SDS does not identify every service required, but only those services considered most important for mission accomplishment. This QASP is based on the premise that the Contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The SDS recognizes that the Contractor is not a perfect manager and that unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the Contractor to meet or exceed the performance standards specified in the PWS.

2. PURPOSE

This QASP is designed to accomplish the following:

a. Provide a systematic method to survey and evaluate Contractor services to determine conformity with the technical requirements of the contract.

b. Define the roles and responsibilities of participating Government officials.

c. Describe the evaluation methods that will be employed by the Government in assessing the Contractor’s performance.

d. Describe the process of performance documentation.

e. Provide copies of the Quality Assurance (QA) monitoring forms that will be used by the Government in documenting and evaluating Contractor’s performance.

3. ROLES AND RESPONSIBILITIES

The Government monitors Contractor performance on a continuing basis through the services of a surveillance team. The surveillance team consists of the following members: Contracting Officer (CO) and Contracting Officer’s Representative (COR).

3.1 Contracting Officer (CO)

The CO has overall responsibility for contract administration. The CO is responsible for monitoring contract compliance and resolving any and all disagreements regarding interpretation of contract terms and conditions. The two primary functions of the CO with regard to the surveillance activity are to approve payments and authorize changes to the contract. Payment is authorized based on documented objective evidence provided by the COR that Contractor performance meets the performance standards specified. The CO is the only Government official authorized to revise the contract. Additionally, the CO is responsible for approving the QASP.

3.2 Contracting Officer’s Representative (COR)

The COR serves as a functional expert and is responsible for monitoring, assessing, recording and reporting the technical performance of the Contractor on a continuous basis. The COR schedules surveillance activities; evaluates and documents performance by the Contractor; initiates requests for and evaluates adequacy of the corrective action and reports Contractor performance of Contractor requirements. CORs are sufficiently trained to perform the required duties and to ensure their knowledge of the terms and conditions of the contract.

3.2.1. The COR is to be objective, fair, and consistent in evaluating Contractor performance against standards.

3.2.2. The COR will notify the CO immediately when an evaluation shows that performance does not meet the standards identified in this QASP.

3.2.3. The COR is required to ensure changes in work are not initiated before a written authorization or modification is issued by the CO.

3.2.4 The COR is required to accept delivery of services. The COR must ensure that all services have been performed before entering the quantity received and digitally signing the receiving report/invoice in Wide Area Work Flow (WAWF). The COR has a maximum of seven days after the Contractor’s submission of a properly documented receiving report/invoice to accept the quantity and digitally sign the document in WAWF. Prompt processing of receiving reports/invoices in WAWF increases the Government’s ability to take discounts offered and decreases the likelihood of the Government incurring interest expense for late payment. After digital signature, the signed receiving report/invoice will be routed to Defense Finance and Accounting Service (DFAS) for scheduling of payment.

3.2.5 The COR is required to provide an assessment of Contractor performance to the contracting officer for input into CPARS.

4. METHODS OF SURVEILLANCE

4.1 Service Delivery Summary (SDS)

The SDS summarizes the expected service objectives (outcomes) and identifies the metrics that will be tracked to determine whether the outcomes are being achieved at the appropriate levels of performance. The Government, through the COR, will monitor Contractor performance using the surveillance method(s) described below. In determining the evaluation criteria, the Government has considered what the contract specifically calls for, how performance can be surveyed, and if the proposed method of surveillance is adequate to assure the required level of performance has been achieved. Additionally, Contractor performance will be a factor affecting application of the plan, i.e., surveillance frequency may be increased or decreased based on Contractor demonstrated and documented performance. One or a combination of the following surveillance methods will be used to produce a well-rounded indication of Contractor conformance:

a. Sampling (Spot, Periodic and Random Sampling)

b. Third Party Audit

c. Inspection/Review (verification of specific tasks, weekly, monthly, quarterly, biannual, annual)

d. Customer/Government Input 4.1.1.

Sampling

This is the most appropriate method for frequently recurring tasks. Random sampling is done to determine whether to accept or reject the Contractor’s performance of the total lot of a particular task for a given period of time, using the premise that the statistically selected sample is representative of the entire lot. Sampling may be spot, periodic or random.

4.1.2. Third Party Audits

Third Party Audits will be conducted by an authorized agent of the Government, federal, state, and local agencies (i.e. OSHA, DMV, EPA, Environmental Management etc.).

4.1.3. Inspection/Review

This surveillance type is preferred for those tasks that occur infrequently. It is also used frequently for those tasks having very stringent performance requirements. When this type of surveillance is used, COR must inspect and evaluate the Contractor’s performance each time it is performed to determine acceptability.

This type of surveillance consists of the evaluation of samples selected on other than a 100 percent or statistically random basis. The results of periodic surveillance inspections may be used as the basis for actions against the Contractor. In such cases the Inspection of Services clause becomes the basis for the contracting officer’s actions. This will be done more frequently at the beginning of the contract, and is expected to decrease as standards are consistently met, but may increase if performance falls below standard.

4.1.4. Customer Inputs

The COR may use customer input to document discrepancies in Contractor performance. The contracting officer may use validated customer complaints as the basis for actions against the Contractor. In such cases the Inspection of Services clause becomes the basis for the contracting officer’s actions. Under the new philosophy of performance based service contracting, we expect the customer to file complaints directly with the Contractor with an automatic copy going to the COR. This allows COR oversight of the Contractor’s progress in answering complaints, resolving problems and updating the Quality Control (QC) program, while the Contractor is responsible to the customer. When used, customer complaints must follow a formalized procedure:

a. It will be the joint responsibility of the Contractor and COR to furnish written instructions and customer training to each organization receiving the Contractor’s services. Instructions and training should cover the format and content of the program and service to be surveyed; the action that may be expected from the Contractor, from COR, contract administrator, and contracting officer as a result of the complaints; and the limitations on the customer in dealing with Contractor personnel.

b. The COR is the primary point of contact for and must receive copies of all customer complaints. AF Form 714, Customer Complaint Record, or a locally devised form may be used, but all complaints and any resulting resolution must be documented with the information required on AF Form 714. Customer complaint forms become a permanent part of the COR surveillance records.

c. The COR will check customer complaints to ensure resolution of the deficiency and revision of QC program to prevent recurrence.

4.1.5. Management Review

Methods of surveillance can change after contract award based on acceptance of a Contractor’s proposed Quality Control Program or agreement that establishes the metrics to be used. When metrics are used as a method of surveillance through the partnering process, they may be developed after contract award, but prior to the performance start date.

4.1.6. Non-SDS Items

For required tasks not shown on the SDS, including all other tasks in the PWS and any referenced documents, the Government still retains the right to inspect any item included in the contract in accordance with Federal Acquisition Regulation (FAR) Part 46, Inspection of Services clauses. Inspection of these services will be performed in the same general manner as periodic surveillance items mentioned above. The results of these inspections are documented and, if necessary, are provided to the CO for action. Should a discrepancy be observed, the CO will handle each documented discrepancy on a case-by-case basis.

5. EVALUATION METHODOLOGY

This QASP comprehensively guides the surveillance team's activities and has been developed in a format to ensure ease of understanding and implementation. For each performance objective (service required) in the SDS, the specific method(s) of surveillance, performance thresholds (standards), sampling procedures, inspection procedures, and detailed objective task descriptors are shown in the QAS Summary in Attachment 1. The methodology described in the chart shall be used as the basis for performing surveillance of the respective performance objectives.

5.1 Established Procedures.

Each Contractor assessment shall follow an established procedure for surveillance, recording, reporting and follow-up, outlined as follows:

a. The frequency of surveillance will be in accordance with the COR Schedule.

b. Surveillance will be performed in accordance with Attachment 1 and results/comments recorded.

c. Performance/non-performance for a particular task will be entered chronologically by the COR on a historical log of surveyed performance. If no deficiency exists in Contractor performance for this element, no further action is required.

d. If Contractor performance is deficient, the course of action is dependent on the severity/impact/frequency of the non-performance. Re-performance is the first action to resolve deficiencies. When the COR determines a deficiency is not Government caused, a Discrepancy Status Report is initiated. The COR completes blocks 1 through 6 of the form and sends it to the contracting officer. The Contracting Officer must evaluate the DSR and, if appropriate, sign and send it to the Contractor.

e. When corrective action is reported by the Contractor, the COR will follow up with additional surveillance to verify implementation.

5.2. Conversation record

Conversation Record, DOD Optional Form 271, may be used throughout this process to effectively document program issues and concerns addressed with the Contractor and Government points of contact. This provides a method to keep QA personnel informed of the status of issues and concerns.

6. DOCUMENTATION

All surveillance activities must be documented to provide the required audit trail to justify Government acceptance and payment. The documented audit trail of the surveillance (DAS) activities is required by FAR 46.104(c), Contract Administration Office Responsibilities, which states, “Maintain, as part of the performance records of the contract, suitable records reflecting, (1) The nature of Government contract quality assurance actions, including, when appropriate, the number of observations made and the number and type of defects; and (2) Decisions regarding the acceptability of the products, the processes, and the requirements, as well as action to correct defects.”

All documentation resulting from surveillance is made a permanent part of the contract file. The COR must keep the documentation files during the term of the contract and either monthly or at the conclusion of the contract (as directed by the CO); transfer the files to the CO for inclusion in the official contract file. It is the responsibility of the COR to establish and maintain this information in a DAS Folder. The surveillance folder(s) should include as a minimum:

a. Contract Including Modifications

b. Task Orders Including Modifications

c. Quality Assurance Surveillance Plan

d. COR Letter of designation e.

Invoices f.

Surveillance Records

1) Written report of all inspections and timelines of deliverables

2) Written report of any deficiency

3) Any other written documentation relation to contract performance g.

General Correspondence

Attachments:

1. Quality Assurance Surveillance Summary

2. Discrepancy Status Report

ATTACHMENT 1 - QUALITY ASSURANCE SURVEILLANCE SUMMARY

The following items will be utilized for evaluation of performance during the duration of this contract.

1.1.2.1.

1.1.2.2.

1.1.2.3.

1.1.2.5.

1.1.2.6.

1.1.2.9.

1.2.2.4.2.

1.2.2.4.3.

1.2.2.4.6.1.

1.2.2.5

1.2.2.4.1.

1.1.2.4.

1.2.2.6.4.

1.1.2.1.3.

1.1.2.10.

1.2.2.12.

ATTACHMENT 2 – DISCREPANCY STATUS REPORT

DISCREPANCY STATUS REPORT

MEMORANDUM FOR: USTRANSCOM/TCAQ

Attn: _______________Contracting Officer

FROM:

USTCJ6-I

508 Scott Dr

Scott AFB, IL 62225-5357

SUBJ:

USTCJ6-I TRANSCOM Reference Data Management

Performance Analysis Discrepancy Status Report - (Month/Year)

1. Period Covered: (First to last day of the reporting period, i.e. 1-31 October 2011)

2. Area Covered: (Performance Objective, PWS paragraph, Task Descriptor, i.e. Support Desk, 1.2.1.1. .)

3. Overview of Performance:

a. Summary - (Summary of what was done by the COR to assure contract compliance, i.e. audits, data review, and surveillance)

b. Corrective Action Follow Up - (Report any follow-up actions performed during the reporting period.)

4. Performance Analysis: (State your analysis of the Contractor's performance.) Include positive and negative areas.

5. Areas of Concern: (Identify in narrative form ANY problem(s) or potential problem areas which may impact contract performance to SOW requirements or any aspect of the program.)

6. COR O&M Status: (Indicate current COR listing and their O&M status - Phases I and II; and any information regarding COR changes planned - new personnel requiring training, etc.)

JOHN Q. PUBLIC

Contracting Officer’s Representative (COR)