Attachment_5_-_QASP.pdf

ATTACHMENT 5

QUALITY ASSURANCE SURVEILLANCE PLAN FOR

USTRANSCOM

AUTOMATIC IDENTIFICATION TECHNOLOGY &

IN-TRANSIT VISIBILITY PROGRAM SUPPORT SERVICES

15 OCTOBER 2013

APPROVED:

JOHN KRAMARCYZK BELFIELD C. COLLYMORE

AIT/ITV Program Manager Contracting Officer

USTRANSCOM-J5/4 USTRANSCOM-TCAQ-DPO

For Information Purposes Only

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 Automatic Identification Technology & In-Transit Visibility Program Support Services for UATRANSCOM 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 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. 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.

b. 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, an AF Form 802, Contract Discrepancy 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 CDR and, if appropriate, sign and send it to the contractor. The contractor must complete blocks 9 and 10 according to the requirements of the contract and return it to the contracting officer within 5 calendar days of receipt. Upon receipt of the contractor’s response, the contracting officer, in consultation with the COR, must evaluate the contractor’s response and take the appropriate action. The contracting officer must document the evaluation (in block 11) and action taken (in block 12) on the CDR.

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

ATTACHMENT 1 - QUALITY ASSURANCE SURVEILLANCE SUMMARY

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

In order to measure contractor performance for the tasks and deliverables associated with this PWS, the contractor shall meet or exceed the operational objectives and performance or availability measurements in the Service Delivery Summary below.

Performance Objective PWS Para Performance Threshold Surveillance Method Task Order Management Plan

(TOMP)

1.3.1.1 100% of the time the TOMP is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Monthly Status Report (MSR) 1.3.1.1 90% of the time the MSR is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Listing of RFID/ITV Project Status

1.3.2.1 90% of the time the Project Status is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Site Visit Report 1.3.2.3 90% of the time the Site Visit Report is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

JDDE Visibility Capability Gap Quarterly Update

1.3.3.1 90% of the time the Quarterly Update is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Active RFID Migration Effort Update

1.3.4.1 90% of the time the Active RFID Update is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Proposal Review Recommendation

1.3.2.2, 1.3.4.5

90% of the time the Proposal Review Recommendation is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

RFID/IDL Report

1.3.4.8 90% of the time the RFID/IDL Report is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Data Schema Change Request Update

1.3.4.9 90% of the time the Change Request is timely, complete, and

Inspection/Review accurate, with acceptable milestones and milestone target dates.

Theater Plans Listing 1.3.5.3 90% of the time the Theater Plans Listing is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Theater Plans ITV Recommendations

13.5.3 90% of the time the Theater Plans Listing is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

USTRANSCOM ITV Action Plan

1.3.5.4 90% of the time the ITV Action Plan is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Written Recommendation, Memoranda, Trip Report

1.3.4.2, 1.3.4.3, 1.3.4.6, 1.3.4.7, 1.3.7.2

90% of the time the Written Recommendation/Memoranda/ Trip Report is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Periodic Sampling

AIT/ITV Policy Recommendation

1.3.5.1 90% of the time the Policy Recommendation is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Metrics 1.3.6.1 90% of the time the Metrics is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

ITV Dashboard Update 1.3.6.2 90% of the time the ITV Dashboard Update is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Inspection/Review

Point Paper, Briefing, Article, or Other Documentation

1.3.7.1 90% of the time the Point Paper, Briefing/Article/Other Documentation is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Periodic Sampling

Article or Website Documentation

1.3.7.3 90% of the time the Article/ Website Documentation is timely, complete, and accurate, with acceptable milestones and milestone target dates.

Periodic Sampling

Travel Requests 4.2 90% of the time the Travel Periodic Sampling

Request is timely, complete, and accurate, with acceptable milestones and milestone target dates.

ATTACHMENT 2 – DISCREPANCY STATUS REPORT

DISCREPANCY STATUS REPORT

MEMORANDUM FOR: USTRANSCOM/TCAQ

Attn: _______________Contracting Officer

FROM: USTC-J5/4

SUBJ: Discrepancy Status Report - (Month)

1. Period Covered: (First to last day of the reporting period, i.e. 1-31 April 2014)

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. Contract Discrepancy Reports (CDRs) - List all CDRs documented during the reporting period. Provide status of all open CDRs. Attach copies of CDRs to the monthly report.)

c. 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.)

PATTI SIZEMORE

Contracting Officer’s Representative (COR)

Attachment:

CDRs