Atch_11_QASP.pdf

HTC711-15-R-D003

Attachment 11

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

USTRANSCOM

Limited Scope Traffic Engineering Services and Analysis Task Order 0001 12 November 2014

For Informational Purposes Only

APPROVED DATE:

DARREN J. GUTTMANN, PE DEBORAH M. YOUNG

Branch Chief, Traffic Engineering & IRRIS Contracting Officer

SDDC/TEA USTRANSCOM/TCAQ-DPO

TABLE OF CONTENTS

1.0. INTRODUCTION Page 2

2.0. PURPOSE Page 2

3.0. ROLES AND RESPONSIBILITIES Page 2

4.0. METHODS OF SURVEILLANCE Page 4

5.0 DOCUMENTATION REQUIREMETNS Page 5

ATTACHMENTS

1. CONTRACT DISCREPANCY REPORT

2. CONTRACT DISCREPANCY REPORT LOG

1.0. INTRODUCTION

1.1. This Quality Assurance Surveillance Plan (QASP) provides the Contracting Officer’s Representative (COR) effective and systematic surveillance procedures to be used in monitoring contractor performance in accordance with the requirements listed in the Performance Work Statement (PWS) Limited Scope Traffic Engineering Services and Analysis. This plan sets forth the procedures and guidelines the COR shall use in evaluating the technical performance of the contractor.

2.0. PURPOSE

2.1. This plan describes the systematic methods used to measure performance and to identify reports required and resources to be employed. This plan provides a means for evaluating whether the contractor is meeting the objectives as identified in the PWS.

2.2. This plan is designed to define roles and responsibilities, identify performance objectives, define methodologies to be used in monitoring and evaluating contractor performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

3.0. ROLES AND RESPONSIBILITIES

3.1. The Contracting Officer (CO) and the Primary/Alternate Contracting Officer’s Representative (COR) shall monitor contractor performance on a continuing basis. Government surveillance may occur in accordance with FAR 52.246-4 Inspection of Services – Fixed Price Points of Contact are as follows:

CO: Deborah M. Young

DSN 770-220-7157

Primary COR: Mr. Darren J. Guttmann darren.j.guttmann.civ@mail.mil

DSN 770-5218

Alternate COR: Mr. Thomas Mannino Thomas.j.mannino12.civ@mail.mil

DSN 770-5249

3.2. CO RESPONSIBILITIES. The CO performs pre-award functions and awards or executes a contract and performs post-award functions, has overall responsibility for contract administration, and is the primary focal point for formal Government-Contractor Interface. The CO is responsible for monitoring contractor compliance and resolving disagreements regarding the interpretation of contract terms and conditions. The CO may call upon the expertise of other Government individuals as required. Revisions to the contract shall be authorized by the CO. Additionally, the CO is responsible for approving the QASP and any changes thereto.

3.4. COR RESPONSIBILITIES (Applies to both the Primary and Alternate COR).

3.4.1. 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 contractor performance; initiates requests for and evaluates adequacy of corrective actions; and reports contractor performance of contractor requirements.

The COR shall be sufficiently trained to perform the required duties and shall ensure they are knowledgeable of the terms and conditions of the contract.

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

3.4.1.3. The COR shall notify the CO immediately when an evaluation shows that performance does not meet the standards identified in this plan.

3.4.1.4. The COR is required to ensure changes in work are not initiated prior to CO written authorization or contract modification.

3.4.1.5. (Applies to FFP CLINs only) The COR is required to accept delivery of services. The COR shall ensure services have been performed before entering the quantity received and approving/digitally signing the receiving report/invoice in TFMS-M. 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 approve/digitally sign the document for insertion into TFMS-M. After approval/signature, the signed receiving report/invoice will be routed to TFMS-M for scheduling of payment.

4.0. METHOD OF SURVEILLANCE

4.1. Service Delivery Summary (SDS)

The SDS is the most important deliverables that, when met, will ensure task order performance is satisfactory. 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 Quality Assurance Surveillance Plan (QASP) (see Attachment 1) as described below. In determining the evaluation criteria, the Government has considered what the contract specially calls for, how performance can be surveyed, and if the proposed method of surveillance is adequate to assure the required level of 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 the application of the plan, i.e., surveillance frequency may be increased or decreased based on contractor demonstrated and documented performance. The contractor is also fully expected to comply with all other requirements in the Performance Work Statement (PWS).

4.2. 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.

The Government retains the right to inspect any item/service included in the task order. The results of these inspections shall be documented and, if necessary, provided to the CO. The CO shall handle each documented discrepancy on a case-by-case basis.

5.0. DOCUMENTATION REQUIREMENTS

5.1. Complete and orderly COR files are vital in assuring the Government meets obligations required to result in a successful contract, particularly when disagreements or questions of interpretation arise. COR files play a critical role in resolving disputes before an administrative or legal review board.

5.2. Official File. The Primary COR shall maintain an official file for each contract assigned. This file shall be available for review by the contracting officer, Inspector General, GAO or other authorized officials. The file shall include, as a minimum –

A complete, current copy of the contract and all contract modifications (the contracting officer will provide, via email, copies of every modification);

Current copy of Quality Assurance Surveillance Plan;

A copy of the contracting officer’s letter(s) of delegation and other documentation describing the COR’s duties and responsibilities;

Copies of certificates/evidence of attendance for all COR related training (i.e., CLC 106, COR With a Mission Focus; Ethics Training, provided by local legal counsel or DAU CLM 003, Ethics Training for Acquisition Technology and Logistics Workforce; contract specific training; and refresher training);

Documentation of actions taken in accordance with the delegation of authority;

All correspondence initiated concerning performance of the contract;

All correspondence to and from the contracting officer and the contractor;

Record of all inspections performed and the results;

5.3. As a matter of practice, the COR holding discussions or conducting business with contractors, shall prepare Memoranda for Record (MFRs) of meetings, trips, and telephone conversations relating to the contract.

5.4. Surveillance Activity Checklists. The COR shall use a Surveillance Activity Checklist to record observations and provide a complete picture of contractor performance. The COR only needs to document findings and provide a narrative identifying unsatisfactory performance.

5.5. Unacceptable Performance

5.5.1. The COR shall record circumstances (time, date, location, and defective element) surrounding an observed discrepancy. When unacceptable performance, which was not caused or contributed to by Government actions, is documented, the COR shall take the following actions:

Immediately contact the CO.

Afford them the opportunity to show the problem has already been identified and corrective action is being taken. A deficiency may not be recorded if evidence is shown where the contractor’s quality program has already documented the deficiency and timely corrective action was taken to remedy the problem.

Evaluate the effectiveness of the contractor’s corrective action. Trends shall be tracked and repeated failures annotated.

Ask the contract manager or alternate contract manager to sign the checklist acknowledging receipt; and provide them a copy of the signed checklist. If the contractor refuses to sign the inspection, the COR shall document the contractor’s refusal and advise the CO of the situation.

5.5.2. Contract Discrepancy Report (CDR). If at any time during the surveillance period, the results of surveillance show unacceptable observations during the period, and the COR determines that it is not Government caused or the service cannot be re-performed, a Contract Discrepancy Report (CDR) (see Attachment 2) may be issued. The COR completes blocks 1 through 6 of the form and sends it to the Contracting Officer (CO). The CO must evaluate the CDR and, it 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 CO within five (5) calendar days of receipt. Upon receipt of the contractor’s response, the CO, in consultation with the COR, must evaluate the contractor’s response, the CO, in consultation with the COR, must evaluate the contractor’s response and take the appropriate action. The CO must document the evaluation (in block 11) and action taken (in block 12) on the CDR. The COR shall submit a Discrepancy Status Report (see Attachment 3) and attach a copy of the CDRs for the reporting period.

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

Attachment 1 – QUALITY ASSURANCE SURVEILLANCE PLAN SUMMARY

The following items will be utilized for evaluation of performance during the durations of this task order.

Performance Objective Performance Threshold Surveillance Method Final Report 100% compliance rate Inspection Review

Attachment 2 – CONTRACT DISCREPANCY REPORT

CONTRACT DISCREPANCY REPORT

PART 1

1. CONTRACT NUMBER

Insert Contract Number Here

2. DISCREPANCY REPORT NUMBER

Insert Report Number Here

3. TO (Contractor Representative)

Insert Name Here

4. FROM (COR)

Insert Name Here

5. DISCREPANCY OR PROBLEM (Describe in detail. Include Statement of Work/Contract Reference.)

Insert Text Here

6a. SIGNATURE OF CONTRACTING OFFICER b. DATE

CONTRACT DISCREPANCY REPORT

PART 2

CONTRACT NUMBER (Same as Part 1 No. 1)

Insert Contract Number Here

DISCREPANCY REPORT NUMBER (Same as Part 1 No. 2) Insert Report Number Here

7. TO (Contracting Officer)

Insert Name Here

8. FROM (Contractor Representative)

Insert Name Here

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION, AND ACTION TO

PREVENT RECURRENCE:

Insert Text Here

10a. SIGNATURE OF CONTRACTOR REPRESENTATIVE b. DATE

Attachment 3 – DISCREPANCY REPORT

MEMORANDUM FOR: USTRANSCOM/TCAQ

Attn: _______________Contracting Officer

FROM: USTCJ3

508 Scott Dr

Scott AFB, IL 62225-5302

SUBJECT: Performance Analysis Discrepancy Status Report - (Month)

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

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

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.)

JOHN Q. PUBLIC

Contracting Officer’s Representative (COR)

Attachment:

CDRs