PWS_AS9110-2016 Surveillance Audit_final.pdf

PERFORMANCE WORK STATEMENT (PWS)

FOR

ISO 9001:2015/AS9110:2016 Certification Audit Services 24 August 2023

1.0 General:

1.1 Scope: The contractor shall provide all personnel, equipment, tools, materials, supervision, and quality control necessary, except as specified in Paragraph 3.0 as Government Furnished, to perform ISO 9001:2015/AS9100:2016 Certification Audit Services annually and conduct Recertification, as defined in this PWS.

1.1.1 Objectives: This Performance Work Statement (PWS) covers Quality Management Systems (hereafter referred to as QMS) technical and management support services to the MS-AVCRAD located at Gulfport, Mississippi. This support encompasses annual surveillance audits, review, analysis, recommendations, and certification requirements for the QMS at the MS-AVCRAD.

1.2 Background: The MS-AVCRAD is a Provider of Aviation Field and Sustainment Level Maintenance, including Limited Depot Level Capabilities and Act as an Army Material Command (AMC) Source of Repair, as directed by the National Guard Bureau, and administered by the Mississippi Army National Guard MS-AVCRAD.

1.3 Period of Performance (PoP): The Period of Performance shall be 1 Base Year of 12 months and 3 12-month option years.

1.4 General Information:

1.4.1 Place and Performance of Services: The contractor shall provide services between the hours of 0800-1600 on Monday through Friday, except on recognized US holidays or when the Government facility/installation is closed due to local or national emergencies, administrative closings, or similar Government-directed facility/installation closings.

Performance shall be at Hangar #1, Hewes Avenue, Gulfport MS 39507. The contractor shall at all times maintain an adequate work force for the uninterrupted performance of all tasks defined within this PWS when the Government facility/installation is not closed for the above reasons. When hiring personnel, the contractor shall keep in mind that the stability and continuity of the work force are essential. Telework is not authorized.

1.4.1.1 Telework: The Government does not permit the contractor to telework in support of this requirement.

1.4.1.2 Unscheduled gate closures by the Security Police may occur at any time causing all personnel entering or exiting a closed installation to experience a delay. This cannot be predicted or prevented. Contractors are not compensated for unexpected closures or delays.

Vehicles operated by contractor personnel are subject to search pursuant to applicable regulations. Any moving violation of any applicable motor vehicle regulation may result in the termination of the contractor employee’s installation driving privileges.

1.4.1.3 The contractor’s employees shall become familiar with and obey the regulations of the installation; including fire, traffic, safety and security regulations while on the installation. Contractor employees should only enter restricted areas when required to do so and only upon prior approval. All contractor employees shall carry proper identification with them at all times, and shall be subject to such checks as may be deemed necessary.

The contractor shall ensure compliance with all regulations and orders of the installation, which may affect performance. The Government reserves the right to direct the removal of an employee from Government property or revoke access to Government systems for misconduct, security reasons, or any overt evidence of communicable disease. Removal of contractor employees for reasons stated above does not relieve the Contractor from responsibility for total performance of this contract.

1.4.2 Recognized Holidays: The following are recognized United States (US) holidays. The contractor shall not perform services on these days:

1.4.2.1 New Year’s Day: January 1st

1.4.2.2 Martin Luther King, Jr.’s Birthday

1.4.2.3 President’s Day

1.4.2.4 Memorial Day

1.4.2.5 Juneteenth National Independence Day: June 19th

1.4.2.6 Independence Day: July 4th

1.4.2.7 Labor Day

1.4.2.8 Columbus Day

1.4.2.9 Veteran’s Day: November 11th

1.4.2.10 Thanksgiving Day

1.4.2.11 Christmas Day: December 25th

1.4.3 Quality Control (QC): The contractor shall develop and maintain an effective QC Plan (QCP) to ensure services are performed in accordance with this PWS. The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The contractor’s QCP is the means by which it assures itself that its work complies with the requirements of the contract. As a minimum, the contractor shall develop QC procedures that address the areas identified in Technical Exhibit 1, Performance Requirements Summary (PRS).

1.4.4 Quality Assurance (QA): The Government will evaluate the contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan (QASP).

This plan is primarily focused on what the Government will do to ensure that the contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and acceptable quality level(s) or defect rate(s).

1.4.5 Installation Access and Security Requirements. The contractor shall comply with all applicable installation/facility access and local security policies and procedures, which may be obtained from the COR. The contractor and all associated subcontractor employees shall provide all information required for background checks to meet installation access requirements to be accomplished by installation Provost Marshal Office, Director of Emergency Services, or Security Office. The contractor shall ensure compliance with all personal identity verification requirements as directed by Department of Defense (DoD), Headquarters Department of Army (HQDA) and/or local policy (see PWS 6.0). Should the Force Protection Condition (FPCON) change, the Government may require changes in contractor security matters or processes.

1.4.5.1 Reserved.

1.4.5.2 For contractors that do not require a CAC, but require access to a DoD facility or installation: Contractor and all associated sub-contractors employees shall comply with adjudication standards and procedures using the National Crime Information Center Interstate Identification (NCIC-III) and Terrorist Screening Database (TSDB) (Army Directive 2014-05), and applicable installation, facility and area commander installation/facility access, and local security policies and procedures (provided by a Government representative).

1.4.5.3 Awareness Training (AT) Level 1: All contractor employees, including subcontractor employees, requiring access to Army installations, facilities, and controlled access areas shall complete AT Level 1 training within 30 calendar days after contract start date and within 30 calendar days of new employees commencing performance. The contractor shall submit certificates of completion for each affected contractor and subcontractor employee to the COR within 15 calendar days after completion of training by each employee or subcontractor personnel. AT Level 1 awareness training is available at the following website: https://jko.jten.mil/courses/atl1/launch.html.

1.4.5.4 iWATCH Training: The contractor and all associated subcontractors with an area of performance within an Army-controlled installation, facilities or area shall brief all employees on the local iWATCH program (training standards provided by the requiring activity Antiterrorism Officer (ATO)). This local developed training shall be used to inform employees of the types of behavior to watch for and instruct employees to report suspicious activity to the COR or the KO. This training shall be completed within 30 calendar days of contract award and within 30 calendar days of new employees commencing performance.

The contractor shall report completion for each contractor employee and subcontractor employee to the COR, within 15 calendar days after completion of training.

1.4.5.5 Communications Security/Information Technology (COMSEC/IT) Security. All communications with DoD organizations are subject to COMSEC review. All telephone communications networks are continually subject to intercept by unfriendly intelligence organizations. DoD has authorized the military departments to conduct COMSEC monitoring and recording of telephone calls originating from, or terminating at, DoD organizations. Therefore, the contractor is advised that any time contractor personnel place or receive a call they are subject to COMSEC procedures. The contractor shall ensure wide and frequent dissemination of the above information to all employees dealing with DoD information. The contractor shall abide by all Government regulations concerning the authorized use of the Government's computer network, including the restriction against using the network to recruit Government personnel or advertise job openings.

1.4.6 Physical Security. The contractor shall safeguard all Government property provided for contractor use. At the close of each work period, Government facilities, equipment and materials shall be secured.

1.4.7 Reserved

1.4.8 Post Award Conference/Periodic Progress Meetings: The contractor agrees to attend any post award conference convened by the KO in accordance with FAR 42.5. The KO, COR and other Government personnel, as appropriate, may meet periodically with the contractor to review the contactor’s performance. At these meetings, the KO will apprise the contractor of how the Government views the contractor’s performance and the contractor shall apprise the Government of problems, if any, being experienced. The contractor shall resolve outstanding issues raised by the Government. Contractor attendance at these meetings shall be at no additional cost to the Government.

1.4.9 Contract Manager (CM): The contactor shall designate a CM who shall ensure performance under this contract. The name of this person, and an alternate who shall act for the contractor when the CM is absent, shall be designated in writing to the KO. The CM or alternate shall have full authority to act for the contractor on all contract matters relating to daily operation of this contract. The CM shall work through the COR, to resolve issues, receive technical instructions, and ensure adequate performance of services. The CM shall ensure that contractor employees do not perform any services outside the scope of the contract without an official modification issued by the KO. The CM shall ensure contractor employees understand that services performed outside the scope of the contract are performed wholly at the expense of the contractor.

1.4.10 Identification of Contractor Employees: All contractor personnel attending meetings, answering Government telephones and working in other situations where their contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression that they are Government employees. The contractor shall ensure that all documents or reports produced by contractor personnel are suitably marked as contractor products or that contractor participation is appropriately disclosed. The contractor’s status as a “contractor” shall be predominantly displayed in all correspondence types (to include signature blocks on e-mail) and dealings with Government or non- Government entities. Contractor personnel shall wear identification badges distinguishing themselves as such. The badges shall have the company name, employee name and the word “contractor” displayed.

1.4.10.1 The contractor shall retrieve all identification media (including vehicle passes) from its employees who depart employment for any reason. The contractor shall return all identification media (i.e., badges and vehicles passes) to the KO within 14 days of an employee’s departure.

1.4.11. Combating Trafficking in Persons: The United States Government has adopted a zero tolerance policy regarding trafficking in persons. Contractors and contractor employees shall not engage in severe forms of trafficking in persons during the period of performance of the contract; procure commercial sex acts during the period of performance of the contract; or use forced labor in the performance of the contract. The Contractor shall notify its employees of the United States Government’s zero tolerance policy, the actions that will be taken against employees for violations of this policy. The contractor shall take appropriate action, up to and including termination, against employees or subcontractors that violate the US Government policy as described at FAR 22.17.

1.4.12 Reserved

1.4.13 Data Rights: The Government has unlimited rights to all documents/materials produced under this contract. All documents and materials, to include the source codes of any software, produced under this contract shall be Government owned and are the property of the Government with all rights and privileges of ownership/copyright belonging exclusively to the Government. These documents and materials may not be used or sold by the contractor without written permission from the KO. All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. This right does not abrogate any other Government rights.

1.4.14 Organizational Conflicts of Interest (OCI): The contractor and subcontractor personnel performing services under this contract may receive, have access to or participate in the development of proprietary or source selection information (e.g., cost or pricing information, budget information or analyses, specifications or work statements, etc.) or perform evaluation services which may create a current or subsequent OCIs, as defined in FAR Subpart 9.5. The contractor shall notify the KO immediately whenever it becomes aware that such access or participation may result in any actual or potential OCI and shall promptly submit a plan to the KO to avoid or mitigate any such OCI. The contractor’s mitigation plan will be determined to be acceptable solely at the discretion of the KO. In the event the KO unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the KO may impose other remedies as he or she deems necessary, including prohibiting the contractor from participation in subsequent contracted requirements which may be affected by the OCI.

1.4.15 Reserved.

2.0 Definitions and Acronyms:

2.1 Definitions:

2.1.1 Contractor: A supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

2.1.2 Defective Service: A service output that does not meet the standard of performance associated with the PWS.

2.1.3 Deliverable: Anything that can be physically delivered and includes non-manufactured things such as meeting minutes or reports.

2.1.4 Key Personnel: Contractor personnel that are evaluated in a source selection process and that may be required to be used in the performance of a contract by the PWS. When key personnel are used as an evaluation factor in best value procurement, an offer can be rejected if it does not have a firm commitment from the persons that are listed in the proposal.

2.1.5 Physical Security: Actions that prevent the loss or damage of Government property.

2.1.6 Quality Assurance: The Government procedures to verify that services being performed by the Contractor are performed according to acceptable standards.

2.1.7 Quality Assurance Surveillance Plan (QASP): An organized written document specifying the surveillance methodology to be used for surveillance of contractor performance.

2.1.8 Quality Control: All necessary measures taken by the Contractor to ensure that the quality of an end product or service shall meet contract requirements.

2.1.9 Subcontractor: One that enters into a contract with a prime contractor. The Government does not have privity of contract with the subcontractor.

2.2 Acronyms:

AR Army Regulation AS Aerospace Standard AT/OPSEC Antiterrorism/Operational Security CM Contract Manager COR Contracting Officer Representative DA Department of the Army DD254 Department of Defense Contract Security Classification Specification DFARS Defense Federal Acquisition Regulation Supplement DoD Department of Defense FAR Federal Acquisition Regulation GFP/M/E/S Government Furnished Property/Material/Equipment/Services HQDA Headquarters, Department of the Army IS Information System(s) ISO International Organization for Standardization KO Contracting Officer OCI Organizational Conflict of Interest

PRS Performance Requirements Summary PWS Performance Work Statement QA Quality Assurance QASP Quality Assurance Surveillance Plan QC Quality Control QCP Quality Control Program QMS Quality Management Systems TE Technical Exhibit

3.0 Government Furnished Property, Material, Equipment and Services (GFP/M/E/S): The Government will provide the property, material, equipment, and/or services listed below solely for the purpose of performance under this contract:

3.1 Property: The Government will furnish the necessary workspace for the contractor to perform services outlined in this PWS to include desk space and other items necessary to maintain an office environment.

3.2 Materials: None.

3.3 Equipment: None.

3.4 Services: None.

3.5 Utilities: All utilities in the facility will be available for the contactor’s use in the performance of this contract. The contractor shall instruct employees in utilities conservation practices. The contractor shall operate under conditions that preclude the waste of utilities, which include turning off the water faucets or valves after using the required amount.

4.0 Contractor Furnished Property, Materials, and Equipment (CFP/M/E):

4.1 General: Except for those items specifically stated to be Government-Furnished in Paragraph 3.0, the contractor shall furnish everything required to perform these services as indicated in Paragraph 1.1.

5.0 Requirements: The Contractor shall:

5.1 Be ANAB board certified as an accrediting agency, able to issue certification or recertification certificates that the MS-AVCRAD meets the ISO 9001 and AS9110:2016 standards, once all the requirements of the standard are met.

5.1.1 The contractor shall be an ISO 9001:2015 and AS9110:2016 registrar, accredited by the ANSI-ASQ National Accreditation Board (ANAB-formerly RAB).

5.1.2 Quality Management System: Contractor shall be familiar with the following required standards, forms, and documents:

5.1.2.1 AS9110:2016 Standard, with revisions and upgrades when required.

5.1.2.2 ISO 9001:2015 Standard, with revisions and upgrades when required.

5.1.2.3 ISO/IEC 17021 Conformity Assessment, requirements for body providing audit and certification of management systems.

5.1.2.4 AS9101F QMS Audit requirements for Aviation, Space and Defense Organizations.

5.2 Conduct annual surveillance audits and recertify the MS-AVCRAD before the current certification expires. (Certification is good for 3 years) The Contractor will review hundred (100%) percent of MS-AVCRADs Quality Management System annually. The Contractor will review all 3 years of surveillance audit findings, reports, documents, performance when recertifying the MS-AVCARD.

5.2.1 The Contractor shall audit the following required areas:

AS9110C Elements Area

4.0 – 4.4 Context of the Organization

5.0 – 5.3.3 Leadership

6.0 – 6.3 Planning

7.0 – 7.5.3 Support

8.0 – 8.7 Operation *8.3 – 8.3.6 Design and Development Planning (Excluded) *8.4 – 8.4.3 Control of External Provided Processes, Products and Services (Excluded)

9.0 – 9.3.3 Performance Evaluation

10.0 – 10.3 Improvement

* Note: AS9110 Element 8.3 through 8.3.6 (Designs and Development Planning) is exempt from audit due to the MS-AVCRAD not having design authority – only repair/rebuild of existing aviation military rotor wing aircraft/components and/or provide limited depot level repairs of existing military rotor wing aircraft.

* Note: AS9110 Element 8.4 through 8.4.3 as stated within the standard is not controlled at the MS-AVCRAD’s level. All components and or their related parts are ordered through the Defense Logistics Agency (DLA) and or the USPFO-MS to include other DOD approved sources.

5.2.2 Conduct audits to include the following:

1) Review of all internal audits.

2) Corrective and/or Preventive Action Reports completed, or in process.

3) Customer complaints/resolutions since the last periodic audit.

4) Ensuring that Root Cause Analysis was properly identified.

5) Corrective Action taken in accordance with the proper processes and procedure.

6) Review previous management reviews with follow-up actions.

5.3 Conduct an in-brief and out-brief with the MS-AVCRAD Management Review Team.

The focus of the audit, and areas to be audited, with timelines, shall be explained verbally during the in-brief as prescribed by the Audit Plan provided via OASIS. Any issues arising during the audit shall be addressed to the Management Representative or Site Manager. The out-briefings are verbal explanations of findings, and performances.

5.3.1 Identify the system failure, and clearly state the specific evidence in support of the finding, or a clear reference to the requirement being violated on all nonconformities identified by the auditor.

5.3.2 Provide the MS-AVCRAD Command Structure (Top Management) and Management Representative, as a minimum, the following formal audit reports/findings during the “out-brief”:

1) Audited Processes by date/time

2) Process Effectiveness Assessment Report (PEAR)

3) Nonconformity Reports (NCR)

4) Objective Evidence Report (OER)

5) Summary of Findings Issued

6) Conclusions and Recommendations

5.3.3 Perform all required services in accordance with this PWS. The annual surveillance audit will be conducted during the base year, option year 2 and option year 3. While the Recertification will be conducted during option year 1.

6.0 Applicable Publications: Publications applicable to this PWS are listed below:

Publication (Chapter/Page)

Date of Publication

Mandatory or Advisory

Website

Federal Acquisition Regulation https://www.acquisition.gov/?q=browsefar Defense Federal Acquisition

Regulation Supplement http://www.acq.osd.mil/dpap/dars/dfarspgi/curren t/index.html or https://www.acquisition.gov/dfars Joint Travel Regulation (JTR) https://www.defensetravel.dod.mil/site/travelreg.c fm Federal Information Processing

Standards (FIPS) Publication 201-

Personal Identity Verification (PIV) of Federal Employees and

Contractors (paragraph 9)

August 2013 http://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.

201-2.pdf

DoDM 5200.2 Procedures for the DoD Personnel Security Program

(PSP)

04/03/2017 https://www.esd.whs.mil/Directives/issuances/do dm/

DoD 5400.11-R

Department of Defense Privacy Program

05/14/2007 https://www.esd.whs.mil/Directives/issuances/do dm/ DoDD 8140.01

Cyberspace Workforce Management

10/05/2020 https://www.esd.whs.mil/Directives/issuances/do dd/

DoD 8570.01-M

Information Assurance Workforce Improvement Program

12/19/2005 (Change 4:

11/10/2015) https://www.esd.whs.mil/Directives/issuances/do

DoD 5220.22-M 02/28/2006 https://www.esd.whs.mil/Directives/issuances/do

National Industrial Security Program Operating Manual

(NISPOM)

(Change 2:

05/18/2016)

Army Directive 2014-05 Policy and Implementation

Procedures for Common Access Card Credentialing and Installation Access for Uncleared Contractors

03/07/2014 https://armypubs.army.mil/ProductMaps/PubFor m/ArmyDir.aspx

AR 25-2

Information Assurance

04/04/2019 http://armypubs.army.mil/ProductMaps/PubForm /AR.aspx

AR 530-1

Operations Security

09/26/2014 http://armypubs.army.mil/ProductMaps/PubForm /AR.aspx

AR 525-13

Antiterrorism

12/09/2019 http://armypubs.army.mil/ProductMaps/PubForm /AR.aspx

AR 381-12

Threat Awareness and Reporting

Program (TARP) (Section II, ¶ 2-4.b)

06/01/2016 http://armypubs.army.mil/ProductMaps/PubForm /AR.aspx

AS9110C:2016

11/2016 https://iaqg.org/standards/

ISO 9001:2015

9/15/2015 https://iaqg.org/standards/

ISO/IEC 17021-1

6/15/2015 https://iaqg.org/standards/

AS9101F

10/2016 https://iaqg.org/standards/

TECHNICAL EXHIBIT 1

Performance Requirements Summary (PRS)

This PRS includes performance objectives the Government will use to determine contractor performance and will compare contractor performance to the Acceptable Quality Level

(AQL).

Performance Objective

Performance Standard Acceptable Quality Levels (AQL)

Surveillance Method / By Whom

5.0 Maintain

Appropriate Certifications as

Required

Maintain AS9110 Registrar, Accredited by the ANSI-ASQ National Accreditation Board

(ANAB)

100% compliance Periodic Inspection / COR

5.1 Conduct

Surveillance Annual Audits

The Contractor shall conduct surveillance audits of MS-

AVCRAD’s Quality Management System

100% compliance Periodic Inspection / COR

5.2 Audit

Reviews/Briefing

The Contractor shall conduct reviews and an in/out brief with the MS-AVCRAD Management Review Team during each Annual Audit.

100% compliance Periodic Inspection / COR

TECHNICAL EXHIBIT 2

Deliverables Schedule

PWS Reference / Deliverable Title

Frequency Number of Copies

Medium/Format Submit To

1.4.5.3 AT Level 1

Awareness Training

Certificates

Provide within 15 calendar days after employee completes training.

1 Electronic Submission

COR

1.4.5.4 iWATCH Training Certificates

Provide within 15 calendar days after employee completes training.

1 Electronic Submission

COR

5.3.2 Audit

Reviews/Briefing materials/reports

Provide within 30 calendar days after completion of the audits.

1 Electronic Submission in

OASIS

COR/MS-AVCRAD

QMS and Commander