QASP_IDIQ_20241202.pdf

QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)

448 SCMW Sustaining Engineering CSAG Projects Commodities/Aircraft Technical Services (CATS)

NSN & P/N: N/A (Overarching Contract)

PR # FD2030-25-00315

448th Supply Chain Management Wing (SCMW) Tinker Air Force Base, Oklahoma

COORDINATION

Quality Assurance Program Coordinator Date

Contracting Officer Representative** Date

Contracting Officer Date

Program Manager*** and/or Date

Functional Service Manager*** Date

*The Service Summary (SS) is releasable to the Contractor but the QASP is an internal Government document. (Reference AFI 63-138, chapter 6)

** If QA responsibilities will not be retained in house, but delegated to DCMA, please note which DCMA office will be responsible.

***Signature constitutes approval of the QASP IAW AFI 63-138, paragraph 2.9.4

Table of Contents

1. Objective

2. Goals of the Multi-functional Team (MFT)

3. MFT Members and their Responsibilities

3.1. Procurement Contracting Officer (PCO) and/or Administrative Contracting Officer (ACO) Responsibilities

3.2. DCMA QAR /COR Responsibilities

3.3. Chief Contracting Officer Representative (COR) Responsibilities

3.4 Quality Assurance Program Coordinator (QAPC) Responsibilities

3.5 Program Manager (PM)/Functional Service Manager (FSM) Responsibilities

3.6. Contracting Officer Representative (COR) Management (i.e. Supervisor) Responsibilities

3.7 Defense Contract Management Agency (DCMA)/ACO-Specific Responsibilities

4. Performance Assessment

4.1. Procedures

4.1.1. Corrective Action Report (CAR)

4.1.2. Definitions of Major Findings & Minor Findings

4.2. Methods of Surveillance

4.2.1. 100% Inspection

4.2.2. Periodic Inspection

4.3. Standard

4.4. Surveillance of Non-Service Summary Items

4.5. Remedies for Non-Conformance

4.6 Positive and Negative Incentives

4.7 Combating Trafficking in Persons ................................... Error! Bookmark not defined.

5. Performance Management

5.1. Market Research

5.2. MFT Meetings

5.2.1 5.2.2

5.3. Disputes

5.4 Contractor Performance Review

6. Revisions to this Surveillance Plan

1. Objective: The contract resulting from Purchase Request FD2030-25-00315 is to define the scope and overarching requirements for an indefinite delivery, indefinite quantity (IDIQ) contract used to execute Original Equipment Manufacturer (OEM) Engineering Assignments (EAs) that meet certain criterion. These EAs must meet all of the following criterion:

• Provide supportability resolution to resolve one or more of the following supply chain deficiencies (reference 448 SCMW Operating Instruction (OI) 63-118): o Obsolescence resolution preventing spares buys o Obsolescence resolution preventing repair actions (organic and contract repairs) o Safety of Flight and reliability issues o Maintainability o Lack of reliable sources (new build and repair)

• EA must address supportability issue(s) with stocklisted items within the management portfolio of 448th Supply Chain Management Wing (448th SCMW)

• The item’s design and/or performance specification was developed by Northrop Grumman

Corporation (NGC)

The purpose, and need, for this contract is to obtain specialized technical experience and access to NGC OEM engineering data regarding design, test and qualification analysis, and development of 448th SCMW -managed end items and piece parts. This will result in formulating supportability solutions which meet OEM weapon system performance, integration, reliability, survivability, quality, and configuration require

The purpose of the QASP is to provide a basis for EA-specific QASPs for projects awarded under this overarching contract. The EA-specific QASP will serve to provide a planned process for surveilling the Contractor’s actual performance and comparing that performance against the contractual requirements to determine conformity with the technical requirements of the contract.

The QASP identifies and describes the roles and responsibilities for implementing and maintaining the following key elements of contract performance management:

1) Performance Planning & Preparation

2) Performance Assessment Surveillance

3) Performance Results Analysis and Reporting

4) Performance Assessment Follow-up

It is the responsibility of the Contractor, and not the Government, to ensure that the quality of services provided to the Government is IAW the Contractor’s Quality Management System (QMS). The Contractor’s QMS should be capable of executing four key quality functions:

1) Detection;

2) Identification;

3) Correction; and

4) Follow-up

The goal of the QMS is to obtain performance reflective of continuous improvement with no reliance on the Government’s surveillance to identify contract non-compliances. Contractors are responsible for submitting a complete QMS plan that is reviewed for acceptance by the

Government. The QMS plan includes a quality control plan (QCP) addressing the “detection” function.

2. Goals of the Multi-functional Team (MFT). The goals of this team are to provide the highest levels of contract performance and customer satisfaction.

3. MFT Members and their Responsibilities. The membership, goals and responsibilities of the MFT are outlined below by team member. In addition, the overall responsibilities of the MFT include the following:

a. Ensures Services Summary (SS) items are measurable, surveil-able and directly align with applicable CPARS evaluation areas.

b. Identifies how CORs are to assess non-SS items as well as the Performance Based Payment (PBP), if applicable. The MFT ensures QASP surveillance of SS performance objectives are scheduled and reported in a manner that integrate into a PBP plan (if used) and CPARS reporting. The MFT considers the applicability of a PBP plan IAW FAR 32.1001 with concurrence from the PM and/or FSM and CO.

c. Ensure the QASP adequately addresses surveillance of Contractor QMS related responsibilities that integrate the functional/technical activities quality requirements.

d. Ensures the QASP builds a surveillance plan that schedules surveillance of all Service Summary (SS) and non-SS items.

e. After contract award, ensures COR oversight focuses on the adequacy and adherence of the Contractor to their proposed QMS by paying special attention to:

1) Whether the COR or Contractor is first in detecting defects and trends.

2) Who (COR or Contractor) accomplishes more inspections, and

3) Whether the Contractor is proactively pursuing the four key QMS functions of detection of quality program problems and defects, identification of root causes, quality related problems/defects, correction of root causes related to detected and problem/defects, and follow-up to ensure quality related problems/defects do not recur.

f. Refer to DAFI 63-138, chapter 2, paragraph 2.10 for a list of additional MFT responsibilities.

3.1 Procurement Contracting Officer (PCO) and/or Administrative Contracting Officer (ACO) Responsibilities:

1. Advises the MFT on Surveillance Plan development.

2. Reviews Contracting Officer Representative (COR) nomination before contract award.

3. Approves Contracting Officer Representative (COR) nomination via the Joint

Appointment Module (JAM) program (within three working days after contract award or prior to their designation as a COR if appointed as a replacement COR after contract award), indicating their areas of responsibilities and limitation of authority and ensures that the COR, COR Supervisor, Contractor, and Quality Assurance Program Coordinator (QAPC) are notified in writing of such.

4. Provides Contract Specific Training for any COR appointed by the PCO, prior to contract award or prior to their designation as a COR if appointed as a replacement COR after contract award) .

5. Reviews and approves the COR’s monthly and/or quarterly surveillance schedule,.and any variance from that schedule.

6. Reviews and approves monthly and/or quarterly COR surveillance report in the month following the scheduled surveillance (in SPM).

7. Ensures the COR surveillance inspections are accomplished as required by the QASP.

8. Ensures the contract file is documented with evidence the services provided conform with applicable contract quality and quantity requirements and all terms and conditions of the contract have been met prior to approval of contractor payment requests.

9. Coordinates with the COR Supervisor (using Annual Checklist) and performs an annual review of the COR program and performance. Annual Checklist is accomplished during anniversary month and will be uploaded in Surveillance and Performance Monitoring (SPM)

10. Ensures suitable records reflecting decisions and acceptability of the requirements as well as actions to correct defects are uploaded in SPM.

11. Requests re-performance and/or reduction of price of contract when services are not performed or do not meet contract requirements.

10(a) Determines the amount withheld constitutes a reasonable estimate of the Contractor's potential liability.

10(b) Ensures the withholdings represent an amount commensurate with the reasonable value of such services.

12. Ensures past performance inputs are prepared documenting any performance issues.

13. Ensures documentation identifying nonperformance and actions taken are uploaded in

SPM.

14. Keeps communication lines open with the Contractor regarding performance issues.

15. Terminates the COR Designation using automated JAM program and notifies the

QAPC.

16. Participates as a member of the MFT.

3.2 Contract Officer Representative (COR) Responsibilities:

1. Provide technical support to the Program Manager (PM)/Services Acquisition Lead (SAL) and Contracting Officer (CO) and assist the MFT in developing performance requirements in pre-award activities.

2. CORs are required to register for SPM access through the PIEE e-Business 0Suite at https://piee.eb.mil, and complete training to effectively perform duties in the SPM.

The CO must determine the nature of the work /requirement (Type A B or C) as specified in DoDI5000.72, DoD Standard for Contracting Officers’ Representatives (COR) Certification training includes a review of the JAM and SPM Users Guide and FAQs, and if necessary, a request for additional training from a local Department Administrator (DA).

3 Provide information necessary to assess whether any actual or potential personal conflicts of interest with performing the responsibilities to be designated exist. Conflicts of interest determination will be reviewed again prior to contract award.

https://piee.eb.mil/

4 Remain abreast of changes to terms and conditions of the contract resulting from contract modifications.

5 Pre-award process: Assist the CO and MFT in determining Quality Management System (QMS) requirements being mindful of the requirements of FAR parts 12, 46, 52.212-4(a), 52.246, Chapter 6 of DAFI 63-138 and the PWS. COR’s will aid in assessing Contractor submitted QMS’s for congruence with predetermined quality system requirements. Any proposed and accepted QMS exceeding the minimum Request for Proposal (RFP) PWS requirements shall be made part of the resultant contract/task order at the Contractor’s proposed rate, in a way that does not reveal the Contractor’s proprietary information.

6 Assist the MFT in developing and updating the QASP or Award Fee/Incentive Plan, as applicable, prior to source selection that effectively measures and evaluates performance-based activity throughout the life of the functional contract requirement.

7 COR completes all required DoD Standard COR training (see DoDI 5000.72 Enclosure 6 and Tables 2, 3 or 4 of Enclosure 6) prior to award or prior to their designation as a COR if appointed as a replacement COR after contract award, Contract Specific Training and/or Refresher Training.

8 If functional Subject Matter Experts (SMEs) are utilized, develop a plan to collect surveillance documentation from all SME’s for consolidation into a single monthly and/or quarterly surveillance report.

9 Ensures supplies or services rendered by Contractor meet contract requirements.

10 Notifies the PCO/ACO and the Contractor of any performance deficiencies in writing or by e-mail.

11 Ensures discrepancy reports are accurate and reported properly.

12 Identifies areas that warrant a change in assessment method, frequency, or performance threshold and provides suggestions about the surveillance plan to the

PCO.

13 Maintains accurate documentation of Contractor assessment activities as required by the surveillance plan and reports the results of Contractor assessment activities to the PM AND/OR SAL (no less than quarterly) and ACO/PCO.

14 Post-award process: Ensure Contractor’s accepted QMS complies with contract requirements. During post award, CORs need to place special emphasis in ensuring the Contractor’s QMS is being followed as written, plus is effective in bringing about the desired results – performance equal to or greater than the service summary (SS) metrics, plus an inspection and corrective action program that identifies and fixes issues without having to be identified by the government.

15 Maintains file* in accordance with (IAW) the Surveillance Plan and requests PCO/ACO disposition at the completion of the contract or termination of COR appointment (if applicable). *File (i.e. maintained in JAM) should include a copy of the contract/order and all modifications (unless readily available electronically);

a copy of all COR training records (if applicable); a copy of COR designation memorandum filed in COR on-line file in JAM (if applicable); correspondence between you and the Contractor; copies of correspondence to or from PCO/ACO;

minutes of all meetings; copies of all invoices submitted and paid; copies of Contractor data submittals; records of all inspections performed and the results;

and all other documentation of actions taken by QAR/COR (maintained in SPM).

16 If a SME identifies an area of concern regarding the conformance of the Contractor’s performance, verify the SME’s concerns and document any Contractor non-conformance of the contract requirements.

17 Submits all requests for corrective action to the PCO/ACO.

18 Inspects and accepts Contractor services at the completion of each contract payment period, usually monthly. The QAR /COR will certify services received, unless the PCO/ACO retains the authority for acceptance.

19 If accepting invoices, ensures the contract file is documented with evidence the services provided conform with applicable contract quality and quantity requirements and all terms and conditions of the contract have been met prior to approval of contractor payment requests.

20 Assists with contract/order closeout.

21 Works with the Contractor and the PCO/ACO to resolve issues.

22 Combating Trafficking in Persons: IAW DFARS PGI 222.17, the COR shall pursue, as appropriate, the following methods of monitoring the Contractor’s performance regarding trafficking in persons such that non-compliances with FAR clause 52.222-50 are brought to the immediate attention of the Contracting Officer:

a. Keep the lines of communication open with the Contractor. At the Post-Award conference, remind the Contractor of his contractual responsibilities to notify the government if the Contractor receives notification of any alleged violations to this policy or if actions have been taken against the Contractor employees, subcontractor’s, or subcontractor employees pursuant to the clause.

b. When appropriate, encourage Contractor to complete Human Trafficking Awareness Training.

c. Encourage the Contractor to take steps to investigate and eliminate slavery and human trafficking in their supply chains and to publish information for consumer awareness.

d. Periodically access the Department of State’s Trafficking in Person (TIP) website for updates and to view the latest reports. http://www.state.gov/g/tip

23 Never direct a Contractor’s work or the re-performance of work, assist the Contractor in any task, advise the Contractor on how to accomplish any task, change the contract, or interpret the contract, but rather observe and report on Contractor compliance with contracted requirements. Perform only those duties/responsibilities delegated by the CO in the COR Designation.

24 Participate, as requested, in annual CPAR procedures. CORs may be designated as the Assessing Official’s Representative (AOR) by the CO in the Contractor Performance Assessment Reporting System (CPARS) IAW the CPARS Guide. If designated as an AOR, the COR would be responsible for providing a timely, accurate, quality, and complete narrative for a report on the contractor's performance. If the CO requires the COR to have access to the contractor performance assessment reporting system (CPARS), the synchronized pre-deployment and operational tracker (SPOT) or the System for Award Management (SAM.gov), an account would be authorized and granted after COR designation.

http://www.state.gov/g/tip https://cs2.eis.af.mil/sites/10059/afcc/knowledge_center/templates/COR_designation.pdf

25 IAW DAFI 63-138, chapter 2, paragraph 2.12, if a Chief COR is not assigned the COR will perform the Chief COR responsibilities shown in paragraph 3.3 below in addition to the COR responsibilities identified under paragraph 3.2.

26 Participates as a member of the MFT.

3.3 Chief Contracting Officer Representative (C-COR) Responsibilities: (If a Chief COR is assigned, they must also comply with the COR responsibilities identified in DoDI 5000.72, DFARS PGI 201.602 and AFFARS MP 5301.602-2(d). If a Chief COR is not assigned, the responsibilities shown below will be performed by the COR in addition to the COR responsibilities identified in paragraph 3.2 above).

1. The C-COR must maintain the sole online COR file in SPM for the contract.

2. Ensure the COR maintains records (minutes, invoices and payments, inspection results, QASP, Award Fee or Incentive Plan, etc.) and Memorandums for Record (MFRs) on significant issues relating to the contract as required in DoDI 5000.72. These documents are required to be managed in the SPM Module.

3. Inform the CO in writing of any required changes to the contract scope/performance work statement (PWS).

4. Develop and publish a monthly and/or quarterly surveillance schedule of all COR surveillance activities (label as “For Official Use Only”) unless processes in the applicable Award Fee/Incentive Plan delineate specific methods of surveillance unique to the acquisition. The schedule will be reviewed by the PM AND/OR SAL and CO NLT one duty day before the scheduled surveillance period begins and then uploaded in the SPM module.

5. Develop and publish a monthly and/or quarterly surveillance report of all COR surveillance activities. The COR will identify any scheduled inspections not accomplished during a surveillance period in the monthly and/or quarterly report and address why the surveillance was not accomplished (in such cases, a statement from the PM AND/OR SAL and QAPC/CO approval for the variance is required). Submit to the PM AND/OR SAL and CO NLT the 5th workday of the month following the scheduled surveillance.

6. Draft Corrective Action Reports (CARs) for submission to the PM AND/OR SAL for each area of contractual non-conformity, either immediately or at the end of each surveillance period (as determined by your QASP and forward to the PM AND/OR SAL for review and the CO for issuance.

7. Assist PM AND/OR SAL and CO in verifying adequate corrective actions are taken to resolve problems.

8. Notify the CO if there is a high risk of the contract costs exceeding the amount programmed (if no PM assigned).

9. Assist CO with validating the accuracy of invoices submitted by the service provider prior to the government paying for the services.

10. Ensure a CPAR is accomplished no less than annually. The CO may determine an out of cycle CPAR is required to address performance concerns.

11. When required by the CO, COR will submit their OGE Form 450 Confidential Financial Disclosure Report and annual training in a timely and accurate manner.

12. Complete all required COR training.

3.4 Quality Assurance Program Coordinator (QAPC) Responsibilities:

1. Assist the CO in providing contract-specific training (to include refresher training) to the COR and ensuring required training is accomplished in accordance with DoDI 5000.72, DoD Standard for Contracting Officer s Representative (COR) Certification, 26 Mar 15.

2. Provide training for CORs and COR management [e.g., COR Supervisor, Services Acquisition Decision authority (SADA), Services Acquisition Lead] on the contracting requirements associated with the quality assurance program and any MAJCOM/DRU/AFRCO/SMC procedures prior to contract award. Assist the CO in providing contract-specific training (to include refresher training) to the COR (Reference paragraph 1.3 above) and ensuring required training is accomplished in accordance with DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, 26 Mar 15.

3. Monitor the inputs and use of SPM for the assigned organization. This requires registration, training, and designation as a local JAM/SPM DA or Manager Role by all QAPCs. DAs/Managers provide functional, not technical support, and provide for the continued deployment of JAM and SPM for new users and for the support of existing users in the local organization, by performing three categories of duties:

(a) Advise or assist new users with initial JAM/SPM registration, or existing users with registration and profile updates, through the PIEE e-Business Suite platform.

(b) Activate new roles (if designated as a DA) and added roles (only if a DA) after verifying proper completion of the automated DD2875; and

(c) Conduct JAM/SPM training or provide training resources to users.

4. USER SUPPORT:

(a) Advise and assist on the functions & features of JAM/SPM.

(b) Use Administrator or Manager privileges to research, troubleshoot, and advise on reported functional issues.

(c) Refer users to the PIEE Helpdesk, when a reported issue involves accounts, errors, or technical support.

(d) Monitor records of all COR nominations, designations, and terminations of designations, to include COR’s acknowledgement of their duties, by contract number and CO’s name.

(e) Monitor records of all COR and COR management training, including refresher training regardless of provider (e.g., QAPC, CO, contract specialist, contract administrator, Defense Acquisition University, or commercial training provider).

5. Approves any variance to the COR’s surveillance schedule.

6. Supports the MFT in the development of contract requirements specifically to ensure that requirements are clearly stated and enforceable.

7. Offers advice on development for the Service Summary and Surveillance Plan.

8. Participates as a member of the MFT.

3.5 Program Manager (PM)/ Services Acquisition Lead (SAL) Responsibilities:

1. Execute management and oversight for the delivery of contractually acquired services.

http://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/500072p.pdf

2. Specifically, identify those services within a requirement that are mission essential IAW DFARS 252.237-7023. (i.e. SAL, which replaced FSM or FC/FD, only responsibility).

3. Keep up to date on mission changes that may drive the need for a contract modification. Coordinate with and seek advice from the CO on a possible need for a modification based on changes within the functional mission that could affect the performance requirements of the contract.

4. Ensures the adequacy of the Contractor’s QMS via input from the COR.

6. Ensures CORs do not become the Contractor’s quality control/quality assurance

(QC/QA) function.

7. Is responsible for determining, with input from the MFT, if use of the customer complaint method of surveillance is appropriate IAW chapter 6 of DAFI 63-138.

7. Review, approve, and sign surveillance schedules prior to upcoming surveillance periods.

8. When necessary, fulfill contracting office representative (COR) appointment and supervisory duties identified in paragraph 2.13 of DAFI 63-138 (also shown in paragraph

3.6 below). Review and approve individual's nomination as CORs to the CO to enable appropriate contract surveillance. The COR(s) should be organizationally aligned with the PM AND/OR SAL whenever possible.

9. Review Contractor performance documentation prepared by COR personnel to ensure performance is compatible with contract objectives.

10. Approve Quality Assurance Surveillance Plan (QASP).

11. Ensure a Contractor Performance Assessment Report (CPAR) is accomplished no less than annually by either the COR or the Chief, Contracting Officer Representative (C- COR). If the program is an ACAT program where services are embedded, the PM is responsible for accomplishing the CPAR.

12. Ensure assessments are consistent with the monthly surveillance reports.

13. Establish a tracking procedure to ensure MFTs are established and led by a PM or SAL as required in DoDI 5000.74.

14. Establish, lead, and maintain MFT through the course of the acquisition (pre and post award).

15. Establish a governance to ensure a CPARS Assessing Official (AO) and Assessing

Official Representative (AOR) is identified. During the assessment process, provide a perception of the Contractor's overall performance. In some instances, this may require the PM AND/OR SAL to be either the AO or AOR.

16. Prepare slides and brief programs greater than $100M at the Annual Executive Review

(AER).

The roles of the PM AND/OR SAL are defined in DoDI 5000.74. In addition, Enclosure 4 of DoDI

5000.74 requires the PM AND/OR SAL to be appointed by the Decision Authority listed in Table 1 of DoDI 5000.74

3.6 Contracting Officer Representative (COR) Management (i.e. Supervisor) Responsibilities:

1. Register in the Procurement Integrated Enterprise Environment (PIEE) and request a Manager role in SPM and then complete training to effectively perform duties. Training includes a review of the JAM/SPM Tool Users Guide and FAQs, and if necessary, a request for additional training from a local Department Administrator.

2. Review and approve COR nominations via the JAM (i.e Special Access Programs are exempt from this requirement) at https://piee.eb.mil . To meet the technical experience requirements of FAR 1.602-2(d)(3) and DoDI 5000.72, Enclosure 5, paragraph 4, COR supervisors ensure the COR nominee has relevant technical, professional, or administrative qualifications within the area to be surveilled by both training and experience commensurate with the required COR responsibilities prior to nominating an individual to the CO for COR duties.

3. When required by the CO, ensure CORs submit their OGE Form 450 Confidential Financial Disclosure Report and annual training in a timely and accurate manner.

4. Evaluate the individual’s performance as a COR and solicit feedback from the CO to include in the overall evaluation. Evaluation of CORs performance occurs if the COR is a dedicated full-time, part time or if the CORs duties are assigned as additional responsibilities.

5. Functionally align CORs under the Program Manager (PM)/Services Acquisition Lead (SAL), when possible.

6. Review problem areas identified by COR to facilitate COR/CO coordination to resolve problems.

7. Review Contractor performance documentation prepared by COR personnel to ensure performance is compatible with contract objectives.

8. Ensure prospective COR understands importance of performing their designated functions.

9. Ensure the COR will be afforded the necessary resources (time, supplies, equipment and opportunity) to perform their designated functions.

10. Ensure COR completes required training prior to award or prior to their designation as a

COR if appointed as a replacement COR after contract award.

11. Completes COR Management training prior to contract award. (provided by the Quality

Assurance Program Coordinator (QAPC) prior to contract award.).

12. Participates as a member of the MFT.

13. The COR Supervisor shall ensure that the COR completes and uploads COR Reports to

SPM, as required, to enable the CO to review and approve/ reject reports in the SPM.

14. Conduct regular reviews of COR inputs into SPM, and follow-up as necessary, on the content, timeliness, and completeness of COR Reports, online files, and other COR-related documentation.

3.7 Defense Contract Management Agency (DCMA)/ACO-Specific Responsibilities:

a. Performs contract administration as defined in Federal Acquisition Regulation (FAR) Part 42 and DCMA Guidebook as needed and as authorized by the PCO.

b. Performs inspections and acceptance on all Contract Line Items (CLINs) that are inspection/acceptance at origin IAW the FAR clause and the DCMA Guidebook.

c. Initiates and monitors corrective actions given to the Contractor during the performance of the contract.

d. Keeps PCO informed of the corrective actions that pertain to the contract.

e. Notifies, when necessary, the PCO of any potential delays and any Contractor performance that poses risks to the completion and quality of the contract.

f. Participates as member of the MFT.

https://piee.eb.mil/

4. Performance Assessment.

The required performance objectives can be found in the Service Summary in the PWS. The Contractor service requirements are summarized into performance objectives that relate directly to the mission essential items. The performance threshold describes the minimum acceptable levels of service for each requirement. The Contractor shall be aware that the absence of any contract requirement from the service summary does not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract.

Method of Surveillance:

PERFORMANCE

OBJECTIVE

PWS (IDIQ)

PARAGRAPHS

PERFORMANCE

THRESHOLD

(Standards/AQL)

METHOD OF

SURVEILLANCE

(How)

SS-1. CDRL A001

Conference Agenda, DI-ADMN-81249C

4. & 7.8 Contractor shall deliver the subject CDRL as defined in the PWS; subject CDRL shall be delivered to the COR with 1 or fewer defects. A defect is defined as a mistake that aversely impacts technical content and/or clarity.

100% Inspection. COR will review subject CDRL and provide feedback to the Contractor. Corrective action shall be taken within 2 working days of notice. Final CDRL Deliverable will be defect free at time of re-delivery.

SS-2. CDRL A002

Conference Minutes, DI-ADMIN-81250C

4. & 7.9 Contractor shall deliver the subject CDRL as defined in the PWS; subject CDRL shall be delivered to the COR with 2 or fewer defects. A defect is defined as a mistake that aversely impacts technical content and/or clarity.

100% Inspection. COR will review subject CDRL and provide feedback to the Contractor. Corrective action shall be taken within 5 working days of notice. Final CDRL Deliverable will be defect free at time of re-delivery.

SS-3. CDRL A039,

Contractor’s Progress, Status, and Management Report (Monthly Status Report)

DI-MGMT-81928

4. & 7.7 Contractor shall deliver the subject CDRL as defined in the PWS; subject CDRL shall be delivered to the COR with 2 or fewer defects. A *defect is

100% Inspection. COR will review subject CDRL and provide feedback to the Contractor. Corrective action shall be taken within 5 working days of notice. Final CDRL

PERFORMANCE

OBJECTIVE

PWS (IDIQ)

PARAGRAPHS

PERFORMANCE

THRESHOLD

(Standards/AQL)

METHOD OF

SURVEILLANCE

(How) defined as a mistake that aversely impacts technical content and/or clarity.

Deliverable(s) will be defect free at time of re-delivery.

SS-4. CDRL A047,

Contract Summary Report

DI-ADMN-80447A

4., 7.6, & Attachment IV

Contractor shall deliver the subject CDRL as defined in the PWS; subject CDRL shall be delivered to the COR with 1 or fewer defects. A *defect is defined as a mistake that aversely impacts technical content and/or clarity.

100% Inspection. COR will review subject CDRL and provide feedback to the Contractor. Corrective action shall be taken within 5 working days of notice. Final CDRL Deliverable will be defect free at time of re-delivery.

SS-5. CDRL A086

Technical Data Package

DI-SESS-80776B

4. Contractor shall deliver the subject CDRL as defined in the PWS; subject CDRL shall be delivered to the COR with no more than 1 defect per “drawing unit”. A “drawing unit” is defined as an 81/2 x 11 inch drawing. Larger drawings (e.g., Drawing sizes B, C, etc.) are made up of multiple “drawing units” (e.g., a C-size drawing is made up of four “drawing units”). Allowable defects for larger drawings shall be calculated based on the number of “drawing units” contained in the larger drawing (e.g., a

100% Inspection. COR will review subject CDRL and provide feedback to the Contractor. Corrective action shall be taken within 5 working days of notice. Final CDRL Deliverable will be defect

PERFORMANCE

OBJECTIVE

PWS (IDIQ)

PARAGRAPHS

PERFORMANCE

THRESHOLD

(Standards/AQL)

METHOD OF

SURVEILLANCE

(How)

C-size drawing shall have no more than four defects. A *defect is defined as a mistake that affects dimensional data, technical clarity, etc.

SS-6. CDRL A088,

Technical Report – Study/Services

DI-MISC-80508B

4. & Section 5. Contractor shall deliver the subject

CDRL A088

Technical Report – Study/Services (DI- MISC80508B) as defined in the PWS;

subject CDRL shall be delivered to the COR with no more than an average of 1 defect per 5 pages. A *defect is defined as a mistake that aversely impacts technical content and/or clarity.

100% Inspection. COR will review subject CDRL and provide feedback to the Contractor. Corrective action shall be taken within 5 working days of notice. Final CDRL Deliverable(s) will be defect free at time of re-delivery.

SS-7.

CDRL A090

Counterfeit Prevention Plan (CPP)

DI-MISC-81832

4. & 7.32. The contractor shall provide CDRL A090, Counterfeit Prevention Plan, Data Item Description (DI-

MISC-81832)

deliverable in accordance with the PWS with no more than an average of 1 defect per 5 pages. A *defect is defined as a mistake that aversely impacts technical content and/or clarity.

100% Inspection. COR will review subject CDRLs and provide feedback to the Contractor. Corrective action shall be taken within 5 working days of notice. Final CDRL Deliverable(s) will be defect free at time of re-delivery.

Inspection Methodologies

100% Inspection of Deliverables: All Deliverables will be reviewed upon receipt. The reviewer will report any flaws in the document and categorize the flaws (Editorial, Format, and/or Substance).

4.1. Procedures.

Depending upon the PWS service requirements, the MFT determines if an overall monthly or quarterly surveillance is warranted. For contracts with higher level quality requirements and/or numerous SS items, MFT’s should strongly consider a monthly surveillance schedule. To determine the overall COR surveillance schedule, if more than half of the SS items require a monthly surveillance cycle, then contract surveillance should require CORs to build a monthly surveillance schedule that would include quarterly cycle SS items evenly divided in each of the next three-month surveillance schedules. For FAR part 12 commercial service contracts, contracts with a standard inspection of services clause and/or SS items, a quarterly inspection schedule may be warranted. Prior to executing a monthly/quarterly surveillance schedule (i.e., see paragraph 4.4 for information regarding review of non-service summary items), CORs must coordinate the schedule through the PM and/or SAL and CO NLT the duty day before the schedule surveillance schedule period begins. The government QAR/COR will periodically perform inspections to ensure Contractor compliance with the appropriate paragraphs of the PWS and will record the results of inspections, noting the date and time. If inspection indicates a performance threshold is not met, the QAR/COR will notify the Contractor and the contracting officer of the deficiency for correction. The Contractor shall be given a reasonable time after notification to correct the unacceptable performance if such correction is possible. The length of time allowed to correct the problem will depend upon the requirement and the deficiency, and the Contractor will be notified by the PCO of the time allowed for correction when the deficiency is reported to the Contractor. After completing each scheduled surveillance, CORs must request a contractor representative to initial the completed form in order to ensure the Contractor is aware the surveillance took place and was made aware of any noted defects in the surveilled service. If the Contractor does not meet a SS performance threshold or other PWS or QMS derived standard, CORs may draft Corrective Action Reports (CARs) for addressing areas of contractual non-conformity and forward to the PM and/or SAL and CO for review. Based upon the surveillance schedule, CORs will coordinate and submit a monthly or quarterly surveillance report of all scheduled surveillance through the PM or SAL and submit to the CO NLT the 5th workday of the month following the scheduled surveillance. The monthly/quarterly surveillance report format is determined by the COR, PM and/or SAL and CO. The COR shall document PM and/or SAL and CO coordination. The COR shall identify any scheduled inspections not accomplished during a surveillance period in the monthly/quarterly surveillance report as not completed and why the surveillance was not completed. In such cases, a statement from the PM and/or SAL and QAPC/CO approval for the variance is required. The COR will not consider the services complete until all deficiencies have been corrected. Deficiencies not corrected or estimated get well dates that are not acceptable to the COR will be forwarded to the PCO for action.

Performance of the contracted services will occur on site at the Contractor and Sub-contractor’s facilities.

The COR will certify services received under this contract in accordance with its terms and conditions, unless the PCO/ACO retains authority for acceptance. Format is at the discretion of the COR.

Upon notification from the Contractor that the defect has been corrected, the COR will re-inspect the area/task associated with the customer complaint or Correction Action Report that was issued by the Government. The COR will verify the root cause and corrective/preventative actions submitted by the Contractor are effective and prevent reoccurrence.

4.1.1. Corrective Action Report (CAR). If the COR identifies a service summary performance objective that does not conform to the applicable performance threshold, the COR may draft a CAR for addressing areas of contractual non-conformity. The COR will forward a copy of the CAR to the PM and/or SAL and CO for review. The COR identifies if the non-conformity is a minor, major, or critical non-conformity. The CO makes the determination on whether to issue the CAR to the Contractor. Contractor responses to CARs require identification of root cause, corrective action, follow-up actions, and get-well date. The CO, in consultation with the PM and/or SAL and COR assess the contractor’s response for adequacy. Note: all PWS requirements are subject to surveillance; therefore, CARs are not limited to service summary performance objectives and may apply to non-service summary items in instances threatening mission accomplishment. Technical/Functional support experts (i.e., PM, MAJCOM/DRU or base level subject matter expert) may be used to validate the technical/contractual/legal merits of the non-conformity and the adequacy of the contractor’s get-well plan. Once a contractor fails to meet a service summary standard, the COR does not need to wait until the end of the performance period to draft a CAR. In order to manage corrective action suspense’s and subsequent contractor responses, the COR will establish a tracking system for corrective actions that includes date COR submitted CAR to PM and/or SAL, date reviewed by PM and/or SAL, date reviewed by CO, date issued by CO, contractor’s identified root cause, proposed corrective action, contractor follow-up actions, and get-well date. A computer-generated CAR may be used, provided the information on the CAR remains the same. See attached CAR and instructions for filling out contained at the end of this document.

4.1.2. Definitions of Major Findings & Minor Findings.

Major Findings. Major findings are contract non-conformances which are considered critical or major. IAW FAR 46.101, a major non-conformance means a non-conformance, other than critical, that is likely to result in failure or reduce the usability of the services for their intended purpose. A critical nonconformance means a non-conformance that is likely to result in a hazardous or unsafe condition for individuals using, maintaining, or depending upon the services; or is likely to prevent performance of a vital agency mission. If at any time COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, the COR shall document their findings and notify the PM and/or SAL and Contracting Officer immediately in writing (email is acceptable).

A. Contractor failure to meet a Service Summary Performance Threshold or other PWS or QMS derived standard.

B. Failure to provide adequate corrective action to preclude reoccurrence regardless of whether the finding is Government or Contractor identified.

C. Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed get-well date.

D. Any failure to adhere to security and/or safety regulations that results in a security or safety incident.

Minor Finding. IAW FAR 46.101, a minor nonconformance means a non-conformance that is not likely to materially reduce the usability of the services for their intended purpose or is a departure from established standards having little bearing on the effective use or operation of the services. When the COR identifies a minor finding, the COR shall document the findings, but is not required to notify the Contracting Officer. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring, or has occurred, because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing (email is acceptable).

4.2. Methods of Surveillance.

1) 100% Inspection and 2) Periodic Inspection of process or output. See attached copy of performance assessment report and instructions for filling it out at the end of this document.

4.2.1. 100% Inspection. This surveillance method is preferred for contractor services that do not occur frequently, are critical, and/or have stringent performance requirements. When using this surveillance method, COR inspect and evaluate the contractor’s performance every time they accomplish the service.

4.2.2. Periodic Inspection. This type of surveillance is consists of COR surveillance of services selected on other than 100% inspection, customer complaint or review of audits method of surveillance. COR using periodic surveillance should ensure all PWS services, service summary and nonservice summary items, are sufficiently sampled to validate contractor conformity.

Monthly/Quarterly scheduling of COR periodic surveillance requires CORs to plan a specific number of surveillances for each service during a scheduled surveillance period rather than scheduling a specific date and time of surveillance. Periodic surveillance can be accomplished concurrently while the contractor is performing a service or after a service is completed. When higher level quality inspection applies, it is critical to assess key contractor processes rather than just completed services. When scheduling periodic surveillance COR should ensure a sufficient number of “in-process” periodic inspections are scheduled during each surveillance period where COR are observing services as they are performed. For contracts containing standard inspection requirements as identified in FAR 46.202-3, surveillance of “completed” services is preferable IAW Performance Based Service Acquisition (PBSA) principles.

4.3. Standard. The first corrective action required of an individual service not meeting contract requirements is the re-accomplishment of the service at no charge to the government. COR documentation of the services not meeting contract requirements denotes the contractor must re-perform the service. However, upon advice of the technical/functional activity and the nature of the service, the CO may pursue other options. Recurring discrepancies during the reporting period which bring the performance threshold below the acceptable level will be recorded and reported to the PCO for appropriate action. Additionally, if the same discrepancy (ies) occurs repeatedly throughout different reporting periods, this will reflect upon the Contractor's performance. The COR will annotate the unacceptable performance and notify the PM and/or SAL and PCO to address the problem areas with the Contractor. In those instances where re-performance is not possible, the government can require the contractor to take necessary actions to ensure future performance of a service meets contract requirements. In such instances, the CO should require the contractor to develop a plan that ensures future performance of that service meets contractual requirements. In addition, the CO may seek consideration for any services not provided or that do not otherwise meet contractual requirements. Typically, re-performance applies to a single performed service but can apply for a series of services covered under a service summary performance objective over a monthly or quarterly performance period.

4.4. Surveillance of Non-Service Summary Items.

The Government reserves the right to inspect and test services required by the contract, to the extent practicable, at all times and places, during the term of the contract IAW the contract inspection clause. Prior to the COR executing a monthly/quarterly surveillance schedule for review by the PM and/or SAL and CO NLT the duty day before the schedule surveillance period begins, the inspection schedule shall be comprised of at least ten percent of non-service summary items, but no more than twenty percent.

4.5. Remedies for Non-Conformance. The types of corrective actions available to the government for contractor services not meeting contract requirements are prescribed in FAR

52.246. Examples available to the government range from re-performance of a service, requiring the contractor to develop plans to ensure future contractual conformity, and financial withholding.

This above list is not intended to be all inclusive. In the most egregious instances of contractual non-conformity, COs may pursue cure notices and show cause notices. Note, A contractor not meeting a service summary performance threshold during the prescribed performance period is considered a contractual non-conformity; however, failure of a single surveillance, in most instances, is not considered a contractual non-conformity but rather a failure to meet contract performance requirements (i.e., standards/performance thresholds etc.). If inspections indicate unacceptable performance, the COR will notify the Contractor of the deficiencies for correction.

The Contractor shall be given an appropriate time frame (depending on the discrepancy identified) after notification to correct the unacceptable performance. If deficiencies are not corrected within the required time frame, the COR should notify the PCO for action. If the Contractor disagrees with the noted discrepancy and an agreement cannot be reached, the PCO shall be notified for a final decision.

4.6 Positive and Negative Incentives. IAW the results of the COR surveillance documentation, areas warranting a change in assessment method, frequency, or performance threshold will be changed in either a positive or negative manner throughout the life of the contract, if warranted.

5. Performance Management.

5.1 Market Research. Market research will be used as a tool throughout the life of the contract to remain current with the most efficient and effective assessment methods and techniques of the commercial marketplace in performance of the contract, especially regarding the contractor QMS.

5.2 MFT Meetings. The MFT will manage the contract for the life of the contract. This team is a partnership between the government and the Contractor to ensure the best possible service is provided for the life of the contract.

5.2.1 Assess and manage contractor performance data to include submitting CPAR reports.

5.2.2 The goal of the MFT is to give all members a vested interest in maintaining the highest quality service to our customers and the ability to propose/initiate improvements. The success of the contract is a combined effort of all MFT members.

5.3 Disputes. Attempts will be made to resolve all disputes arising under this plan using the Alternate Dispute Resolution (ADR) as outlined in FAR 33.214. The objective is mutually agreeable resolutions that are relatively inexpensive and expeditious. If no resolution can be made under ADR, the PCO shall be notified for a final decision.

5.4 Contractor Performance Review. The MFT will assess and manage performance data, to include CPAR reports. IAW AFI 63-138, this could include the MFT providing regular performance reports to the Program Manager (PM) and/or Functional Service Manager (i.e. this is the same as the Functional Commander/Functional Director) to ensure that performance is compatible with contract objectives. This information provides the PM and/or SAL with valuable feedback on how well a contractor is performing when it comes time to prepare a CPARS assessment, if applicable.

6. Revisions to this Surveillance Plan. Revisions are the joint responsibility of the ACO, PCO and COR. This document can be changed at any time following coordination with the MFT.

REVISION QASP CHANGE ACTIVITY DATE

Original Surveillance Plan for 448 SCMW Sustaining Engineering

CSAG Projects Commodities/Aircraft Technical Services 11/20/2024

Examples of Metrics.docx corrective_action_rep ort.pdf customer_complaint_ record.pdf performance_assess ment_report.pdf