Quality_Assurance_Surveillance_Plan_7_July_2016.pdf

Quality Assurance Surveillance Plan

(QASP)

For

Solicitation W564KV-16-R-0034 Dated TBD

LOGISTICAL SUPPORT SERVICE

JMRC/JMTC

Grafenwöhr, Hohenfels, and Amberg

Training Areas

NOTE: THIS QASP IS PROVIDED FOR INFORMATIONAL PURPOSES

ONLY. IT WILL NOT BECOME PART OF THIS CONTRACT.

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

LOGISTICAL SUPPORT SERVICE

1. OVERVIEW:

This Quality Assurance Surveillance Plan (QASP) has been developed to evaluate contractor actions while implementing the Performance Work Statement (PWS). It is designed to provide an effective surveillance method of monitoring contractor performance for each listed performance requirement. The QASP provides a systematic method to evaluate the services the contractor is required to furnish. The QASP is based on the premise the government desires to maintain a quality standard in operating and maintaining Army Logistical Support Service. This is the best means of achieving that objective. The contractor, and not the government, is responsible for management and quality control actions to meet the terms of the contract. The role of the government in quality assurance is to ensure contract standards are achieved. In this contract the quality control program is the driver for product or service quality. The contractor is required to develop a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program accepted at the beginning of the contract provides the measures needed to lead the contractor to success. Once the quality control program is accepted, careful application of the process and standards presented in the remainder of this document shall ensure a robust quality assurance program.

2. AUTHORITY:

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or a duly authorized representative.

3. CONTRACTING OFFICER:

The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The KO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine and document the final assessment of the contractor's performance in the governments past performance tracking system.

Assigned KO: TBD Organization or Agency: Regional Contracting Office Grafenwöhr Telephone: TBD Email: TBD

4. CONTRACTING OFFICER’S REPRESENTATIVE / ALTERNATE CONTRACTING OFFICER REPRESENTATIVE:

The Contracting Officer’s Representative (COR)/ Alternate Contracting Officer Representative (ACOR) is/are designated in writing by the KO to act as his or her authorized representative(s) to assist in administering a contract. COR/ACOR limitations are contained in the written appointment letter. The COR/ACOR is/are responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR/ACOR is/are not empowered to make any contractual commitments or to authorize any contractual changes on the government’s behalf.

Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the KO for action. The COR/ACOR will have the responsibility for completing Quality Assurance (QA) surveillance forms used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

5. SURVEILLANCE APPROACH:

This section details the method used in verifying contractor compliance with the contract requirements. The key elements of this process are PWS tasks risk rated as high or moderate tasks, the Performance Requirements Summary (PRS) which provides the standard, performance threshold and method of surveillance. The COR who will perform the surveillance and the PRS inspection checklist which shall be used to inspect the compliance of PWS tasks on a monthly basis. COR contractor surveillance shall include the monthly completion and submittal of the approved COR PRS standard inspection checklist and KO summary report. Surveillance process audits shall, as a minimum, be conducted by the COR on a quarterly basis. Utilization of the 409th CSB surveillance process audit template is mandatory by all personnel who meet the applicability requirement for this SOP. Although the Performance Requirements Summary (PRS) contains only those items considered most important for mission accomplishment, the government retains the right to inspect all requirements of the contract. The COR/ACOR personnel may choose to periodically inspect requirements not listed on the PRS. Non-conformance with any contract requirement, whether specifically addressed in the PRS or not, is a “defect”. The preferred course of action upon discovery of unacceptable service is to require the contractor to re-perform at no additional cost to the government. If the contractor’s re-performance does not meet the thresholds in the PRS or the quality stipulated in any other part of the contract, COR/ACOR personnel shall notify their Regional Contracting Office (RCO) Contracting Officer (KO), Contracting Specialist (CS) and Quality Assurance Specialist (QAS). The intent of the surveillance approach is to gain confidence in the contractor's way of doing business and then adjusting the level of oversight to a point that maintains that confidence. With this intent, the surveillance approach may not be one that stays the same throughout the duration of the contract. All Government evaluators should be prepared to periodically update the surveillance approach as required. The COR/ACOR contract folder must be developed and maintained to accomplish contract quality assurance for a performance requirement. The folder is typically contained within the WAWF-CORT web based application.

5.1 COR QUALITY ASSURANCE SURVEILLANCE SCHEDULE:

The COR shall complete the Quality Assurance Surveillance Schedule (QASS) on a monthly basis. The completed QASS form shall be uploaded into the WAWF-CORT application into the miscellaneous section tab in the CORs electronic contract folder The QASS ensures the KO that the COR has scheduled specific dates and times for contractor surveillance. Instruction are located on the tab marked QASS instructions located at the bottom of the excel workbook.

5.2 COR PRS STANDARD INSPECTION CHECKLIST:

The 409th contract management quality assurance team shall assist the COR with the development of their COR PRS standard inspection checklist, providing training and instruction related to properly completing the required form. This checklist shall be derived from the high and moderate risk assessed tasks or items from the contract Performance Work Statement (PWS). The COR shall input the applicable contract information into rows 2 (two) through 4 (four) and 6 (six) through 8 (eight) in the COR PRS standard inspection checklist and KO summary report. Monthly, or as applicable, the COR shall perform inspections in accordance with the surveillance tasks listed on the COR PRS standard inspection checklist and KO summary report. The COR shall input a 1 (one) in the corresponding pass fail column for each surveillance task on the checklist. Totals and compliant rates will automatically populate. For any fail indication, the COR shall provide comments related to the failed surveillance task. The COR shall provide a KO summary report. The KO summary report shall be a written narrative providing an overview of contractor performance for the reporting month.

Space for the KO report is provided at the end of the checklist. The COR PRS standard inspection checklist and KO summary report shall be typed. Upon completion of the COR PRS standard inspection checklist and KO summary report, the COR shall sign and date the report in the space provided. The COR shall upload the COR PRS standard inspection checklist and KO summary report into the WAWF-CORT web application in place of the generic WAWF-CORT monthly report. The document will be named for the performance month (i.e. COR Surveillance Checklist OCT 2011). The PWS task pass fail data will be calculated as a compliant rate. IAW the PRS performance threshold the contractor is required to provide >95 Percent Compliant Rate for all PWS tasks on the PRS inspection checklist. The PRS inspection checklist and KO summary report shall be uploaded into the WAWF-CORT application in the corresponding virtual contract folder each month (See SOP 409-03-0). The COR shall provide the contractor with a completed, signed copy of the COR PRS inspection checklist and discuss any failures noted. The contractor shall rectify any and all failures noted before the next COR inspection cycle. The COR shall issue a level II Non-Conformance Report (NCR) for repeated COR PRS inspection checklist failures.

5.3 CONTRACTOR SURVEILLANCE PROCESS AUDIT:

As a minimum the COR shall witness and document 1 (one) contractor surveillance process audit each quarter. The COR shall use the 409th CSB Surveillance Process Audit Template to document their process audits. The COR shall upload the contractor surveillance process audit form along with their COR PRS standard inspection checklist and KO summary report in the WAWF-CORT web application under “miscellaneous documents”. The contractor surveillance process audit form shall be uploaded into the WAWF-CORT web application no later than the end of each quarter. The COR shall complete rows 2 (two) through 10 (ten) providing the required information. In row 12 (twelve) the COR shall provide a description of the process or procedure being audited and the proper technical reference i.e. Amy Regulation (AR), Performance Work Statement (PWS) paragraph etc. In row 13 (thirteen) the COR shall provide any process or procedure nonconformance, along with the proper technical reference. Row 14 (fourteen) is for related or relevant remarks. Row15 (fifteen) print name and date of audit. Row17 (seventeen) signature and date of auditor.

6. SURVEILANCE DOCUMENTATION:

Documenting surveillance is of major importance. The KO cannot properly administer the contract without documentation of actual surveillance. All documentation resulting from surveillance becomes a permanent part of the contract file.

COR/ACOR personnel must provide all surveillance documentation by the 5th of each month for the month prior for inclusion in the official contract file. All surveillance documentation must be reviewed, signed and dated by the COR/ACOR prior to submission. On a monthly basis, the COR/ACOR personnel are required to provide a summary report and the PRS inspection checklist to the KO detailing the results of contract surveillance and process audits. The 409th

Contracting Support Brigade (CSB) approved checklists and process audit forms will be used to inspect required services.

7. UNACCEPTABLE PERFORMANCE:

If the number of defects/discrepancies exceeds the performance threshold for any item in the PRS, Approved Government representatives will determine the possible cause of this unacceptable performance. Government-caused defects/discrepancies shall not be counted against the contractor. The same applies to any other requirement of the contract when Government-caused defects/discrepancies are the cause of unacceptable contractor performance. If the contractor’s performance is judged unacceptable on the PRS items or any other requirement of the contract by the appointed COR personnel, the COR/ACOR will inform the contractor’s on-site representative, and request his or her signature and date of surveillance on approved NCR form acknowledging notification. If the on-site contractor representative refuses to sign, COR/ACOR personnel shall annotate on the documentation the date and time of notification and name of representative and his/her refusal to acknowledge. If the contractor disputes the results of surveillance, COR/ACOR personnel must refer the contractor to the KO for resolution. The COR shall notify the KO for appropriate action in accordance with FAR 52.212.4, or the appropriate Inspection of services clause.

8. REVISIONS:

Revisions to this QASP are the joint responsibility of the requiring activity and the Regional Contracting Office (RCO).

However the RCO must approve the revisions in writing, and the contractor shall be given a copy of the revised checklist before being used by COR personnel for contractor surveillance.

9. CUSTOMER COMPLAINTS:

This record is used to document customer complaints of unsatisfactory performance, the validity of the complaint, time and date the responsible official was notified, and the actions taken to correct the problem. Customer complaints shall be handled in the following manner: When a complaint is received, the COR personnel, will complete appropriate documentation to record the complaint on a DA Form 5477-R. COR personnel will verbally notify the Contractor’s Quality Manager of the complaint and pick up the written customer complaint. The Contractor’s Quality Manager will be given 4 hours after verbal notification to correct the unacceptable performance. If the Contractor’s Quality Manager disagrees with the complaint after investigation of site and challenges the validity of the complaint, the Contractor’s Quality Manager shall notify the COR personnel within 24 (twenty four) hours. COR personnel will conduct an investigation to determine the validity of the complaint. If COR personnel determine the complaint as invalid, he/she will document his/her findings and notify the customer. COR personnel will retain the annotated copy of the written complaint for his/her files. If after investigation the COR personnel determines the complaint as valid, COR personnel will inform the Contractor’s Quality Manager and then he or she will be given an additional hour to correct the defect. The total number of customer complaints received, valid and invalid, will be documented on the DA Form 5477-R.

10. GOVERNMENT NON-CONFORMANCE REPORT:

Non-Conformance Reports (NCRs) are used in evaluating the contractor’s corrective action and determining if an appropriate root cause has been assigned and effective timely corrective action has been taken by the contractor to prevent or reduce recurrence in the same or other similar services or products and to assure that adequate remedial action has been taken to remove existing faults. There are three types of NCRs which are used and issued by CORs to the contractors. NCRs must be submitted to the contractor after non-compliance has been identified.

NCR Level I – Minor effects on product/service, issued for nonconformity that can be corrected on the spot and where no further corrective action response is necessary. Level I NCRs shall be documented and issued to the contractor management level responsible for taking corrective actions.

NCR Level II – Major effects on product/service, issued when contractual nonconformity cannot be corrected on the spot. Level II NCRs should be directed to the contractor management level responsible for initiating corrective actions.

NCR Level III – Critical effect on product/service (Potential Health Hazard or Safety Hazard), Issued to the contractors’ top management to call attention to serious contractual nonconformity. Repeat nonconformities found within one year for the same single point failure, SOF characteristics shall be issued as a level III NCR. A level III NCR may be coupled with contractual remedies such as reductions of progress payments, cost disallowances, or business management systems disapprovals, etc. A level I or II NCR need not be issued before a level III NCR is generated. All level III NCRs shall be coordinated with the KO.

11. DOCUMENTATION OF DEFICIENCIES:

The Government will use NCRs to document deficiencies when the contractor’s quality control system is found to be inadequate or the contractor’s non-compliance has led to substandard performance requiring corrective action.

NCR’s will reflect CRITICAL, MAJOR or MINOR non-conformances.

CORs will complete NCR’s and coordinate them with the appropriate KO and contractor representative. Once the contractors QM or representative has issued a corrective action for the NCR it will be forwarded to the QAS and COR for review, and determination of the need for further correction action. The COR shall notify the contractor representative of the determination within 5 (five) business days. NCR’s will be accumulated and analyzed by the QAS and KO to determine when further corrective action is needed. Further corrective action requests will be documented and submitted to the KO for coordination with the contractor. The COR will discuss all minor deficiencies with cognizant contractor counterparts to resolve issues identified prior to requiring corrective action. All reports, complete with recommendations, will be forwarded to the QAS for review and action. The COR will transmit all NCRs directly to the contractor’s Quality Manager or Representative for tracking coordination and investigation.

NOTE: The COR will review, approve and coordinate the NCR with the KO

The QAS and KO will review the NCR, coordinate any observations/comments with the COR and submit the NCR to the contractors Quality Manager QM or contractor’s representative for investigation and corrective action. The QAS and the COR will review the contractors corrective action for approval or other appropriate action. During the course of monitoring the contractor’s activity, the COR may become aware of conditions that are not in accordance with the contract. They will determine the level of corrective action required. (i.e.: verbal notification or written notification, documented on a NCR). If a verbal corrective action method is selected, the contractors Quality Manager or Representative will be briefed by the COR and a written record made and filed in the COR files. When a verbal notification is selected, the contractor’s supervisor will be advised that he is required to coordinate the problem with the contractor’s Quality Manager. If a written NCR is selected the contractors Quality Manager or Representative will be briefed by the COR. A written NCR will be coordinated with the KO. A written NCR will also be issued when a verbal NCR has been previously given and the contractor has failed to respond adequately. The COR, after review by the KO, will forward the NCR to the contractor’s Quality Manager or Representative and will monitor the suspense status. Suspense of ten calendar days is required. The QAS will receive a copy of all completed NCR’s returned from the contractor and after review of proposed corrective actions will perform a follow-up inspection with the COR to close the NCR after the completed document has been returned. Disagreements between contractor personnel and government personnel on deficiencies and corrective action will be resolved by the KO. When a review of NCR or NCR history indicates a trend that appears to be systemic or management related, and the contractor has failed to correct, all objective evidence will be collected by the COR and submitted to the KO and QAS for review. Upon determination by the KO, corrective action will be escalated, in the form of a letter to the Contractor’s Project Director.

12. BACKGROUND:

The Contractor shall interact with, and supplement, logistical support personnel, processes and equipment normally provided by military supply and service channels. The requirements to be provided under this contract include distribution and management of Government Furnished Equipment to include the following items: cots, chairs, tables, tents, heating units, light sets, generators, bulk potable water, bulk fuel, ammunition, and handling and distribution of Class IV material. The Contractor shall also provide the following: base camp management services, transportation services, food preparation and services, portable shower facilities, laundry facilities trailer, hand-wash stations, grey water removal services, generators, maintenance tents, forklift services and office supplies.