Attachment_1_QASP_-_TSOMIS__5-10-17.doc

GENERAL CONTRACT INFORMATION

COR Contacts:

Contractor Contacts:

1. Purpose of the Plan This Quality Assurance Surveillance Plan (QASP) is a government-developed document used to monitor contractor performance to ensure that the services received are consistent with contract quality requirements and received in a timely manner. The QASP is an important tool that the COR uses as a guide for systematically and effectively monitoring the quality of the services received and their compliance with the terms of the contract. The QASP establishes procedures on how the assessment/inspection process and at what frequency will be conducted. It provides the detailed process for a continuous oversight process:

· What will be monitored

· How monitoring will take place

· Who will conduct the monitoring

· How often the monitoring will occur

· How monitoring efforts and results will be documented

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. It is the government’s responsibility to be objective, fair, and consistent in evaluating contractor performance.

The objective of the contract surveillance is to address any issues with contractor performance and related factors before serious performance issues arise. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s quality control plan.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

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 Task Order or contract. This acceptance is to be executed by the contracting officer or a duly authorized representative.

3. Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

Contracting Officer (KO) - 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 and determine the final assessment of the contractor’s performance.

Assigned KO: Jean Borowski Organization or Agency: Army Contracting Command – ACC-ORL-B Telephone: (407)380-4261 Email: jean.m.borowski.civ@mail.mil Contracting Officer’s Representative (COR) - The COR is responsible for providing continuous technical oversight of the contractor’s performance. The COR shall keep a surveillance file that accurately documents the contractor’s actual performance. The COR is required to provide monthly performance assessments to the KO which will be uploaded in the CORT module. The COR is responsible for reporting early identification of performance problems to the KO. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

In addition, as part of the maintenance surveillance, the COR shall confirm prior Government approval was obtained by the contractor for all required material purchases in direct support of this contract. (The term “material” includes supplies, materials, parts, equipment, hardware, services and software) With each contractor material purchase, the COR shall ensure the contractor has substantiated price reasonableness IAW FAR 13.106-3 for items up to $150,000.00. For material purchases in excess of $150,000.00, the COR shall ensure the contractor has substantiated price reasonableness IAW FAR Part 15 or Part 12. See PWS Section 3.9.2.1 for contractor requirements for determination of price reasonableness.

Assigned COR: XXXXXXXXXXXX

Organization or Agency: PEO STRI – Huntsville, AL

Telephone: (XXX) XXX-XXXX

Email: XXXXXXXXXXXXXXXX

4. Method of Assessments and Surveillance

4.1. Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the KO and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of the quality of the contractor’s performance against contract requirements.

The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the quality of the contractor’s performance. Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

4.2. Inspection Methods

The Government has the right to inspect all contract deliverables at any time during performance. Inspections can be announced or unannounced, but they must not unduly delay work, and they must not include directions that would change the contract. The Government also has the right to reject a contract deliverable that does not meet contract requirements.

For acquisitions of commercial items, FAR Subpart 46.202-1 requires the Government to rely on contractors’ quality assurance systems as a substitute for Government inspection and testing before the items are tendered for acceptance (unless customary practices for the supplies being acquired include in-process inspection). Any in-process inspection by the Government must be consistent with commercial practices.

For services, the COR will monitor contractor performance by using a variety of inspection methods. The COR will use the following systematic audit approach to monitor the contractor’s quality of service:

a. Quality Assurance (QA) Surveillance Audit on Maintenance of Government Furnished Property (GFP). The COR shall perform a minimum of one surveillance audit and one randomly selected surveillance audit per quarter from the below listed QA Surveillance Audit Checklist(s) included as Enclosure (1) of this QASP. Surveillance audits used by the COR in the technical administration of this contract are listed below.

1) Equipment Records Procedures

2) Equipment Publications

3) Safety

4) Test Measurements and Diagnostic Equipment (TMDE)

5) Hazardous Materials (HAZMAT)

6) Security

7) Supply Support/Inventory/Storage

8) Equipment Maintenance Standard

b. Observation at Testing, Training, and other Operations Events.

The COR shall observe the contractor for proper operations of GFE, effective and efficient utilization of GFE, and responsiveness to Government needs and requirements during testing, training, and other operations event support. The observation shall include the contractor’s support before, during, and after the event.

c. Customer Organization Feedback The COR shall consider all customer feedback obtained during event support and other activities in evaluating the quality of services provided by the contractor. Although this method is usually not a primary method, this is a valuable supplement to more systematic methods. Customer complaints or feedback can be used as substantiating evidence to resolve performance issues. In certain situations where customers can be relied upon to complain consistently when the quality of performance is poor, e.g., inaccurate documentation of maintenance, expired preventive maintenance services, availability of equipment, customer surveys and customer complaints may be a primary surveillance method, and customer satisfaction an appropriate performance standard. In all cases, complaints should be documented.

d. Observation of Combating Trafficking in Person (CTIP) Adherences The COR shall ensure the contractor complies with FAR Subpart 52.222-50, Combating Trafficking in Persons”, specifically, COR must ensure contractor is aware of (1) the notification of the Government’s policy regarding CTIP to its personnel; and (2) informing the Contracting Officer of any credible information received from any source that alleges conduct that violates the policy in the clause; (3) full cooperation from the contractor regarding CTIP surveillance and investigations. Specifically, the COR shall ensure the contractor is aware of clause requirements and ensures compliance.

5. Performance Reporting and Documentation

The COR shall document all observations, audits, assessment and surveillances associated with contractor performance on this contract in the following methods:

5.1 Contractor Performance Assessment Reporting System (CPARS).

The COR shall complete a CPARS assessment each year during the contract period of performance. The CPARS assessment will be completed IAW Acquisition Instruction 015B. The Federal Acquisition Regulation (FAR) requires that contractor performance information be collected (FAR Part 42) and used in source selection evaluations (FAR Part 15). The market place for fielded training systems support services is very competitive. As such, the awardees have a vested interest in the Government generated CPARS rating under the resultant contracts.

5.2 COR Monthly Report

No later than the 5th of the following month, the COR will document the contractor’s performance by completing a COR Monthly Report in the CORT Module and include any audits, assessments, evaluations and/or issues and discussions on performance that occurred during the month of performance. The COR Monthly Report will not be considered finalized until reviewed and approved by the contracting officer.

5.3 COR File Documentation

The COR will, in addition to providing documentation to the Contracting Officer, maintain a complete surveillance file. At a minimum, the COR file contents will include a copy of the contract, all modifications, Performance Work Statement, QASP, monthly surveillance documentation, original COR designation letter, and other related documents. All such records will be retained for the life of this contract.

5.4 Audit Checklist

The COR will use the checklist (Enclosure 1) to validate and inspect the audit items for contract surveillance in the contractor performance assessment areas for proper maintenance/repair using Section 5.5 rating definitions. Inspection of each element will be documented in the COR file. Enclosure (2) provides a tracking table to document monthly QA surveillance activity and CPARS annual information requirements. All generated QA Surveillance Audit and CPARS Assessment information shall be retained by the COR and made available to the Contracting Officer upon request.

5.5 Performance Rating Definitions and Performance Assessment Areas:

In evaluating the quality of contractor’s performance, the following performance ratings will be used and reported in the COR monthly report.

Exceptional – Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the task and sub-task being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good - Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the task and sub-task being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

Satisfactory - Performance meets contractual requirements. The contractual performance of the task and sub-task contain some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Marginal - Performance does not meet contractual requirements. The contractual performance of the task and sub-task being assessed reflect a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory – Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the task or sub-task contains a serious problem(s) for which the contractor’s actions appear or were ineffective.

The Contractor will be assessed in each of the following areas:

Quality of Product or Service – Assess the contractor’s effort to provide quality products and/or services in meeting the statement of work requirements. This shall include activities to meet cost, performance, and schedule objectives. Assess how successfully the contractor meets program quality.

Schedule – Assess the contractor’s adherence to the required delivery schedule by assessing the contractor’s efforts during the assessment period that contribute to or effect the schedule variance. Also address significance of scheduled events, discuss causes, and assess the effectiveness of contractor corrective actions.

Cost Control – Assess the contractor’s effectiveness in forecasting, managing, and controlling contract cost. Is the contractor experiencing cost growth or underrun? If so, discuss the causes and contractor-proposed solutions for the cost overruns. For contracts where task or contract sizing is based upon contractor provided person-hour estimates, the relationship of these estimates to ultimate cost should be assessed. In addition, the extent to which the contractor demonstrates a sense of cost responsibility through the efficient use of resources in each work effort should be assessed.

Management Responsiveness – Assess the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals (especially responses to over and above work requests and requests for proposals), the contractor's history of reasonable and cooperative behavior, effective business relations, and customer satisfaction. Consider the contractor’s responsiveness to the program as it relates to meeting contract requirements during the period covered by the report.

Utilization of Small Business – Assess the contractor’s compliance with all terms and conditions in the contract relating to small business participation (IAW FAR 52.219-8, Utilization of Small Business Concerns) and compliance with goals in the small business subcontracting plan (IAW FAR 52.219-9, Small Business Subcontracting Plan). Assessment shall include achievements to both the small business participation goal and the achievements obtain on the individual goals in the contract small business subcontracting plan, including good faith efforts if the goal was not achieved. The assessment shall include input from the small business specialist and the contracting officer in regards to the contractor’s compliance with these criteria.

Regulatory Compliance – Assess the contractor’s compliance with all terms and conditions in the contract relating to applicable regulations and codes,. Consider aspects of performance such as compliance with financial, environmental (example: Clean Air Act, Clean Water Act), safety, and labor regulations, as well as any other reporting requirements in the contract terms and conditions. Consider questions such as the following:

· Has the contractor complied with all contract clause requirements?

· Has the contractor complied with the reporting requirements of the contract?

· Has the contractor complied with the contractor’s quality control plan?

· Has the contractor complied with specifications or other contractual requirements in the contract such as FAPIIS reporting, CAS reporting, safety requirements, environmental reporting and standard and unique contract requirements specific to this contract?

The assessment shall include input from the contracting officer in regards to the contractor’s compliance with these criteria.

Other areas – Assess additional evaluation areas unique to the task order or that cannot be captured elsewhere. As an example, this area may be used to address security issues, provide an evaluation of provisioning line items or other areas as appropriate.

Enclosure 1 QA SURVEILLANCE AUDIT Equipment Records Procedures CHECKLIST

DEVICE: EQUIPMENT: .

ROOM: BLDG: DATE: INSPECTOR: .

DOES EQUIPMENT HAVE AN EQUIPMENT RECORD FOLDER?

Is equipment properly dispatched?

Is fuel and oil usage properly annotated?

Is mileage or hour meter reading properly annotated?

Are services scheduled for the equipment?

Are services being performed within 10% variance or placed on administrative deadline?

Does the CONTRACTOR have current status on support work orders?

Is A DA2404 form maintained for equipment that has faults?

Is the scheduled service DOCUMENTATION properly completed, signed, and kept on file until the next service is performed?

Do fuel usage reports reflect actual CONTRACTOR usage?

QA SURVEILLANCE AUDIT Equipment PUBLICATIONS CHECKLIST

DEVICE: EQUIPMENT: .

ROOM: BLDG: DATE: INSPECTOR: .

Has a publication library been established FOR EQUIPMENT?

Is the technical library maintained and are references properly cataloged for easy access?

Are manuals current and posted with the latest changes?

Is the publications account being reviewed annually?

Does the CONTRACTOR have CDROM readers to utilize electronic TMs?

QA SURVEILLANCE AUDIT SAFETY CHECKLIST

ROOM: . BLDG: .DATE: .INSPECTOR: .

Is an adequate Safety SOP available?

Are flammable and combustible items stored properly?

ARE ASSIGNED SPACES FREE OF TRIP AND SLIP HAZARDS?

IS PROPER PERSONNEL PROTECTIVE (PPE) EQUIPMENT AVAILABLE AND USED AS REQUIRED?

Are "No Smoking" signs posted?

Do industrial and shop safety procedures comply with OSHA AND GARRISON REGULATIONS?

Are first aid kits readily available and complete?

Are air and other gas compressors inspected and tested?

Are lifting devices tested and inspected?

Are vehicles chocked when parked on an incline or whenever maintenance is being performed?

QA SURVEILLANCE AUDIT Test Measurement and Diagnostic Equipment (TMDE) CHECKLIST

ROOM: . BLDG: .DATE: .INSPECTOR: .

AUDIT ITEM

Has the CONTRACTOR ASSIGNED AND TRAINED A Calibration Coordinator to maintain test measurement and diagnostic equipment?

DO TOOLS AND TEST EQUIPMENT REQUIRING CALIBRATION HAVE CLEAR, LEGIBLE, INDUSTRY STANDARDS LABELING OF CALIBRATION DATES/DUE DATES AFFIXED TO THE ITEM?

Are all TMDE entered into an Integrated tmde Materiel Management System?

Did the contractor meet the delinquency goal of <2% for the past 6 months?

Is there a current TMDE Master listing on-hand?

QA SURVEILLANCE AUDIT HAZMAT CHECKLIST

ROOM: . BLDG: .DATE: .INSPECTOR: .

ARE HAZMAT CONTAINERS PROPERLY LABELED?

IS HAZMAT/HAZWASTE PROPERLY STORED?

IS HAZMAT AT OR BELOW AUTHORIZED USER LEVELS?

ARE HAZMAT LOCKERS NEATLY ORGANIZED AND CLEAN?

DO HAZMAT LOCKERS HAVE MSDS SHEETS FOR EACH TYPE OF STORED ITEM/MATERIAL?

ARE ALL SHELF LIFE ITEMS WITHIN DATE LIMITATIONS?

ARE ONLY COMPATIBLE MATERIALS STORED TOGETHER?

ARE HAZMAT INVENTORIES ACCURATE AND READILY AVAILABLE?

ARE ALL LOCKERS CLEARLY AND PROPERLY LABELED WITH TYPE OF HAZMAT AND COMPATIBILITY CHARTS?

ARE ALL HAZMAT LOCKERS SECURED TO LIMIT ACCESS?

IS THE CONTRACTOR COMPLIANT WITH APPLICABLE FEDERAL, STATE, AND LOCAL LAWS AND REGULATIONS?

QA SURVEILLANCE AUDIT SECURITY CHECKLIST

ROOM: . BLDG: .DATE: .INSPECTOR: .

DO ALL CONTRACTOR PERSONNEL HAVE THE REQUIRED SECURITY CLEARANCES?

ARE ALL SECURITY CONTAINER

INFORMATION SHEETS (FORM 700) PROPERLY FILLED OUT

ARE ALL ACTIVITY SECURITY

CHECKLIST (FORM 701) PROPERLY FILLED OUT?

DO ALL COMBO LOCKS HAVE PROPERLY COMPLETED SECURITY CONTAINER CHECK SHEETS (FORM 702) AND INDICATE CURRENT STATUS (OPEN/CLOSED)?

IS CLASSIFIED MATERIAL PROPERLY STOWED AND SECURED?

IS CLASSIFIED MATERIAL PROPERLY LABELED?

ARE LOCAL COMMAND SECURITY TRAINING REQUIREMENTS MET?

QA SURVEILLANCE AUDIT SUPPLY SUPPORT/INVENTORY/STORAGE CHECKLIST

ROOM: . BLDG: .DATE: .INSPECTOR: .

IS ALL GFP PROPERLY SUB-HANDRECEIPTED TO THE CONTRACTOR BY THE COR? (DD FORM 1149, as req’d)

DOES THE CONTRACTOR MAINTAIN COPIES OF ALL RECEIPTS AND APPROVAL EMAILS FOR GOV’T REIMBUSABLE ITEMS?

ARE THE CONTRACTOR MAINTAINED FILES NEAT AND ORGANIZED FOR GOV’T REIMBURSABLE ITEMS?

DOES THE CONTRACTOR OBTAIN MULTIPLE QUOTES FOR REIMBURSABLE ITEMS PURCHASED?

ARE ALL SPARES, ASSEMBLIES, POWER SUPPLIES, etc. MARKED TO INDICATE CURRENT STATUS? (i.e. RFI, Non-RFI, AWP, AWM)

DOES THE CONTRACTOR USE A DATABASE TO MAINTAIN GFP INVENTORIES?

ARE GFP INVENTORIES ACCURATE AND UP-TO-DATE (SW, CONSUMABLES, TECH DATA, SPARES, etc)?

DOES THE CONTRACTOR MAINTAIN ALL GFP, TOOLS AND TEST EQUIPMENT REQUIRING CALIBRATION ON A CALIBRATION SCHEDULE?

ARE ALL SPARE PARTS LOCKERS MAINTAINED AND PARTS STORED PROPERLY WITH STUFFING CHARTS, I.e.; ESD Bags, Properly Wrapped, By Device, etc?

QA SURVEILLANCE AUDIT EQUIPMENT MAINTENANCE STANDARD CHECKLIST

ROOM: . BLDG: .DATE: .INSPECTOR: .

Does the CONTRACTOR have a documented equipment/vehicle operator training and licensing program?

Have operators completed required training prior to being licensed?

Does the CONTRACTOR have a current and adequate maintenance SOP?

ARE PREVENTIVE MAINTENANCE CHECKS AND SERVICES (PMCS) ACCOMPLISHED AS SPECIFIED BY TM-10 FOR THE EQUIPMENT?

ARE EQUIPMENT DETERMINED NOT MISSION CAPABLE (NMC) IDENTIFIED ON A WEEKLY DEADLINE REPORT?

ARE FAULTS IDENTIFIED ON NMC EQUIPMENT REPORTED IN MAINTENANCE CONNECTION (MC) IN A VALID WORK ORDER?

ARE PARTS/SUPPLIES FOR NMC EQUIPMENT THAT CAN’T IMMEDIATELY BE REPAIRED, PLACED ON ORDER?

IS EQUIPMENT NMC WITH UNCORRECTED FAULTS ABOVE CONTRACTOR LEVEL ON VALID WORK REQUESTS?

ARE AT LEAST ANNUAL SERVICES SCHEDULED FOR ALL APPROPRIATE EQUIPMENT?

ARE SERVICES PERFORMED AT REQUIRED INTERVALS AND RECORDED IN MC?

ARE APPLICABLE EMERGENCY MODIFICATION WORKORDERS (MWOS) APPLIED, COMPLETED, AND RECORDED IN MC?

Enclosure 2

QA Surveillance Tracking Table Period of Performance:____________________________

1)

2)

3)

4)

5)

6)

7)

8)

1) Equipment Records Procedures

2) Equipment Publication

3) Safety

4) Test Measurements and Diagnostic Equipment (TMDE)

5) Hazardous Materials (HAZMAT)

6) Security

7) Supply Support/Inventory/Storage

8) Vehicle Maintenance Standard

Contractor’s Quality of Work Reported in COR Monthly Report Period of Performance:____________________________