QASP_TSOMIS_03-27-2019.docx

Quality Assurance Surveillance Plan

For

Threat System Operations and Maintenance Integrated Support (TSOMIS)

W900KK-19-R-0015

28 March 2019

NOTE TO OUR CUSTOMERS: THIS TEMPLATE NEEDS TO BE TAILORED FOR YOUR UNIT, BY INCLUDING YOUR UNIQUE REQUIREMENTS AND SPECIFIC SURVEILLANCE TECHNIQUES, ETC. ANY QUESTIONS REGARDING THIS TEMPLATE SHOULD BE ADDRESSED WITH YOUR ASSIGNED ACQUISITION TEAM.

GENERAL INFORMATION IS PRESENTED IN BLUE ITALICS

FILL-IN GUIDANCE IS PRESENTED IN RED ITALICS AND/OR HIGHLIGHTED IN YELLOW

DELETE OR EDIT TO MEET YOUR REQUIREMENTS ALL BLUE ITALICS WHEN FINALIZING THE QASP.

CCOR-CCD-B

12211 Science Drive Orlando FL, 32826-3224

TABLE OF CONTENTS

Subject Page Number

1. Overview

2. Description of Services

3. Roles and Responsibilities

4. Contract Quality Requirements

5. Government Surveillance

6. Non-Conforming Performance

7. Deduct Plan

8. Data Analysis

9. Acceptance of Services

10. COR Status Report

11. Contractor Manpower Reporting Application (CMRA)

12. Contractor Performance Assessment Reporting System (CPARS)

13. Combating Trafficking In Persons

14. COR/Quality Assurance Surveillance Files

15. QASP Changes

1. Overview.

Purpose. This Quality Assurance Surveillance Plan (QASP) is a Government developed document used to ensure that the Government receives quality services, and pays only for conforming services actually provided. The objective of this general contract, shall be to provide the engineering, technical, operational, planning, and management support to conduct field operations for threat Electronic Warfare (EW) in conjunction with specific Test and Evaluation events and training exercises. As defined in this Performance Work Statement (PWS), section 1.2 Authority: Paragraphs 3.2.1, 3.6, 3.7. Government-furnished property and services for those items specified in the PWS are exempt from this QASP. The Contractor shall perform to the standards specified in Threat Systems Operations and Maintenance Integrated Support (TSOMIS) PWS. This Quality Assurance Surveillance Plan (QASP) identifies the methods and procedures the Government will use to ensure it receives the services to the desired standard, as identified in the PWS.

1.1. Intent. The intent of this QASP is to:

1) Ensure Contractor performance meets or exceeds contract terms, conditions and specifications 2) Hold the Contractor accountable for quality control

3) Encourage the Contractor to take appropriate steps to control and improve quality

4) Ensure all sections of FAR 46 are applied as required and applicable

Accordingly, the Government will perform surveillance on the contract in accordance with this QASP, but reserves the right to monitor the contract in any manner necessary, at any time necessary, and at all places necessary to ensure that the services rendered conform to contract requirements. The Government also reserves the right to perform quality assurance at the Subcontractor level, and at the contractor's place of business. Sub-contract service providers shall be accountable to the Contractor who, in turn is responsible to the Government. Resolution of non-conforming services discovered at the Subcontractor level will be addressed with the prime Contractor. The Government will not exercise any supervisory controls over the contract service providers performing the services herein.

2. Description of Services.

2.1. Scope of Work. The contractor shall The Contractor shall deploy, operate, repair, maintain, fuel, and re-deploy PEO STRI systems as directed by the elements of this PWS. Upon return from mission execution events, the Contractor shall inventory, repair, replenish, and prepare systems and equipment for redeployment for other test events. The Contractor shall assume total performance responsibility for work performed and deliveries under this contract. The contractor shall ensure proper management of subcontractors through analysis, critique, and assessment of the adequacy, timeliness, and cost effectiveness of work performed, and shall adhere to the small business subcontracting plan incorporated into this contract as applicable. The Contractor shall coordinate management efforts with Government personnel. To aid Government oversight, the Contractor shall submit reports as described in the sections and paragraphs in this contract. When issues are identified, the Contractor shall formulate and provide alternatives for issue resolution.

2.2. Type of Contract. This will be a seven year IDIQ contract.

3. Roles and Responsibilities. The following provides a synopsis for the roles and their respective authority during the performance of the contract:

3.1. Government.

3.1.1. Contracting Officer (KO). The KO is the only person authorized to direct changes in any of the requirements under this contract. In the event the Contractor effects any such change at the direction of any person other than the KO, the change will be considered to have been made without authority, and solely at the risk of the Contractor. No changes in, or deviation from the terms and conditions shall be affected, without a written modification to the contract, executed by the KO authorizing such changes.

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

3.1.2. Contracting Officer’s Representative (COR). The COR will monitor all technical and performance aspects of the contract, and assist the (KO) in contract administration. 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.

The COR is authorized to perform the following functions:

· Assure that the Contractor performs the technical requirements of the contract

· Perform inspections necessary in connection with contract performance

· Maintain written and oral communications with the Contractor concerning technical and performance aspects of the contract

· Issue written interpretations of technical requirements, including Government drawings, designs, and specifications

· Monitor Contractor's performance and documents and notifies both the Contracting Officer and Contractor of all deficiencies

· Coordinate availability of Government furnished property

· Provide site entry of Contractor

ACC doesn’t use other acronyms to refer to and describe a COR. Terms such as the “COTR, “Onsite COR”, “TM”, etc. will not be used. Some personnel may be assigned as Alternate CORs, but other than a statement to that effect and what actions the KO expects that ACOR to take in the absence of the primary COR, there is no difference between a COR an Alternate COR, or other government surveillance personnel assigned to conduct contract oversight. Throughout the remainder of this QASP, The term “COR’ will be used to refer to all government surveillance personnel assigned to monitor the contractor’s performance on this contract.

A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regard to changes in cost, price, or delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order.

The Contracting Officer shall use the DoD Contracting Officer Representative Tracking (CORT) Tool to electronically track COR nominations, appointments, terminations, and training certifications for each COR appointed to conduct oversight on this contract. The COR will upload their surveillance documents, such as Monthly Status Reports (MSR), COR trip reports, correspondence with the contractor, and other miscellaneous documents into the CORT Tool within their online CORT Profile for this contract. The CORT Tool is available within the WAWF suite of tools at: https://wawf.eb.mil/.

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.

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.

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.

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.

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: Norris L. walker Organization or Agency: PEO STRI – TSMO Telephone: (256) 876-8601 Email: Norris.l.walker.civ@mail.mil

3.1.2.1 Alternate Contracting Officer’s Representative (ACOR). The Alternate COR is an employee of the U.S. Government provided by the Requiring Activities (RA) and appointed by the Contracting Officer to provide additional surveillance personnel in monitoring and documenting the contractor’s performance. These alternate surveillance support personnel may serve as on-site representatives of the COR in performance of actual contract surveillance, if they meet all COR training and experience requirements and are appointed by the contracting officer as Alternate CORs (ACOR) in the DPAP CORT Tool. This term will apply to other government surveillance personnel as defined in Army Regulation 70-13, paragraph 2-2 g.

3.1.3. Contract Administrator. The official Government representative delegated authority by the Contracting Officer to administer a contract. This individual is normally a member of the appropriate Contracting/Procurement career field and advises on all technical contractual matters.

Assigned Contract Administrator: Byron Perez Organization or Agency: Army Contracting Command – ACC-ORL-B Telephone: (407) 384-3835 Email: Byron.e.perez.civ@mail.mil

3.1.4. Property Administrator. An authorized representative of the Contracting Officer appointed in accordance with agency procedures responsible for administering the contract requirements and obligations relating to Government property in possession of a Contractor.

Assigned Contract Administrator: Byron Perez Organization or Agency: Army Contracting Command – ACC-ORL-B Telephone: (407) 384-3835 Email: Byron.e.perez.civ@mail.mil

3.2. Contractor.

3.2.1. Contract Manager.

Assigned Contract Manager: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

3.2.2. Program Manager. The Contractor responsible for running the program. May supervise the program team and manages conflicts within different departments. Plans and sets program goals and milestones and develops risk management strategies. Defines resources and schedules for the implementation of the program. Clearly defines requirements and sets targets accordingly. Recognizes areas for internal improvement and develops plans for implementing the improvements.

Assigned Program Manager: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

3.2.3. Quality Manager. The Contractor responsible for promoting quality achievement and performance improvement throughout the organization. Develops, implements, communicates and maintains a quality plan to bring the Contractor’s Quality Systems and Policies into compliance with quality system requirements. Directs the activities of contractor quality personnel to measure key quality characteristics of services delivered and processes from inception to completion. Establishes the standards of service for customers expected by the Requiring Activity.

Assigned Quality Manager: TBD Organization or Agency: TBD Telephone: TBD Email: TBD

For quick access, the contact information for the performance of this QASP is provided:

Government Personnel:

Table 1; Key Positions for Contract Administration

Contractor Personnel:

4. Contract Quality Requirements.

4.1. Contractor’s Quality Control Plan/Program (QCP). The Government will evaluate the adequacy of the Contractor’s Quality Control Plan (QCP) performance under this contract in accordance with this QASP.

The Contractor’s quality control program is the means by which he assures himself that all work complies with the requirement of the contract PWS. It is essential that Government Surveillance Personnel understand that Quality Control (QC) is the responsibility of the contractor, and not the government.

As such, the government will focus their efforts on validating if the contractor is maintaining an adequate quality control inspection systems that ensures the contractor maintains evidence that services provided conform to contract quality requirements. The Contractor shall provide inspection data to the Government on request for validation.

The Contractor’s QCP shall include a process that can identify, prevent, and ensure non-recurrence of defective services.

4.2. Government 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

See attachment 6, QASP Surveillance Item Requirements

· Which performance elements will be surveilled (Surveillance Checklist, attachment 4)

· All performance activities will be surveilled through-out the Period of Performance, using a risk based approach. The selected items will be populated on the Monthly Checklist and placed on the Surveillance Schedule for each period surveilled.

· When the surveillance will be scheduled (Surveillance Schedule, attachment 3)

· Selected items for each month will be placed on the Surveillance Checklist and scheduled surveillance on the Monthly Schedule. Surveillance may be scheduled on a daily, weekly or monthly frequency. However, each contractor requirement must be audited for compliance prior to invoice payment being made.

· The Acceptable Quality Limit (AQL)

· The AQL will be determined by the Requiring Activity, i.e., the COR, and referenced in attachment 8, QASP Surveillance Item Requirements for each Performance requirement.

· The nature of Government contract quality assurance actions that include the number of observations made and the number and type of defects (defect rate)

· Personnel conducting contractor performance surveillance will use attachment 4, Surveillance Checklist, or equivalent to answer the Performance question asked, and provide comments in the area provided on the checklist. These comments and metrics from the Checklist will be included on each MSR submitted during the Period of Performance.

5. Government Surveillance.

5.1. Methods of Surveillance. The following Methods of Surveillance may be utilized in monitoring the Contractors’ performance:

NOTE: The performance items selected for surveillance in this QASP as a minimum should contain those listed in the Performance Requirements Summary (PRS). The PRS is a stand-alone document that illustrates to the contractor the few, most salient items the government wishes the contractor to be aware of. The PRS is contained in the contract Performance Work Statement (PWS). See Attachment 1 for PRS items.

1. 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 the 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.

1. 100% Inspection will be reserved for the highest risk areas where consequence of failure may affect life or limb, or there is likelihood of mission failure

1. Random Sampling Will be used when a service is performed on a frequent basis and a statistically valid sample can be selected for audit. This is most appropriate method for frequently recurring tasks

1. Periodic Inspection Will be used when planned sampling of a service is at a specific predetermined date and time. This is most appropriate for tasks that occur infrequently, yet on a scheduled basis

· Customer 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.

The Customer Complaint Record, Attachment 2, will be placed at convenient locations for the end user of these services, and made available to document/record all complaints. The COR will collect the Customer Complaints each surveillance cycle and investigate for validity ASAP.

The following procedures will be followed when a complaint is received.

1. The COR/ACOR will investigate to determine the validity of the complaint

2. If the complaint is determined to be invalid, the COR will inform the person who submitted the complaint of the reason(s) as soon as practical

3. For validated complaints that are true contractual non-conformances, the procedures in paragraph 6 below will be applied

4. A Customer Complaint Log will be used to document each validated customer complaint and attached to the COR Monthly Surveillance Report in the CORT Tool

5.1.1 Surveillance Procedure: 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. The COR will evaluate the Contractor’s performance monthly against Performance Standards established in the contract. Evaluations will be to the extent practical to assure the contractor provides quality services IAW the requirements of the contract.

1. The COR will utilize the attached checklist(s) to track and document surveillance:

2. The COR will utilize the random sample site to identify the locations/units/areas to be sampled on a monthly basis, these locations will be documented and maintained.

5.2. Surveillance Schedule. A Surveillance Schedule (Attachment 3) will be created each month. Locally generated equivalent is acceptable. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized Government personnel. Each Month’s Surveillance Schedule will be completed at the beginning of each month during the Period of Performance (PoP) to schedule the upcoming month surveillance activity. Completed Surveillance Schedules will be filed in the online Contracting Officer’s Representative Tracking Tool (CORT) (https://wawf.eb.mil) file for this contract, either as an attachment to Monthly COR Status Report (MSR) or uploaded separately in the Miscellaneous Documents Section of the CORs’ CORT file.

5.3. Surveillance Checklists. A Surveillance Checklist (Attachment 4) will be created each month. Locally generated equivalent is acceptable. The Checklist is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized Government personnel. Each Month’s Surveillance Checklist will be completed with the Surveillance Schedule. Completed Surveillance Checklist will be filed in the online Contracting Officer’s Representative Tracking Tool (CORT) (https://wawf.eb.mil) file for this contract, either as an attachment to Monthly COR Status Report (MSR) or uploaded separately in the Miscellaneous Documents Section of the CORs’ CORT file.

Note: Surveillance Schedules and Checklists are considered COR documentation and must be uploaded in the CORT Tool.

5.4. Surveillance Documentation. Each months’ Completed Surveillance Documentation, to include the Monthly Surveillance Report (MSR) must be filed in the online Contracting Officer’s Representative Tracking Tool (CORT; https://wawf.eb.mil) file for this contract, either as an attachment to MSR, or uploaded separately in the Miscellaneous Documents Section of the CORs’ online CORT file.

6. Non-Conforming Performance. A Non-conformance occurs when the Contractor fails to meet the terms, conditions and/or specifications of the Contract/Task Order. All instances of non-conformance must be documented by the COR. The COR will provide the details of the non-conformance using the Contractor Nonconformance Report (CNR), Attachment 5 to the KO, who will notify the Contractor of each nonconformance occurrence, unless the KO has authorized the COR to submit directly to the contractor, and copy the KO. Resolution of any non-conformance discovered at the Subcontractor level will be addressed with the prime Contractor.

Non-conformances are classified as either: Level I (Minor); Level II (Major); or Level III (Critical).

6.1. Level I (Minor). Level I non-conformance is not likely to materially reduce the usability of services for their intended purpose or is a departure from established standards having little bearing on completing the contract requirement. Minor non-conformances can usually be corrected on the spot and can be issued to the Contractor through either a verbal or written Contractor Nonconformance Report (CNR). However, the Government is required to document verbal Level I CNRs. The COR may issue verbal Level I CNRs directly to the appropriate level of Contractor management. The COR will notify the KO as soon as practical when a verbal Level I CNR is issued and document them in their Monthly Reports. If the non-conformance cannot be corrected on the spot, the Contractor shall be given a suspense date to correct the deficiency. The KO will issue and sign written Level I CNRs, Attachment 5.

6.2. Level II (Major). Level II non-conformance is likely to result in failure of the services to meet contract requirements. Also, repeated discrepancies, a large number of documented Level I CNRs and trends indicating failure of the Contractor’s quality control program can be classified as Level II CNRs. The KO issues all Level II CNRs in writing, Attachment 5. The COR will notify the KO as soon as practical when a major non-conformance is identified.

6.3. Level III (Critical). Level III non-conformances result in hazardous or unsafe conditions due to the manner in which the services are performed; prevent or impact a vital agency mission as a result of performance; or are for repeated or uncorrected Level II CNRs. The Contracting Office Director or Deputy Director issues written Level III CNRs. The COR is responsible for notifying the KO immediately upon discovery of a critical non-conformance.

6.4. Documenting CNRs. The COR will provide the details of the non-conformance using the CNR, Attachment 5. If the Requiring activity prefers to issue a locally developed CNR, documentation must include as a minimum: the Contract or Task Order number; reference to the specific contract requirement; the specific discrepancy to the requirement; where it was discovered; the date and time it was discovered; Contractor representative who was notified; and the suspense date for Contractor response/corrective action.

6.5. Tracking and Resolving CNRs. All CNRs, verbal and written, regardless of issuer will be included in the COR’s Monthly Report. The COR and KO shall track CNRs to ensure the Contractor identifies and takes appropriate corrective action to the root cause and the specific non-conformance is corrected within the required timeline. The KO will make a final written determination of the Government’s remedies if the non-conformance is not corrected by the Contractor after receiving notice and a reasonable opportunity to correct the work.

7. Deduct Plan. This acquisition does not include a Deduct Plan.

8. Data Analysis. Data Analysis will be performed to identify trends in cost, schedule and/or performance risks. The results of Data Analysis will be documented in COR Monthly Status Reports (MSR) and may be used to make adjustments to surveillance schedules and/or checklist items to increase or decrease surveillance, based on performance trends. Negative trends noted using Government data/observations could result in issuing the Contractor Nonconformance Report. Trends noted using Contractor data will not result in a CNR unless the Contractor has not addressed the negative trend. QASP changes based on Data Analysis will be coordinated with the Contracting Officer for approval.

9. Acceptance of Services. When all services have been deemed acceptable and there is documented, objective, quality evidence to support acceptable performance, the COR will accept the services provided and authorize payment to the Contractor. Acceptance and payment will be made by approving the Contractor’s Receiving Reports in Wide Area Workflow at https://wawf.eb.mil/ as an iRAPT Inspector, and/or Acceptor.

10. COR Status Report. COR Status Reports, or Monthly Status Reports (MSR) will be submitted on a monthly basis to the Contracting Officer via the CORT Tool. MSR reports must be uploaded into the CORT Tool, using the “Smart Form” Monthly Surveillance Report. MSR reports will be due NLT the 10th day of the month following the month of surveillance. COR Status Reports will provide a synopsis of the Contractors performance for the inclusive dates of the report. The synopsis must contain a summary of surveillances performed, Customer Feedback if any, CNRs if any, an analysis of the Contractors performance, recommended adjustments to surveillance schedules, and any other pertinent contract information IAW FAR 46.104, and the COR Appointment Letter. Completed Surveillance Checklists and CNRs, if any, will be included as attachments to COR Status Reports, or referenced in the MSR for that month and uploaded separately in the Miscellaneous Documents Section of the CORs’ Online CORT file for this contract. See para 4.2.

11. Contractor Manpower Reporting Application (CMRA). Reporting Labor Hours. The Office of the Assistant Secretary of the Army (Manpower & Reserve Affairs) operates and maintains a secure Army data collection site where the Contractor shall report all Contractor manpower (including subcontractor manpower) required for performance of this contract. The Contractor shall completely fill in all the information in the format using the following web address: https://www.ecmra.mil.

The required information includes the following:

a. Contracting Officer (KO), Contracting Officer’s Representative (COR) name;

b. Contract number, including task and delivery order number;

c. Beginning and ending dates covered by reporting period;

d. Contractor's name, address, phone number, e-mail address, identity of Contractor employee entering data;

e. Estimated direct labor hours (including sub-Contractors);

f. Estimated direct labor dollars paid this reporting period (including sub-Contractors);

g. Total payments (including sub-Contractors);

h. Predominant Federal Service Code (FSC) reflecting services provided by Contractor (and separate predominant FSC for each sub-Contractor if different);

i. Estimated data collection cost;

j. Organizational title associated with the Unit Identification Code (UIC) for the Army Requiring Activity (the Army Requiring Activity is responsible for providing the Contractor with its UIC for the purposes of reporting this information);

k. Locations where Contractor and sub-Contractors perform the work (specified by zip code in the United States and nearest city, country, when in an overseas location, using standardized nomenclature provided on website);

l. Presence of deployment or contingency contract language; and Number of Contractor and sub-Contractor employees deployed in theater this reporting period (by country).

While inputs may be reported any time during the FY, The COR shall ensure the contractor submits all data shall no later than October 31 of each calendar year. The COR shall verify that the Contactor has complied with the required contractor manpower reporting annually and document the results in the CORs’ Online CORT File, CMRA section. Contracting officers shall ensure that the requirement to report contractor manpower is included in all contracts, task/delivery orders and modifications.

12. 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.

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.

13. 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.

14. COR/Quality Assurance Surveillance Files. The official COR/Quality Assurance Surveillance File will be maintained in the on-line CORT Tool, IAW DoDI 5000.72, and DFARS PFI 201.602-2.

15. QASP Changes. This QASP is a living document and, as such, may be changed as needed based on Data Analysis (trends), contract modifications by the KO, etc. The COR will send any recommended changes to the Contracting Officer for approval and the Contracting Officer must approve all changes.

COR’S Signature Block Date

Contracting Officer’s Signature Block Date

DOCUMENT REVISION HISTORY

This table is specific for the template, remove the details and replace with your specific revision history information for your contract This QASP is a living document and, as such, may be changed as needed based on Data Analysis (trends), contract modifications, etc. The COR will send any recommended changes to the Contracting Officer for approval and the Contracting Officer must approve all changes.

1.0

COR NAME

Attachments:

1. Performance Requirements Summary (PRS)

2. Customer Complaint Record

3. Surveillance Schedule

4. Surveillance Checklist(s)

5. Contractor Nonconformance Report (CNR)

6. QASP Surveillance Item Requirements

Attachment 1

Contract/Task Order Performance Requirements Summary

(PRS)

{Optional: Insert/Attach the PRS from the Contract or Task Order here for convenient reference}

Required Services

Incentive (Positive and/or Negative)

Attachment 2

Customer Complaint Record

Attachment 3

Surveillance Schedule

You will need to develop a monthly schedule for conducting surveillance. The date you are going to conduct surveillance would go in the far left column. You would list the PWS, paragraph number for the task you are going to surveil on the top line.

Attachment 4 Surveillance Checklist(s)

COR SURVEILLANCE CHECKLIST Template

COR Name:

Comments:

Comments:

Comments:

Comments:

Comments:

Comments summary, to include, positive trends, negative trends, concerns, customer comments, and any additional COR comments:

To populate the checklist, find in the PWS: "The Contractor Shall...”, Then, make that requirement a checklist item by converting the requirement to a question: “Did the contractor…" Each "Yes" can be graded as a 1, and each NO graded as a 0. Once the checklist is complete, the COR may generate a quantifiable performance rating using these numbers as metrics.

Note: The COR will develop a monthly Checklist for each item being monitored. See attachment 6, QASP Surveillance Item Requirements for an example.

Attachment 5 Contractor Nonconformance Report

Attachment 6

Performance Threshold Method Of Surveillance

QASP Surveillance Item Requirements

This QASP Surveillance Item Requirements Table is provided as an example.

Each surveillance item will be applied to this table with the Performance Objective, Performance Standard, and AQL/Performance Threshold Ensure an AQL is determined and applied to each Performance Objective

Enclosure 1

QA SURVEILLANCE AUDIT EQUIPMENT RECORDS PROCEDURES CHECKLIST

DEVICE: EQUIPMENT: .

ROOM: BLDG: DATE: INSPECTOR: .

AUDIT ITEM

YES

NO

NA

COMMENTS

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: .

AUDIT ITEM

YES

NO

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: .

AUDIT ITEM

YES

NO

NA

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

YES

NO

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: .

AUDIT ITEM

YES

NO

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: .

AUDIT ITEM

YES

NO

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: .

AUDIT ITEM

YES

NO

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: .

AUDIT ITEM

YES

NO

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:____________________________

image1.emf

DATE OF COMPLAINT TIME OF COMPLAINT

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE CONTRACTOR INFORMED COMPLAINT TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer)

RECEIVED AND VALIDATED BY

ORGANIZATION

INDIVIDUAL

NOTE: ( ) Used for in-house operation.

CUSTOMER COMPLAINT RECORD

For use of this form, see DA PAM 5-20; the proponent agency is ACSIM.

SOURCE OF COMPLAINT

(Responsible officer) (Responsible officer)

DA FORM 5477, MAR 2008 PREVIOUS EDITIONS ARE OBSOLETE. APD PE v1.01ES initiator:ralph.gaines@us.army.mil;wfState:distributed;wfType:email;workflowId:b71742b09d8a4c49a6eb59ab36d6e236

DATE OF COMPLAINT:

TIME OF COMPLAINT:

ORGANIZATION INDIVIDUAL SOURCE OF COMPLAINT:

NATURE OF…