Attachment 2 BASOPS Quality Assurance Surveillance Plan.pdf

81st Readiness Division (RD), Installation Support Agency (ISA), Directorate of Public Works

(DPW)

BASOPS Support Contract

Quality Assurance Surveillance Plan

Date Prepared: 22 November 2019

1. OVERVIEW

1.1. Purpose. The purpose of this plan is to identify the methods and procedures the government will use to ensure it receives the services/products under this contract as identified in the

Performance Work Statement (PWS).

1.2. Intent. The intent of this plan is to hold the contractor accountable for quality control and to encourage the contractor to take appropriate steps to control and improve quality. The contractor is responsible to develop an efficient methodology to ensure they meet and/or exceed the required thresholds of service as outlined in this acquisition. The government intends to perform surveillance on this contract in accordance with this Quality Assurance Surveillance

Plan (QASP), but reserves the right to monitor the contract in any manner necessary, at any times necessary, and at all places necessary to ensure that the rendered services conform to contract requirements. Because this PWS has functions that are closely associated with inherently governmental functions and may potentially present the appearance of personal services, particular attention will be paid to those areas. The government reserves the right to perform quality assurance at the subcontract level and perform quality assurance at the contractor's place of business, if applicable. Non-conforming services discovered with subcontractors will be addressed with the prime contractor for resolution. The Army Publishing

Directorate maintains current copies of all forms referenced below.

2. DESCRIPTION OF SERVICES

2.1. Scope of Work. The contract will provide Base Operations (BASOPS) support to the 81st RD

DPW. BASOPS support services shall include: Environmental program support, real property management support, and Base Operations (BASOPS) program support, to include Management

Planning; Employee Training; Workspace Management; Customer Services; Real Property

Management Support; Meetings and Reporting; Facility Engineering and Management

Technical Support; Project Management; Engineering and Computer Assisted Design Support;

Facility Operations and Maintenance Support; Environmental Program Services; and

Contractor Manpower Reporting (CMR).

2.2. Contract. The contract is Firm-Fixed Price

3. ROLES AND RESPONSIBILITIES.

3.1. To fully understand the roles and the responsibilities of the parties (government and contractor), it is important to first define the distinction in terminology between the contractor’s Quality

Control Plan and the government’s Quality Assurance Surveillance Plan. IAW FAR Part

52.246-1 -- Contractor Inspection Requirements, the contractor, and not the government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the contract and follow-on task orders. The contractor develops and submits a

Quality Control Plan (QCP) for government approval in compliance with contract deliverables.

Once accepted, the contractor then uses the QCP to guide and to rigorously document the implementation of the required management and quality control actions to achieve the specified results.

3.2. The QASP on the other hand, is put in place to provide government surveillance and oversight of the contractor’s quality control efforts to assure that they are delivering timely and effectively those results specified in the contract or task order. The QASP is not a part of the contract nor http://armypubs.army.mil/ http://armypubs.army.mil/ is it intended to duplicate the contractor’s QCP. The contractor shall submit a QCP covering areas that are important for successful contract performance. Upon approval of a contractor’s

QCP, the Contracting Officer’s Representative (COR) should make revisions to the QASP based on the contractor’s QCP. The COR shall not revise Performance Objectives, Standards, and Acceptable Quality Level (AQL) in the QASP.

3.3. This plan shall provide the COR with a proactive way to avoid unacceptable or deficient performance, and provide verifiable input for the required performance report via the Contractor

Performance Assessment Reporting System (CPARS).

3.4. The QASP is a tool; therefore, it remains a living document through the contract and/or task order performance period. Upon approval of the Contracting Officer (KO), unilateral changes to the QASP may be made as needed. The contractor does not have to be made aware of planned revisions. The entire QASP is not part of the contract. While certain portions such as

“performance objectives” and “maximum allowable degree of deviation from requirement

(Acceptable Quality Level (AQL)),” may be part of the Performance Work Statement (PWS), the method of surveillance, surveillance calendar, schedule, and frequency of surveillance and inspection are not.

3.5. 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 is to monitor the effectiveness of the contractor’s quality control plan to ensure contract quality standards are achieved. (ref. FAR Part 46 – Government Contract Quality Assurance)

Government Personnel:

Contracting Officer (KO) - A person duly appointed with the authority to enter into, administer and terminate contracts on behalf of the government. The KO is the only person who can legally commit the government and only the KO, as the government’s agent, can modify the contract/order. The KO is the final authority for determining the adequacy of the contractor’s performance. KO decisions arising under or relating to the contact are final.

Contracting Officer’s Representative (COR) – An individual designated in writing by the KO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of contractor’s performance, accept services). The COR is not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the government; such authority rests solely with the KO.

The Department of Defense (DoD) Contracting Officer Representative Tracking (CORT) Tool is a web management capability for the appointment of CORs. This Tool allows a perspective COR, COR

Supervisor and Contracting Officer to electronically process nomination of CORs for one or multiple contracts. The CORT Tool is now available through Wide Area Work Flow (WAWF) at https://wawf.eb.mil/

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.

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.

Name Title Phone e-mail

Insert name Contracting Officer Insert phone number Insert Email

Dan Thomas COR 803-751-9947 daniel.h.thomas12.civ@mail.mil

Lorraine Bradley ACOR 225-332-2123 lorraine.e.bradley2.civ@mail.mil

Frank Rose ACOR 803-394-1716 frank.k.rose.civ@mail.mil

John Westbrook ACOR 803-724-0210 john.a.westbrook.civ@mial.mil

D.V. Childs ACOR 803-351-5428 dauphin.v.childs.civ@mail.mil

Lyndon Erickson ACOR 601-484-6705, ext. 4012 lyndon.m.erickson.civ@mail.mil

David Dunn ACOR 412-841-8800 david.t.dunn.civ@mail.mil

Louis Sadle ACOR 803-394-5964 ii.l.sadle.civ@mail.mil

Myron Medlin ACOR 803-724-0198 myron.l.medlin.civ@mial.mil

Ariston Livica ACOR 910-771-1919 ariston.p.livica.civ@mail.mil

Carlos Fuentes ACOR 787-486-8972 carlos.l.fuentescarrion.civ@mail.mil

Contractor Personnel:

Quality Manager- Promotes quality achievement and performance improvement throughout the organization. Develops, implements, communicates and maintains a quality plan to bring the

Company's Quality Systems and Policies into compliance with quality system requirements. Direct the activities of quality personnel to measure key quality characteristics of processes from inception to completion. Establishes the standards of service for customers or clients.

Program Manager- Responsible for running complex programs and projects. Supervises the project team and manages conflicts within different departments. Plans and sets project 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.

Name Title Phone e-mail

Insert Name Insert Title Insert phone number Insert E-mail

4. CONTRACT QUALITY REQUIREMENTS

4.1. Quality Control Program. The contractor's Quality Control Program requirements are defined in paragraph 1.6 of the PWS. The contractor shall develop, maintain, enforce and document a

Quality Control Plan (QCP) which complies with the requirements of this contract and outlines how they will ensure the government will receive all the services required by the contract at the specified quality level.

4.2. Government Quality Assurance. The government will perform Quality Assurance oversight of the contractor and contractor’s QCP IAW with this QASP to ensure acceptable levels of contract performance are achieved and that the contractor is performing acceptable levels of

Quality Control to ensure fully acceptable services are provided.

5. GOVERNMENT SURVIELLANCE

5.1. Methods of Surveillance include but are not limited to:

100% Inspection - This is an inspection method whereby all outputs are monitored. This method provides the best indication of contractor performance and the most documented basis for determining contract payment actions. However, it requires extensive COR resources, and therefore, is not practical for most service requirements. 100 percent inspection is preferred when the PWS requirement is so critical that nonperformance would pose a direct risk to the safety of personnel or property, or when the work occurs infrequently and the output population is small.

Random Sampling - When a service is performed relatively frequently and a statistically valid sample can be selected for audit. The most appropriate method for frequently recurring tasks. Random Sampling is a means of evaluation by observing or inspecting some part (a sample), but not all, of a population or lot of the contract requirements to assist the government with determining whether standards set forth in the contract have been met. This tool is not the Contracting Officer’s only option nor is the tool usage mandatory. When performing random sampling, an updated version of Military Standard 105E Tables/

ANSI/ASQC Z1.4 shall be normally used to determine the sample size and the acceptance and rejection numbers.

Periodic Sampling - This method, sometimes called "planned inspection," consists of the evaluation of tasks selected on other than a 100 percent or random basis. It may be appropriate for tasks that occur infrequently, and where 100 percent inspection is neither required nor practical. A predetermined plan for inspecting part of the work is established using subjective judgment and analysis of agency resources to decide what work to inspect and how frequently to inspect it.

Customer Feedback – Not necessarily a valid method of surveillance, but a good indicator for areas surveillance should be conducted or intensified. The COR may design a customer survey questionnaire to be used as an essential part of a well publicized customer complaint program. In time of resource constraints, the use of customer surveys provides an effective and efficient means of monitoring contractor performance. Customer surveys should only supplement other surveillance efforts and be analyzed by surveillance personnel trained in validating customer complaints. Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance. The COR must investigate each customer complaint and validate the accuracy before any action will be taken.

5.2. Monthly Surveillance Schedule. The COR will develop a monthly schedule of surveillance activities based on the Performance Standards as outlined in the Performance Requirements

Summary (PRS)(PRS will be an attachment to this QASP) as well as any other critical contractual requirements determined to be higher risk requiring oversight. The surveillance outlined in the monthly schedule will be as detailed and in-depth as necessary to provide the government with the objective quality evidence required to support acceptance of the services provided by the contractor. The schedule will provide planned periodic surveillance during all required hours of the contractor’s operation. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized government personnel. The schedule will identify the method of surveillance, the date of inspection, place of inspection, activity to be monitored, and who will conduct the surveillance (dates and times can be altered without a formal change to the schedule as long as all inspections are performed). The DA Form 5475-R

(COR/ACOR Surveillance Schedule) may be tailored to be used for this purpose. The monthly schedule will be completed no later than seven calendar days prior to the beginning of the period it covers and a copy forwarded to the KO for information and review.

5.3. Inspection instructions/checklists. The COR will develop inspection instructions/checklists for all planned inspections which may require special instructions on how to perform the inspection, what observations should be made with specific details of what to look for to identify acceptable performance. The Surveillance Activity Checklists, DA Form 5476 may be tailored to be used for this purpose.

5.4. Documentation of Inspections. All inspections/observations will be documented and will include as a minimum date and time, who performed the inspection, what was inspected, to what standard and the results. Successful or exceptional performance will be documented as well as deficiencies in contractor performance. Documentation will be maintained for future reference, audit, proof of inspection and past performance documentation. The Tally Checklist

DA Form 5481 may be tailored to be used for this purpose.

6. Non-Conforming Performance. The COR will notify the contractor, in person, each time an unacceptable observation has been recorded and ask the contractor to correct the problem or re-accomplish the service. The COR will record the contract requirement, the specific deficiency to the requirement, the date and time it was discovered, and have the contractor initial the entry. The contractor will be given a time line after notification to correct the deficiency in accordance with requirements of the contract. Deficiencies that cannot be corrected within the identified time line will be reported to the Contracting Officer. Again the Tally Checklist DA Form 5481 may be used for this purpose.

6.1. Customer Feedback. For customer feedback or complaints it is recommended that the

Customer Complaint Record DA Form 5477 may be used. However customer feedback can be in any form, verbal or written but no matter the format the COR will maintain a record of the feedback positive or negative.

a. If immediate response to a complaint is required, the COR will provide the response to the requester as soon as practical.

b. The COR will conduct an investigation to determine the validity of any negative comments received.

c. If the negative comment is determined not to be valid, if possible, the COR will inform customer of the reason(s) as soon as practical.

d. For validated negative comments that are true contractual non-conformances see paragraph 6. If this non-conformance is a more serious (systemic in nature) deficiency or recurring deficiency that could indicate a trend the COR should see paragraph 6.2.

e. The COR will follow up with the customer of the corrective action taken by the contractor, if applicable.

6.2. Contract Deficiency Reports. The COR will report more serious (systemic in nature) deficiencies or recurring deficiencies that could indicate a trend by using the DA Form 5479-R, Contract Discrepancy Report. The Contract Discrepancy Report will state the Contract

Requirement, the specific contract reference and the specific violation (s) to the requirement.

The COR will forward copies of Contract Discrepancy Reports to the KO within one working day. The KO will notify the contractor and request corrective action to the specific non-conformance, identification of the root cause and corrective action for the root cause with a required suspense date. The KO may require the contractor to re-perform any services that do not meet contract requirements at no additional cost to the government. The contractor will return a copy of the completed and signed DA Form 5479-R along with their Corrective Action

Plan (CAP) to the KO for review, approval and inclusion in the contract/order file. The KO should include the COR in the review of the CAP and re-inspection of services that were found deficient to ensure the CAP included adequate root cause analysis, corrective action for the root cause and that it was accomplished in the timeframe agreed upon. The KO and COR will not consider the CDR closed until all deficiencies have been corrected and all agreed upon actions of the CAP have been completed. Contractor’s failure to follow through and complete corrective actions will be reported immediately to the KO for further action. (Note: if the COR has to repeatedly perform re-inspection there could be a government re-inspection cost which could be recovered from the contractor). The COR will also follow-up after the contractor has completed the corrective action to ensure that the contractor’s corrective action was sufficient to preclude recurrence.

7. Data Analysis. COR shall perform and document analysis of available data monthly and make adjustments to surveillance schedule as required based on results of analysis. Analysis shall be used to look for and document trends in performance which may indicate shifts in performance risk that could result in increased or reduced surveillance. Data can be based on government observations or contractor observations. Negative trends noted using government observations could result in issuing contractor a Contract Deficiency Report (CDR). Trends noted using contractor data should never result in a CDR unless the contractor is not addressing the negative trend. Documentation of data analysis will be in the Monthly COR Activity Report.

8. 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 upon satisfactory completion of the work. This is done by approving the contractor’s invoice in Wide Area Workflow https://wawf.eb.mil/.

9. Monthly COR Activity Report. The COR will submit a brief monthly activity report to the KO which will include the next months surveillance schedule, summary of inspections performed with results, summary of customer complaints with analysis, summary of contract discrepancies, results of data analysis, recommended adjustments to surveillance, invoices accepted and any other pertinent contract activities.

10. Contractor Manpower Reporting (CMR). The COR shall fill in required information and verify contactor has complied with the required contractor manpower reporting and document any observations. Reporting is for the 12 month period ending Sept. 30th of each FY and reporting is due by the contractor by 31 Oct of each FY. Registration and manual can be found at https://www.ecmra.mil/.

11. Quality Assurance Surveillance File: Reference ACC PAM 70-1 and the ACC COR Facts Page.

The Quality Assurance, or COR Surveillance file shall contain the following as applicable:

a. Copy of the COR designation letter from the KO, any changes to that letter, and any termination letters.

b. Training Certifications for COR and refresher training.

c. Copy of the contract and all contract modifications.

d. Copy of the applicable Quality Assurance Surveillance Plan (QASP) with attached schedule and checklist.

e. Copy of the contractor’s Quality Control Plan (QCP)

f. All correspondence initiated by authorized representatives (contractor or government) concerning performance of the contract.

g. Names, position titles and contact information of all key personnel assigned to this contract both government and contractor.

https://wawf.eb.mil/ https://www.ecmra.mil/ http://acc.army.mil/contractingcenters/acc-nj/COR.html

h. Monthly surveillance schedules.

i. Surveillance Checklists

j. Records of all inspections performed and the results.

k. Customer Feedback.

l. Memoranda for record of minutes of any meeting, telephone conversations and discussions with the contractor or others pertaining to the contract or contract performance.

m. Documentation pertaining to acceptance of services, reports or data

12. Contractor Performance Assessment Reporting System (CPARS) Documented surveillance data IAW this QASP will be used as objective data to support contractor ratings. The inclusion of detailed documented inspection results provides objectivity to the Contractor Performance

Assessment Report (CPAR). The CPAR will be prepared annually or at the end of a Task Order whichever occurs first.

13. QASP Changes. The QASP is a living document and, as such, may be changed as needed.

However, the KO must approve changes. The COR will submit recommended changes to the KO for approval.

https://shortcut.dau.mil/acq/cpar_cpars

Attachment 1: Performance Requirements Statement

Performance Objective Standard Performance Threshold

Method of

Surveillance

The Contractor shall conduct an initial Post-Award

Conference

Presentation of full project work plan per PWS 1.21 Zero deviation

100% Inspection by

COR/KO

The Contractor shall develop internal SOPs to include written instructions as well as process flow charts for functional areas under this contract

In accordance with all

Army, Army Reserve, and

81st RD policies and procedures

Zero deviation 50% inspection by

COR/ACORs

The Contractor shall provide a Quality Control Plan

In accordance with the

PWS 1.6

Zero deviation

100% Inspection by

COR/ACORs

The Contractor shall obtain a

CAC for all personnel

In accordance with PWS

1.12.1 Zero Deviation

100% Inspection by

COAR/ACORs

The Contractor shall provide, update and maintain a personnel roster

In accordance with PWS

1.12.1 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of AT level 1 Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of IA Awareness

Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of iWatch program

Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of Level 1 OPSEC

Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of Combat Trafficking in Persons Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of Sexual

Harassment/Assault

Response and Prevention

Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide proof of Army Suicide

Prevention Training for all personnel

In accordance with PWS

1.13 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall provide a Drug Free Workplace plan

In accordance with PWS

1.17.10

Zero Deviation

COR/ACORs

The Contractor shall submit travel templates

In accordance with PWS

1.18.1 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall conduct periodic meetings

In accordance with PWS

1.21 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall attend an annual synchronization meeting

All contractor personnel attending in accordance with PWS 5.1

5% Deviation 100%inspeciton by

COR/ACORs

The Contractor shall submit monthly Operational/Activity

Summaries

In accordance with PWS

5.2., 5.3, and 5.4 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall submit

Site Visit Reports

Reports submitted via

CSS in accordance with

PWS 5.2.1.1

Zero Deviation 100% inspection by

COR/ACORs

The Contractor shall collect

ISR data and complete ISR workbooks

In accordance with PWS

5.2.1.11 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall attend

Base Operations and

Maintenance meetings with

ACORs

In accordance with PWS

5.2.1.27

10% Deviation

ACORs

The Contractor shall prepare

Capital Improvement planning briefs

In accordance with PWS

5.3.2.1 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall review and verify asset management data

In accordance with PWS

5.3.1 15% Deviation

100% inspection by

COR/ACORs

The Contractor shall provide

Technical Drafting Support

In accordance with PWS

5.3.3.2 Zero Deviation

The Contractor shall provide

Environmental Training

Services

In accordance with PWS

5.4.1.3 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall coordinate EPAS

Coordination

In accordance with PWS

5.4.2.1 Zero Deviation

100% inspection by

COR/ACORs

The Contractor shall prepare a draft EPAS reports for each site

In accordance with PWS

5.4.2.3 10% Deviation

100% inspection by

COR/ACORs

The Contractor shall review all CSS requests for NEPA requirements

In accordance with PWS

5.4.4.1 15% Deviation 100% inspection by

COR/ACORs

The Contractor shall prepare correspondence and staffing forms to support all real estate actions

In accordance with PWS

5.4.6.1 Zero Deviation