Attachment 2 - DRAFT LOGNET QASP_Solicitation.pdf

Logistics Integration and Weapon Systems Logistics Networking Support (LOGNET)

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FA4452-21-D-00XX

25 June 2020

TABLE OF CONTENTS:

1.0 Mission

2.0 Purpose

3.0 Authority

4.0 Role and Responsibilities

5.0 Contract Surveillance

6.0 Quality Control Plan (QCP)

7.0 Assessing Performance

8.0 Acceptance of Services

9.0 Contract Management

APPENDICES:

1. Electronic COR File Documentation

2. Combating Trafficking in Persons Checklist

3. First or Second Notice Template

4. Corrective Action Report (CAR)

5. Customer Complaint Record

1.0 MISSION -

Headquarters (HQ) Air Mobility Command (AMC)/A4P requires support for the services necessary to perform four separate interoperability roles for the Logistics Integration and Weapon Systems Logistics Network (LOGNET) Support. The interoperability roles include supporting IT infrastructure at HQ AMC/A4, at the Wing-level for sortie generation and for G081 PMO staff as well as providing G081 functional programming support, training and subject matter expertise for technology, policy, and system integration recommendations.

2.0 PURPOSE -

This Quality Assurance Surveillance Plan (QASP) is a Government-developed document used to determine and document if the Contractor’s performance meets the performance standards contained in the Performance Work Statement (PWS) and resultant contract/task order. The QASP establishes procedures on how this surveillance/inspection process will be conducted to ensure successful PWS performance.

It is designed to provide a systematic method for continuous oversight of requirements identified in the PWS for each contract/task order.

The QASP establishes:

• What will be monitored.

• How monitoring will take place.

• Who will conduct monitoring.

• How monitoring efforts and results will be documented.

The Contractor is responsible for implementing and delivering performance that meets contract objectives required within the PWS. The QASP provides the structure for the Government’s surveillance of the Contractor’s performance to ensure that it meets contract requirements established in the PWS. The Contracting Officer (CO) shall also ensure the Contractor receives impartial, fair, and equitable treatment under this contract and determines the final assessment of Contractor performance.

The QASP is not part of the contract/task order, and 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. The QASP should allow early identification and resolution of performance issues to minimize impact on the mission. In addition, the Government recognizes that unforeseen circumstances might occur that are outside the control of the Contractor.

3.0 AUTHORITY -

Authority for issuance of this QASP is provided under Federal Acquisition Regulation (FAR) subpart 37.604 and 46.4, and the clause at FAR 52.246-4 (Inspection of Services—Fixed Price), which provides for inspection, acceptance and documentation of the services called for in the PWS. Acceptance is to be executed by the Contracting Officer (CO) or a duly authorized representative.

4.0 ROLES AND RESPONSIBILITIES -

The following personnel comprise the Multi-Functional Team (MFT) and shall oversee and coordinate surveillance activities.

4.1 Government Representatives -

4.1.1 Contracting Officer Representative (COR) Supervisor -

Specific duties of the COR Supervisor include:

• Nominate/Appoint the COR in the Joint Appointment Module (JAM) located on the Procurement Integrated Enterprise Environment (PIEE).

• Review the electronic COR file in the Surveillance and Performance Monitoring (SPM) module also located on PIEE for accuracy and completeness at least annually using the COR File Inspection Checklist located on 763 Enterprise Sourcing Squadron (ESS) SharePoint Mission Partner Resources Page.

• Ensure personnel are properly trained and technically qualified before performing COR duties.

• Ensure there are no personal conflicts of interest and continuous contract monitoring by a qualified COR.

• Maintain that COR responsibilities are assessed on performance appraisals.

• Confirms the COR has completed the Annual OGE 450.

Assigned COR Supervisor:

Organization:

Phone:

Email:

4.1.2 Contracting Officer’s Representative (COR) - The COR is responsible for providing continuous program and technical oversight of the Contractor’s performance.

The COR must maintain both technical competency and evaluation proficiency in Contractor surveillance procedures. The COR uses the QASP to conduct the oversight/surveillance process. The COR must also have enough knowledge of Contractor activities to properly review and disposition monthly invoices. In accordance with DFARS PGI 201.602-2(d)(vi) the COR shall maintain an electronic COR File in SPM that accurately documents the Contractor’s performance. The purpose is to ensure that the Contractor meets the performance standards contained in the contract.

While the COR may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the Government’s behalf. The COR is responsible for reporting and identifying performance problems early on to the CO/CS and may use applicable appendix items for documenting Contractor performance. The COR is required to complete an annual performance assessment via the Contractor Performance Assessment Reporting System (CPARS) which will be used in documenting past performance.

Specific duties of the COR include:

• Receive required training before performing any COR duties (IAW MP5301.602-2(d)).

• Nominate/Appoint themselves as COR for a particular solicitation/contract utilizing the JAM.

• Notify the CO/CS so they can terminate CORs appointment/designation in JAM, prior to CORs departure.

• Perform only those duties/responsibilities delegated by the CO in the COR Designation.

• Establish and maintain an electronic COR file in SPM for purpose of evaluation and documentation of Contractor performance (Appendix 1) in accordance with DFARS PGI 201.602-2(d)(vi).

• Recommend any changes necessary to the contract, PWS, QASP, or other items to provide more effective operations and/or eliminate unnecessary costs.

• Remain abreast of changes to terms and conditions of the task order resulting from modification.

• Utilize electronic COR file surveillance documentation in SPM to assist the CO in the preparation of annual CPARS reports.

• Ensure the Contractor’s task Quality Control Plan (QCP)/Management Plan, is compliant with contractual requirements.

• Notify the CO/CS immediately regarding Contractor non-compliance with FAR 52.222-50, “Combating Trafficking in Persons.”

Assigned COR:

Organization or Agency:

Telephone:

Email:

Alternate COR:

Organization or Agency:

Telephone:

Email:

Alternate COR:

Telephone:

Email:

4.1.3 Contracting Officer (CO) - The CO 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 CO is the only Government agent authorized to award or modify contracts; therefore, the CO is the only person authorized to contractually obligate the Government. The CO is also the individual who will sign any notifications to Contractors regarding performance issues, accepts Government surveillance methods utilized for each contract/task order, and determines the final assessment of the Contractor’s performance.

Specific duties of the CO include:

• Delegate authority for inspection and/or acceptance to the COR in accordance with the terms and conditions of the contract.

• Inform the Contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

• Utilize JAM to formally appoint/designate CORs for each solicitation/contract.

• Terminate CORs in JAM, when required, prior to CORs departure.

• Ensure that the COR maintains an electronic COR File in SPM that accurately documents the Contractor’s actual performance.

• Review and approve/reject COR Monthly Status Reports in SPM.

• At a minimum, annually review the COR File for accuracy and completeness utilizing the Annual COR File Inspection Checklist located on 763 ESS SharePoint Buyer Resources Page.

• Construct/upload the Annual COR File Inspection Checklist to SPM IAW DFARS PGI 201.602-2 and MP5301.602-2(d).

• At a minimum, provide an annual assessment of the COR’s performance to the COR supervisor. If unacceptable, the CO must provide a written assessment and identify specific deficiencies to the COR, and request additional information or a new COR nomination.

• Manage Contractor performance surveillance data, including submitting annual CPARS reports and Electronic Subcontractor Reporting System (eSRS) reports, if applicable.

• Ensure the MFT reviews this QASP annually (at a minimum) for recommended changes.

• Provide contract-specific training (to include refresher training) administered by CO or CO’s designee to all appointed CORs.

Assigned CO: Keely A. Webb Organization: 763 Enterprise Sourcing Squadron (ESS) Phone: 618-256-9955 Email: keely.webb@us.af.mil

Assigned Contract Specialist (CS): Victoria R. Seelhoefer Organization: 763 ESS Phone: 618-256-9964 Email: victoria.seelhoefer@us.af.mil

4.1.4 Other Key Government Personnel - This may include performance monitors, inspectors, technical experts, or others who provide information that helps the COR monitor Contractor performance.

Name:

Organization:

Phone:

Email:

4.1.5 Quality Assurance Program Coordinator (QAPC) - The QAPC is responsible for developing, managing, and implementing the Quality Assurance Program. The QAPC also provides refresher training, as needed.

Specific duties of the QAPC include:

• Train CORs and COR management on the contracting requirements associated with the quality assurance program and procedures prior to contract award.

• Assist the CO in providing contract-specific training and ensuring required training is accomplished in accordance with DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, 26 Mar 15, Change 1, 31 Aug 18.

• Monitor the inputs and use of JAM/SPM.

• Assist COR, CO and CS where necessary in utilizing JAM/SPM.

Assigned QAPC:

Telephone:

Email:

4.2 Contractor Representatives - (Complete this section after contract award)

Contractor – Complies fully with the terms and conditions of the contract/task order and ensures non-conforming contract/task order services are identified and corrected.

Specific duties of the Contractor include:

• Participate as a member of the MFT in the post-award management phase.

• Maintain and implement their commercial quality procedures that ensure contract/task order requirements are met.

http://www.dtic.mil/whs/directives/corres/pdf/500072p.pdf http://www.dtic.mil/whs/directives/corres/pdf/500072p.pdf

• Ensure that the QCP is revised when necessary to prevent recurrence of non-conforming contract/task order services.

• Tender to the Government for acceptance, only those services that conform to contract/task order requirements.

• Recommend any changes to the contract/task order that will provide more effective operations and/or eliminate unnecessary costs.

4.2.1 Project Manager - The Contractor’s Project Manager is responsible for the overall execution of the contract/task order. This individual will serve as the focal point for the CO/CS assigned to the contract/task order and may interface with the customer, as needed.

Project Manager:

Organization or Agency:

Phone:

Email:

4.2.2 Project/Task Lead - The Project/Task Lead is responsible for technical or quality control oversight, this individual may be the Project Manager. The COR will contact this individual for contract issues such as deliverable schedule not being met or contract performance issues.

Project Manager:

Organization or Agency:

Phone:

Email:

5.0 CONTRACT SURVEILLANCE - The goal of the QASP is to ensure that Contractor performance is effectively monitored and documented. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the Contractor’s performance. The COR uses the QASP and the PWS to ensure the Contractor is compliant with the contract/task order requirements. The Contractor, is responsible for contract management and quality control/quality assurance actions to meet the terms of the contract/task order. The Government can inspect or test all services called for by the contract/task order, to the extent practicable, at all times and places, during the term of the contract. The CORs contribution is comprised of professional, non-adversarial relationships, which include positive and open communications with the CO, PM, QAPC, and the Contractor. The foundation of this relationship is built upon regular, objective, fair, and consistent COR evaluations of Contractor performance against contract requirements, and the ability to discuss inspection results, trends, and items of mutual interest with the Contractor.

5.1 Method(s) of Surveillance - The Government has the right to inspect all contract deliverables at any time prior to acceptance. Inspections may be announced or unannounced, but they must not unduly delay work, nor must they include directions that would change the contract. The Government also has the right to reject any deliverables that do not meet contract requirements.

The COR documents all results of inspection actions, and subsequent Contractor re-performance taskings in the electronic COR Monthly Status Reports in SPM.

For services, the COR can monitor Contractor performance using a variety of inspection methods. Before an inspection, the COR should check the contract/task order for any specific inspection and testing requirements. The COR should use a systematic approach and should ensure that the inspection methods do not interfere with the Contractor’s progress, or at least only to the extent that disruption is absolutely necessary. The following subsections briefly describe the most common inspection methods and their uses based on DoD COR Handbook, Chapter 8, monitoring the Contractor.

5.1.1 100% Inspection - This method is used for Contractor submissions, products, and deliverables (tangible items) where all outputs are observed. CORs use the One Hundred Percent Inspection method to evaluate all reports delivered. The COR, with assistance from the COR Supervisor and CO, if necessary, accepts or rejects these products based on the criteria and performance standards as outlined in the Services Summary. The COR also documents all results of inspection actions and subsequent Contractor re-performance taskings, if applicable.

5.1.2 Random Inspection - Random sampling works best when the number of instances in which the supplies or services is very large, allowing a statistically valid sample to be obtained. The COR will take a number of selections as a sample size by at least 10% to allow for situations where a selected sample cannot be evaluated. The COR will not evaluate every sample. A schedule will be submitted to the CO at least the month prior to inspection specifying the date, location and items that will be inspected. Any changes to the schedule will be submitted to the CO when the change occurs.

5.2 Surveillance Documents –

5.2.1 Data Deliverables - The Data Deliverables will be reviewed for timeliness, accuracy and format. If a deliverable due date falls on a weekend or holiday, the Contractor shall submit the deliverable on the last work day prior to the due date.

Table 1: Data Deliverables

CDRL PWS Para. Title A001 3.1.4.1 List of Individuals /Position IA Tech Certs Requirement A001 3.1.4.2 & 4.12.10.1 Copy of Certifications(s) for Assigned Cyber Position A001 3.1.4.3.1.1 & 4.12.10.1 Signed Copies Formal Statement of Assigned Cybersecurity A001 3.1.4.3.1.2 & 4.12.10.1 Signed Copies of Privileged Access Agreement A002 3.2.1 & 3.3 Trouble Ticket Items Review A003 4.12.11 Non-Disclosure Statement A004 4.13.4.1 Trip/Travel Report A005 4.13.5.1 Report, Record OF Meeting-Minutes A006 3.4.3 & 3.4.4 Programming Effort A007 3.5.4 GFE Report A008 4.13.3.1 Travel Requests A009 4.29.3 Accident Report A010 4.2.2 Transition-Out Plan A011 4.30.2 Quality Control Plan A012 3.3.1.16 Software and Hardware License Report A013 3.4.1.3 G081 Newsletter A014 3.5.2.2.1.2 New and Emerging Technology Report A015 3.5.2.2 WLAN Survey Determination

5.2.2 Services Summary - The Services Summary (SS) (Table 2) is the list of critical tasks that must be performed by the Contractor. The performance objectives and thresholds (standards) that must be performed by the Contractor are identified within the PWS. The COR will validate/inspect these tasks listed in the SS. Inspection of each objective will be documented in the electronic COR file in SPM. The Performance Objective defines the desired outcomes and Performance Thresholds (standard) defines the level of service required under the contract/task order to successfully meet the performance objective.

Table 2: Services Summary

Title PWS Para. Performance Threshold Surveillance Method

Contractor Personnel IA Certifications and

Investigation and Security Clearance.

3.1.4.1, 3.1.4.2, 3.1.4.3.1.1,

3.1.4.3.1.2 & 4.12.10.1

100% compliance as stated in PWS 100% Inspection

Trouble Ticket Items Review 3.2.1 & 3.3 95% of tickets greater than 15 days will be briefed at weekly A4PI meeting

Random Inspection

EMSEC Changes and Updated Floor Plans 3.3.2 EMSEC report/floor plan changes submitted with 98% accuracy Random

Inspection

Cost Estimate for IT Requirements 3.3.1 & 3.3.3 Estimates submitted on time 95% of the time Random

Inspection

Conference, Working Group, Meeting and Trip Reports

3.5.1, 3.5.2, 4.13.4.1, &

4.13.5.1

Trip reports and meeting minutes to be completed within five business days 95% of the time

Random Inspection

Reports, Studies and Presentations

3.5, 3.5.1, & 3.5.2

Reports, studies and presentations will be on time and accurate 95% of the time

Random Inspection

Server Certificates 3.2.1 & 3.3.1 All server/software certificates must be kept current 100% of the time.

Random Inspection

FAO Response to Trouble Ticket 3.4.2 Respond to all inquiries within two business days 95% of the time Random

Inspection

System Change Request (SCR) Top 20 3.4.4 Top 20 SCR list accurate 95% of the time Random

Inspection

SCR in Correct Status 3.4.4 SCR in Correct Status 98% of the time

Random Inspection

Pre/Post G081 Exhibit Meeting/Report 3.5.3 Meetings/Reports 95% on time Random

Inspection

G081 Exhibit Setup 3.5.3 Requested Exhibit Services accurate 100% of the time

Pre Show Inspection on location

Programming Effort 3.4.3

Programming effort documentation delivered to COR within five business days 95% of the time.

Random Inspection

Training Team Inquiries 3.4.1 Response to User within two business days 95% of the time

Random Inspection

6.0 QUALITY CONTROL PLAN (QCP) - a Contractor's internal

actions, in the form of a QCP, are usually written to satisfy contract/task order requirements for written procedures or to provide direction on how Contractor employees are to perform. As required by the contract/task order, the Contractors QCP is included in the final proposal dated ____________________, and is incorporated by reference.

The COR will review the QCP IAW requirements of the solicitation and subsequent awarded contract/task order. The COR will forward any deficiencies/non-conformances to the CO/CS.

7.0 ASSESSING PERFORMANCE - CORs must document Contractor performance on each contract, to include scope and purpose of any inspections. CORs will assess and rate Contractor performance as it relates to contract/task order requirements.

Performance Assessment may take the form of notes in the COR Monthly Status Reports, assessment results from the Surveillance Checklist, non-conformance notifications, and annual CPARS. Each builds on the other and provides a thorough documented history of Contractor performance. NOTE: The COR shall provide a 30-day performance report to the CO for each newly awarded task order as well as annual performance reports thereafter. Documentation will be maintained in the electronic COR File in SPM.

7.1 COR Monthly Status Reports - This serves as the basis for any formal documentation of non-conformances or deficiencies and provides the backbone for formal reports on Contractor performance, such as annual CPARS. The COR Monthly Status Reports also provides continuity should COR duties shift in the course of contract/task order performance. COR Monthly Status Reports are completed and maintained in SPM.

7.2 Inspections - The COR may perform inspection/surveillance at any time during contract/task order performance IAW FAR 52.246-2 through 5, as applicable. The COR submits all audit and inspection documentation to the electronic COR File in the SPM.

7.3 Combating Trafficking In Persons (CTIP) - The COR will monitor the Contractor’s performance regarding trafficking in persons. The COR will complete a Combating Trafficking in Persons Checklist (Appendix 2) at contract/task order award and annually thereafter. The COR is prompted that any non-compliance with FAR clause 52.222-50, Combating Trafficking in Persons, is brought to the immediate attention of the CO.

Violations and remedies - If the CO receives information indicating that the Contractor, a Contractor employee, a Subcontractor, or a Subcontractor employee has failed to comply with the requirements of the clause at FAR 52-222-50, the CO shall:

• Through the CO’s local commander or other designated representative, immediately notify the Combatant Commander responsible for the geographical area in which the incident has occurred.

• Information for investigation and enforcement may be made to; DoD Inspector General Hotline at 800-424-9098 or http://www.dodig.mil/hotline, Program Manager on-line at http://ctip.defense.gov or by email to ctipreports@osd.pentagon.mil, National CTIP Hotline at 1-888-373-7888 or to the CTIP Hotline website at https://polarisproject.org.

• And immediately issue a notice of non-conformance.

7.4 Non-Conformances and Deficiencies - Results that fall below contract/task order standards shall be identified as minor non-conformances or major non-conformances.

The COR will notify the contactor and document all non-conformances in the COR Monthly Status Report, referencing the specific contract/task order requirement that the Contractor did not meet, document the name of the individual contacted, and date and time of notification. If the Contractor fails to take corrective actions in a reasonable time-frame, the COR will notify the CO/CS for further actions.

7.4.1 Minor Non-Conformance - A minor non-conformance is a deficiency, which by itself does not adversely impact mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A minor non-conformance normally does not increase risk to the Government.

7.4.2 Major Non-Conformance - A major non-conformance is a deficiency that has a significant adverse impact on the quality of service, such as those stated below. If at any time the COR identifies a deficiency, the COR shall document their findings on the CAR and immediately forward to the CO/CS. All major deficiencies will be reported by the COR in writing; however, copies of written correspondence will be coordinated with the CO/CS prior to issuance to the contactor representative, and must contain the CO signature. Some examples of major deficiencies: Contractor failure to meet a performance objective, failure to provide adequate corrective action to preclude recurrence of Government-identified findings, failure to provide corrective action within a prescribed suspense period, or failure to adhere to security regulations that result in a security incident.

NOTE: All minor non-conformances and major non-conformance shall be documented in the electronic COR file located in SPM.

7.4.3 Non-Conformance and Deficiency Notifications - If a non-conformance or deficiency is found during inspection of the Contractor’s performance, the COR will determine the type of notification based on the category of the non-conformance or deficiency (Table 3) and pursue resolution.

Corrective Action reporting is divided into two categories, which are as follows: minor and major.

TABLE 3 – NOTIFICATIONS

Category Notification Type Minor Step 1: First Notice http://www.dodig.mil/hotline http://ctip.defense.gov/ mailto:ctipreports@osd.pentagon.mil https://polarisproject.org/

7.4.4 First or Second Notices - (Appendix 3) as shown in Table 3, First and Second Notices provide written notification from the Government to the Contractor of minor non-conformances. Initial minor non-conformances should be addressed with a First Notice to the applicable Contractor representative. The COR will notify both the CO/CS of the issue, and prepare the notice for CO signature. If the CO determines the First or Second Notice is justified, the First and/or Second notice will be sent to the Contractor with a suspense date for the Contractor’s reply, sending a courtesy copy email to both the QAPC and the COR. The Contractor shall send the completed first or second notice to the CO. If the Contractor fails to respond by the specified due date, the CO should notify the COR to annotate the Contractor’s non-responsiveness in the electronic COR Monthly Status Report. If the Contractor fails to resolve the issue as documented in the Notice, the CO may elevate the issue to the next level (Second Notice or CAR).

Corrective/preventive actions initiated and/or completed by the Contractor will be verified by Primary COR on scheduled subsequent inspection and documented accordingly.

7.4.5 Corrective Action Requests (CAR) - (Appendix 4) as shown in Table 3, a CAR provides written notification from the Government to the Contractor for major deficiencies. The COR will recommend to the CO/CS that a CAR be issued when previous notifications failed to result in corrective actions or when major deficiencies exist. If a CAR is deemed necessary, the COR will fill out the CAR with the assistance of the CO. The draft CAR will be routed NLT ten duty days after the event to the CO for review and signature. The CO is the only person who has authority to issue a CAR to the Contractor.

To satisfactorily close-out a CAR, the following criteria must be met: the Contractor must meet the suspense date given for corrective action and the Contractor's actions must correct the deficiency within specified standards.

If the corrective action is deemed unsatisfactory, the COR annotates the CAR accordingly and forwards it to the CO with a brief explanation, including an estimate of the Government's loss due to the deficient performance. The estimate may account for loss or destruction of property, supplies, or equipment, and hours lost to re-perform the task. If the task cannot be re-performed, indicate the number of hours it ordinarily would have taken to do the task. The COR will maintain all non-conformance documentation in the electronic COR File in SPM.

Step 2: Second Notice Major Corrective Action Request (CAR)

7.5 Contractor Performance Assessment Reporting System (CPARS) - CPARS http://www.cpars.gov is the DoD Enterprise Solution for collection of Contractor Past Performance Information (PPI) as required by the Federal Acquisition Regulation (FAR).

CPARS is a web-enabled application that collects and manages a library of automated Contractor report cards. An annual CPARS will be written on all contracts/task orders that exceed $1M total value. The written assessment in CPARS will, in most cases, cover an annual period of performance. The COR will utilize objective evidence from the electronic COR File (i.e., COR Monthly Status Reports, 1st/2nd notices, CARS, and correspondence letters) for CPARS assessment.

8.0 ACCEPTANCE OF SERVICES - The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract/task order.

The COR will accept or reject all Receiving Reports submitted by the Contactor in Wide Area Workflow (WAWF) via PIEE within seven business days of submittal by the Contractor. To avoid payment of interest penalties, if the invoice is unacceptable and is rejected in WAWF system the CO/CS should be notified immediately.

8.1 Inspect/Validate Receiving Reports - The COR will inspect/validate all receiving reports via WAWF prior to certifying/accepting receiving reports (Shipment Number in WAWF) ensuring that:

• The Contractor submitted a combination invoice/receiving report.

• The report reflects the correct contract/task order number.

• Beginning and ending dates being billed are stated and accurate.

• The correct CLIN(s) is/are charged for billing period.

• A description of the services is provided (FFP, Travel, LH, materials).

• The correct amount is charged.

• Invoiced travel was pre-approved.

• Back-up documentation is attached that includes Contractor invoice.

• A breakout of any other charges, as required by the contract/task order.

8.2 Certifying and Accepting Receiving Reports - The COR will certify/accept all receiving reports via WAWF (Shipment Number in WAWF) ensuring that:

Certification of services is ALWAYS performed by the appointed COR. After validation of services is performed by the COR, the COR will select the “CQA” (Contract Quality Assurance) button to verify that the invoice was accurate, this step will normally select the “Acceptance” button also. If anyone other than the COR (typically the Resource Advisor (RA)) is accepting services for the contract/task order, the COR MUST certify in writing to the acceptor that services have been inspected/validated, the acceptor (RA) must then state in the comments block (under Misc. Info tab) that the COR has reviewed, validated and certified services/invoices. In all cases, the COR will retain documentation (electronic) showing COR validation and certification, as well as final acceptance of Contractor invoices.

http://www.cpars.gov/

8.3 Rejecting Receiving Reports - If a receiving report is rejected in WAWF, the COR will go to the Miscellaneous Info Tab to complete the comments block as follows.

• List details regarding all unsatisfactory services or incorrect invoice information.

AND

• Instruct the Contractor to contact DFAS to have the invoice rejected back to the Contractor; this will allow the Contractor to make the same correction on both the receiving report and invoice, since combination invoices/receiving reports are required.

9.0 CONTRACT MANAGEMENT - The MFT shall conduct periodic progress meetings to review the Contractor’s performance. At these meetings the CO/CS will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor shall immediately notify the CO/CS and/or COR of any work being performed that the Contractor considers over and above the requirements of the contract/task order.

Appropriate action shall be taken to resolve any outstanding issues (i.e. CPARS, customer complaint reports, etc.).

The MFT shall also provide any recommended changes to the QASP to the CO at the progress meetings or on an annual basis (at a minimum).

Appendix 1

MANDATORY Items - Electronic COR File Documentation

This appendix contains a list of documents that shall be maintained in the electronic COR file located in JAM/SPM, unless otherwise noted. The electronic COR file is to be inspected, at a minimum annually, by both the COR Supervisor and the CO. 763 ESS maintains the Annual COR File Inspection Checklist on SharePoint at “Mission Partner Resources” pag. NOTE: All surveillance documentation is to be considered “For Official Use Only (FOUO).” The required documentation shall include, but is not limited to:

COR training documents/certificates/professional licenses Contract Specific Training Certificate Request for COR Support Letter, if applicable Refresher Training COR Designation Letter COR Termination Letter Quality Assurance Surveillance Plan (QASP) All surveillance documentation Written correspondence Documented correspondence COR Monthly Status Reports Meeting Minutes Trip Reports Combating Trafficking In Persons (CTIP) Checklist Annual COR File Inspection Checklist

Signed Contract – EDA

PWS/SOW – EDA

Contract Data Requirements List (CDRL) – EDA All invoices and pay documentation – WAWF/MyInvoice Performance Assessment – CPARS Required Regulation – Available via the WEB

Appendix 2

COMBATING TRAFFICKING in PERSONS CHECKLIST

To be completed by the COR at contract award and annually thereafter.

COR is prompted that any non-compliance with FAR clause 52.222-50, Combating Trafficking in Persons, shall be brought to the immediate attention of the Contracting Officer.

Examination Information (fill all blocks unless noted otherwise) Contract Number:

Command: Supply/Service procured:

Place of Performance:

Subcontractors:

(list all that apply)

Audit Performed By (First, Last name): Appointed COR/SME (First, Last name):

Date of Audit:

(YYYY/MM/DD)

Last Audit Date:

(YYYY/MM/DD)

# Observations: # Nonconformities:

(see below)

Contract Discrepancy Report (CDR):

Yes No

Examination Guidelines

Select appropriate response for each requirement examined.

Yes = Requirement performed satisfactorily. Comment when key observations are noted.

No = Requirement not performed satisfactorily. Comment should identify corrective action in-place or plan of action (i.e., Contract Discrepancy Report [CDR]) N/O = Performance of requirement not observed. Comment when adverse circumstances prevent verification of requirement.

N/A = Requirement not applicable. Comment when contractor disputes validity of requirement.

Note: The Observations Section (Examination Information Block) provides a summary of the overall examination assessment.

Shorthand: RVI = Records Visually Inspected; CAO = Corrective Action Observed;

CAIP = Corrective Action In Place

CTIP Policy Carry the required CTIP contract clauses with you even when evaluating a contractor or subcontractor The U.S. Government and DoD have adopted a zero tolerance policy regarding TIP.

Contractors, subcontractors, and their employees shall not do the following:

• Engage in severe forms of TIP during the period of performance of the contract.

• Procure commercial sex acts during the period of performance of the contract.

• Use forced labor in the performance of the contract.

FAR Subpart 52.222-50, Far Subpart 22.17 and DFARS Subpart 222.17 cover CTIP regulations.

FAR Subpart 52.222-50 – Combating Trafficking In Persons (Jan 2019)

Requirement Yes No N/O N/A Comment

1. Has the contractor informed its employees of the U.S.

Government’s zero tolerance CTIP policy, including informing employees about the actions that will be taken against them for violations of this policy? FAR Subpart 52.222-50, Para (c)(1)

2. Has the contractor informed the contracting officer about any information it receives (including from host country law enforcement) that alleges a contractor employee or subcontractor employee has engaged in conduct violating the CTIP policy? FAR Subpart 52.222-50, Para (d)(1)(i)

3. Has the contractor informed the contracting officer about any actions taken against contractor employees, subcontractors, or subcontractor employees pursuant to this clause? FAR Subpart 52.222-50, Para (d)(1)(ii)

4. *Does the Compliance Plan include minimum compliance?

FAR Subpart 52.222-50, Para (h)(3)(i) – (h)(3)(v)

5. *Is the Compliance Plan posted properly? FAR Subpart 52.222- 50, Para (h)(4)

*Applies only when the contract is for supplies, other than commercially available off-the-shelf items, acquired OCONUS, or services performed OCONUS and has an estimated value that exceeds $500,000.

Any non-compliance with FAR clause 52.222-50, Combating Trafficking in Persons, shall be brought to the immediate attention of the Contracting Officer.

Appendix 3

Quality Assurance Surveillance Plan First or Second Notice Template

(Date) MEMORANDUM FOR (Contractor)

ATTN: (Contractor POC)

FROM: (CO’s office symbol)

SUBJECT: First/Second Notice on Contract FA4452-21-D-00XX for (brief name for non-conformance)

1. Contracting Officer Representative: (First and Last)

2. Office: (COR Office symbol)

3. Date of First Notice: (dd-mm-yyyy)

4. Reference: (PWS section and paragraph; Deliverable, Services Summary (SS), or email)

5. Reference Text: (State what action the Contractor should have performed IAW the reference above)

6. Description of Non-Conformity: (provide objective evidence of the Contractor’s performance discrepancy(ies))

7. Date response due from Contractor: (dd-mm-yyyy)

8. Contractor POC: (First and Last)

9. Contractor’s Input: (Provide correction action):

10. COR Review: (COR comments to reply):

11. Date Closed: (dd-mm-yyyy)

(CO signature block) cc: COR Email address

Appendix 4

Corrective Action Report

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

Appendix 5

Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

7.5 Contractor Performance Assessment Reporting System (CPARS) - CPARS http://www.cpars.gov is the DoD Enterprise Solution for collection of Contractor Past Performance Information (PPI) as required by the Federal Acquisition Regulation (FAR). CPARS ...

8.3 Rejecting Receiving Reports - If a receiving report is rejected in WAWF, the COR will go to the Miscellaneous Info Tab to complete the comments block as follows.