Attachment 2 - QASP.pdf

UNCLASSIFIED

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

UNITED STATES TRANSPORTATION COMMAND

(USTRANSCOM) COMMAND, CONTROL,

COMMUNICATIONS & CYBER SYSTEMS DIRECTORATE

(TCJ6)

USTRANSCOM TCJ6 CYBERSPACE OPERATIONS

FORCES AND SUPPORT (COF)

30 February 2021

APPROVED:

SHUN BUCKINGHAM KIM MATTINGLY

Contracting Officer Representative Contracting Officer

TCJ6 TCAQ

Quality Assurance Surveillance Plan 20 February 2021 ii

Table of Contents

1. INTRODUCTION

2. PURPOSE

3. ROLES AND RESPONSIBILITIES

3.1 Contracting Officer (CO)

3.2 Contract Specialist (CS)

3.3 Contracting Officer’s Representative (COR)

4. METHODS OF SURVEILLANCE

4.1 Service Delivery Summary (SDS)

4.1.1 Sampling

4.1.2 Third Party Audits

4.1.3 One Hundred Percent Inspection

4.1.4 Trend Analysis

4.1.5 Customer/Government Inputs

4.1.6 Surveillance Results

4.1.7 Management Review

4.2 Non-SDS Items

5. EVALUATION METHODOLOGY

5.1 Established Procedures

6. DOCUMENTATION

7. COMBATING TRAFFIC IN PERSONS

8. ACRONYMS

APPENDIX A – QUALITY ASSURANCE SURVEILLANCE SUMMARY AND

METHOD

APPENDIX B – MONTHLY PERFORMANCE REPORT

APPENDIX C – CONTRACT DISCREPANCY REPORT

UNCLASSIFIED

1. INTRODUCTION

This QASP was developed in accordance with DFARS 246.401 and USTCI 63-5, Contracting Officer’s Representative (COR) Program, for work performed to provide technical and functional support services for the USTRANSCOM, Scott Air Force Base, IL as well as for its Army and Air Force Service Components. This QASP sets forth the procedures and guidelines to be used by the Government to ensure that the contractor achieves the required performance standards as specified in the Performance Work Statement (PWS). The PWS contains a Service Delivery Summary (SDS) that summarizes performance objectives (service required) and performance thresholds (specific standard) contained within the body of the PWS. The SDS does not identify every service required, but only those services considered most important for mission accomplishment. This QASP is based on the premise that the contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The SDS recognizes unexpected and uncontrollable events can occur which may affect contract performance. Good management and use of an adequate quality control plan will allow the contractor to meet or exceed the performance standards specified in the PWS.

2. PURPOSE

This QASP is designed to accomplish the following:

a. Ensures the Government pays only for the level of services received.

b. Provides a systematic method to survey and evaluate contractor services to determine conformity with the technical requirements of the contract.

c. Defines the roles and responsibilities of participating Government officials.

d. Describes the evaluation methods that will be employed by the Government in assessing the contractor’s performance.

e. Describes the process of performance documentation.

f. Describes how the COR will monitor the contractor’s performance regarding trafficking in persons, IAW DFARS 222.1703 and PGI 222.1703(4).

g. Describes the Government’s furnished property inventory process, if applicable, IAW DFARS PGI 245.103-70 and FAR 52.245-1(f)(1)(iv).

h. Provides copies of the Quality Assurance (QA) monitoring report format that will be used by the Government in documenting and evaluating contractor’s performance.

3. ROLES AND RESPONSIBILITIES

The Government monitors contractor performance on a continuing basis through the services of a surveillance team. The surveillance team consists of the following members: Contracting Officer (CO), Contract Specialist (CS), and COR.

3.1 Contracting Officer (CO)

The CO has overall responsibility for contract administration. The CO is responsible for monitoring contract compliance and cost control, and resolving any differences between the observations documented by the Government (i.e., COR) and the contractor. Payment is authorized based on documented objective evidence provided by the COR that contractor performance meets the performance standards specified.

The CO is the only Government official authorized to revise the contract.

3.2 Contract Specialist (CS)

The CS acts as an acquisition consultant and serves as liaison between the Contracting Office and COR or the contractor.

3.3 Contracting Officer’s Representative (COR)

The COR:

a. Is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. The COR’s limitations are contained in the written appointment letter.

b. Serves as a functional expert and is responsible for monitoring, assessing, recording and reporting the technical performance of the Contractor on a continuous basis.

c. Schedules surveillance activities; evaluates and documents performance by the Contractor;

initiates requests for and evaluates adequacy of the corrective action and reports Contractor performance of contractor requirements.

d. Is sufficiently trained to perform the required duties and to ensure their knowledge of the terms and conditions of the contract.

e. Is to be objective, fair, and consistent in evaluating contractor performance against standards.

f. Will notify the CO immediately when an evaluation shows that performance does not meet the standards identified in this QASP.

g. Is required to ensure changes in work are not initiated before a written authorization or modification is issued by the CO.

h. Is the certifying official, authorized to accept delivery of services.

i. Must ensure that all services have been performed before certifying the quantity received and digitally signing the receiving report/invoice in Wide Area Work Flow (WAWF).

j. Has a maximum of seven days after the contractor’s submission of a properly documented receiving report/invoice to certify the quantity and digitally sign the document in WAWF.

Prompt processing of receiving reports/invoices in WAWF increases the Government’s ability to take discounts offered and decreases the likelihood of the Government incurring interest expense for late payment. After digital signature, the signed receiving report/invoice will be routed to Defense Finance and Accounting Service (DFAS) for scheduling of payment.

k. Is required to provide an assessment of contractor performance to the CO for input into Contractor Performance Assessment Report.

4. METHODS OF SURVEILLANCE

4.1 Service Delivery Summary (SDS)

The SDS summarizes the expected service objectives (outcomes) and identifies the metrics that will be tracked to determine whether the outcomes are being achieved at the appropriate levels of performance.

USTRANSCOM, through the COR, will monitor contractor performance using the surveillance methods described below. In determining the evaluation criteria, USTRANSCOM has considered what the contract specifically calls for, how performance can be surveyed, and if the proposed method of surveillance is adequate to assure the required level of performance has been achieved. Additionally, contractor performance will be a factor affecting application of the plan, i.e., surveillance frequency may be increased or decreased based on contractor demonstrated and documented performance. One or a combination of the below surveillance methods will be used.

The Services Delivery Summary (SDS) represents the most important task order objectives that, when met, shall ensure task order performance is satisfactory. Although not all PWS requirements are listed in the SDS, the contractor is fully expected to comply with all requirements in the PWS.

Performance

Objective

PWS

Para

Performance Threshold Metric Method of Surveillance

Diagnose and attempt resolution of catastrophic failure within two (2) hours of the contractor’s receipt of the notification of the failure.

2.3.2 The contractor’s personnel shall

begin diagnosis and attempt resolution and repair efforts within two hours of the contractor’s receipt of the notification of the failure 95% of the time, per month.

The contractor shall continue to work on the problem until full system capabilities are restored or until it reaches status of Major or Minor Failure.

Number of catastrophic failures repaired in 2 hours.

100 % Inspection

Diagnose and attempt resolution of major failure within three

(3) hours of the contractor’s receipt of the notification of the failure.

2.3.3 The contractor’s personnel shall

begin diagnosis and attempt resolution and repair efforts within three hours of contractor’s receipt of notification of failure 95% of the time, per month.

In the event of a notification during contractor’s non-business hours, the contractor’s personnel shall begin to repair the problem at the beginning of the contractor’s next business day during the contractor’s normal business hours.

Number of major failures repaired.

100 % Inspection

Diagnose and attempt resolution of minor failure within three

(3) business days of the contractor’s receipt of the notification of the failure.

2.3.4 The contractor’s personnel shall

begin diagnosis and attempt resolution and repair efforts within three business days of contractor’s receipt of notification of failure 95% of the time, per month.

In the event of a notification during contractor’s non-business hours, the contractor’s personnel shall begin to repair the problem at the beginning of the contractor’s next

Number of minor failures repaired.

100 % Inspection business day during the contractor’s normal business hours.

4.1.1 Sampling

Judgmental sampling is a form of sampling in which the COR selects a sample from a population based on his or her own experience or assessment of the situation rather than on a random basis. Periodic sampling is scheduled for specific intervals or dates. This sampling may be appropriate for tasks that occur infrequently. Random sampling is done to determine whether to accept or reject the contractor’s performance of the total lot of a particular task for a given period of time, using the premise that the statistically selected sample is representative of the entire lot. This is the most appropriate method for frequently recurring tasks.

4.1.2 Third Party Audits

Third Party Audits will be conducted by an authorized agent of the Government, federal, state and local agencies (i.e. OSHA, DMV, EPA, Environmental Management etc.).

4.1.3 One Hundred Percent Inspection

This type of surveillance is only appropriate for the most stringent requirements where health or safety is on the line.

4.1.4 Trend Analysis

This technique is used to assess the contractor’s ongoing performance. A database can be built with the data to continually evaluate performance.

4.1.5 Customer/Government Inputs

The COR may use customer input to document discrepancies in contractor performance. The CO may use validated customer complaints as the basis for actions against the contractor. In such cases the Inspection of Services clause becomes the basis for the CO’s actions. It is expected that some customer’s will file complaints directly with the Contractor. The Contractor should attempt to resolve complaints/issues at the lowest level possible. However, the Government acknowledges that some issues require Government intervention. In such cases, the Contractor shall request assistance from the COR or

CO.

4.1.6 Surveillance Results

Surveillance results may be used as the basis for actions against the Contractor. In such cases the Inspection of Services clause becomes the basis for the Contracting Officer’s actions.

4.1.7 Management Review

Methods of surveillance can change after contract award based on acceptance of a Contractor’s proposed quality control program or agreement that establishes the metrics to be used. When metrics are used as a method of surveillance through the partnering process, they may be developed after contract award, but prior to the performance start date.

4.2 Non-SDS Items

For required tasks not shown on the SDS, including all other tasks in the PWS and any referenced documents, the Government still retains the right to inspect any item included in the contract in accordance with Federal Acquisition Regulation (FAR) Part 46, Inspection of Services clauses.

Inspection of these services will be performed in the same general manner as periodic surveillance items mentioned above. The results of these inspections are documented and, if necessary, are provided to the CO for action. Should a discrepancy be observed, the CO will handle each documented discrepancy on a case-by-case basis.

5. EVALUATION METHODOLOGY

This QASP comprehensively guides the surveillance team’s activities and has been developed in a format to ensure ease of understanding and implementation. For each performance objective (service required) in the SDS, the specific methods of surveillance and Acceptable Quality Level (AQL) are shown in Appendix A. The methodology described in the chart shall be used as the basis for performing surveillance of the respective performance objectives. The monthly Performance Report (located at Appendix B) will be a tool used in conjunction with the CORT Tool, to develop the Contractor’s annual CPARS rating. The annual CPARS reports address the following six (6) areas: “Quality”, “Schedule”, “Cost Control”, “Management”, “Utilization of Small Business” and “Regulatory Compliance”, in which a contractor will be given a rating of “Exceptional”, “Very Good”, “Satisfactory”, “Marginal” or “Unsatisfactory” for each of the six areas and an overall contract performance rating.

5.1 Established Procedures

Each Contractor assessment shall follow an established procedure for surveillance, recording, reporting and follow-up, outlined as follows:

a. Frequency of surveillance will be IAW the COR’s schedule.

b. Surveillance will be performed IAW Appendix A and results/comments recorded.

c. Performance/non-performance for a particular task will be entered chronologically by the COR on a historical log of surveyed performance. If no deficiency exists in Contractor performance for this element, no further action is required.

d. If Contractor performance is deficient, the course of action is dependent on the severity/impact/frequency of the non-performance.

i. Re-performance is the first action to resolve deficiencies.

ii. When the COR determines a deficiency is not Government caused, a Contract Discrepancy Report (CDR) (see Appendix C) is initiated.

A. COR completes blocks 1-6 of the form and sends it to the CO.

B. CO must evaluate the CDR and, if appropriate, sign (block 7) and send it to the Contractor.

C. Contractor must complete blocks 8-10 according to the requirements of the contract and return it to the CO within 5 calendar days of receipt.

D. Upon receipt of the Contractor’s response, the CO, in consultation with the COR, must evaluate the Contractor’s response and take the appropriate action.

E. CO must document the evaluation (in block 11) and action taken (in block

12) on the CDR.

F. COR shall submit a Monthly Performance Report (see Appendix B) and attach a copy of all CDRs for the reporting period.

iii. When corrective action is reported by the Contractor, the COR will follow up with additional surveillance to verify implementation.

6. DOCUMENTATION

All surveillance activities must be documented to provide the required audit trail to justify Government acceptance and payment. The documented audit trail of the surveillance (DAS) activities is required by FAR 46.104(c), Contract Administration Office Responsibilities, which states, “Maintain, as part of the performance records of the contract, suitable records reflecting, (1) The nature of Government contract quality assurance actions, including, when appropriate, the number of observations made and the number and type of defects; and (2) Decisions regarding the acceptability of the products, the processes, and the requirements, as well as action to correct defects.”

All documentation resulting from surveillance is made a permanent part of the contract file. The COR must keep the documentation files during the term of the contract and either monthly or at the conclusion of the contract (as directed by the CO); transfer the files to the CO for inclusion in the official contract file. It is the responsibility of the COR to establish and maintain this information in a DAS Folder. The surveillance folder(s) should include as a minimum:

a. Contract including Modifications

b. Task Orders including Modifications

c. QASP

d. COR Letter of Designation

e. Invoices

f. Surveillance Records

i. Written report of all inspections and timelines of deliverables

ii. Written report of any deficiency

iii. Any other written documentation relation to contract performance

g. General Correspondence

7. COMBATING TRAFFICKING IN PERSONS

IAW DFARS PGI 222.17, the COR shall pursue, as appropriate, the following methods of monitoring the contractor’s performance regarding trafficking in persons such that non-compliance with FAR clause

52.222-50 are brought to the immediate attention of the Contracting Officer.

a. Keep the lines of communication open with the contractor. At the post-award conference, remind the contractor of his contractual responsibilities to notify the government if the contractor receives notifications of any alleged violations to this policy or if actions have been taken against the contractor employees, subcontractors or subcontractor employees pursuant to the clause.

b. When appropriate, encourage contractor to complete Human Trafficking Awareness Training.

c. Encourage the contractor to take steps to investigate and eliminate slavery and human trafficking in their supply chains and to publish information for consumer awareness.

d. Periodically access the Department of State’s Trafficking in Person (TIP) website at http://www.state.gov/g/tip for updates and to view the latest reports.

8. ACRONYMS

Acronym Definition AQL Acceptable Quality Level

CDR Contract Discrepancy Report CO Contracting Officer COR Contracting Officer’s Representative COF Cyberspace Operations Forces CS Contract Specialist DAS Document Audit Surveillance DFAS Defense Finance and Accounting Service DMV Division of Motor Vehicles EPA Environment Protection Agency FAR Federal Acquisition Regulation O&M Operations and Maintenance OSHA Occupational Safety and Health Administration QA Quality Assurance QASP Quality Assurance Surveillance Plan SDS Service Delivery Summary PWS Performance Work Statement USTCI United States Transportation Command Instruction USTRANSCOM United States Transportation Command WAWF Wide Area Work Flow

UNCLASSIFIED

APPENDIX A – QUALITY ASSURANCE SURVEILLANCE SUMMARY and METHOD

The following items will be utilized for evaluation of performance during the duration of this contract.

Desired Outcome

PWS

Para

Performance Threshold

Source of Data

Calculation How Often Collected

Method of Surveillance

Support and maintain a cloud-based data environment

Task 1, 2

The Government estimates Task 1 and Task 2 to be established within X months of the contract performance.

95% accuracy is acceptable

Provide an environment that enables

Task

The Government estimates Task 1 and Task 2 to be established within 6 months of the contract performance.

95%

Encompasse s the migration, optimization

Task

Submitt ed Reports

Task 2 assessments, physical data structures design, use case requirements collections, and other work related to populating the data environment will commence upon contract performance.

95%

Monthly Status Report

(MSR)

Gove rnme nt Requ ested

Submitt ed Report

2nd Business Day of the Month

95% accuracy and is acceptable

APPENDIX B – MONTHLY PERFORMANCE REPORT

MONTHLY PERFORMANCE REPORT

MEMORANDUM FOR: USTRANSCOM/TCAQ-S

Attn: _Kimberley Mattingly Contracting Officer

FROM: USTRANSCOM/TCAQ-S

Building 1900, 508 Scott Drive Scott Air Force Base IL, 62225

SUBJ: Cyberspace Operations Forces (COF)

1. Period Covered: 1 January 2021 – 31 November 2025.

2. Area Covered: Performance Objective, PWS paragraph, Task Descriptor (i.e., Support Desk, 1.2.1.1.).

3. Overview of Performance:

a. Summary - As a summary the COR will assure contract compliance by performing audits, data review, and surveillance.

Conduct assessment of Contractor performance to identified Performance Objectives and all other contract requirements

– Document that assessment

– Request corrective action for noncompliance

– Accept compliant services and/or products.

b. Contract Discrepancy Reports (CDRs) - No CDRs documented as of yet but will be during the reporting period. Will provide status of all open CDRs and will attach copies of CDRs to the monthly report.

c. Corrective Action Follow Up – Will report any follow-up actions performed during the reporting period.

4. Performance Analysis: Performance analysis will be performed to identify trends in cost, schedule and/or performance risks. The results of performance analysis will be documented in COR Status Reports and may be used to make adjustments to surveillance schedules, increase or decrease surveillance, if deemed appropriate. Negative trends noted using Government data/observations could result in issuing the Contractor a Contract Discrepancy Report. Trends noted using Contractor performance will not result in a CDR unless the Contractor is not addressing the negative trend.

5. Areas of Concern: Will identify in narrative form ANY problem(s) or potential problem areas which may impact contract performance to PWS requirements or any aspect of the program.

6. Overall Comments:

SHUN E. BUCKINGHAM

Contracting Officer’s Representative (COR)

Attachment:

CDRs

APPENDIX C – CONTRACT DISCREPANCY REPORT

N/A