ATTACHMENT 2_Quality Assurance Surveillance Plan.pdf

QUALITY ASSURANCE

SURVEILLANCE PLAN

FOR

STRATEGIC CHANGE MANAGEMENT

CONSULTING SERVICE

Solicitation No. FA7014-20-Q-0040

Coordination and Review:

Kraetsch, Robert Signature Date Program Manager/COR

Shannon Ozoria Signature Date Contracting Officer

Anthony Rogers Signature Date

QAPC

PERFORMANCE MANAGEMENT

1. INTRODUCTION:

1.1. This Quality Assurance Surveillance Plan (QASP) has been developed to implement:

• Department of Defense Instruction (DoDI) 5000.72, Contracting Officer Representative (COR) Certification

• Federal Acqusition Regulation (FAR) 46.401, Government Contract Quality Assurance

• Defense FAR System (DFARS) 237.172, Service Contracts Surveillance

• DFARS 246.401, Government Contract Quality Assurance

• Air Force FARS (AFFARS) Mandatory Proceedures (MP) 5301.602-2(d)

Designation, Assignment and Responsibilities of a Contracting Officer’s Representative (COR)

• AFFARS MP 5346.103, Contracting Office Responsibilities

• Air Forc Instruction (AFI) 63-101, Integrated Life Cycle Managment

• AFI 63-138, Acquisition of Services

1.2. The dual purpose of the QASP is to outline how the Government will: (1) assess and document Contractor performance in accordance with the requirements set forth in the Performance Work Statement (PWS), and (2) assess contract success. Specifically, the QASP details an effective and systematic surveillance method for each listed service, using defined metrics to measure and document the Contractor’s performance.

Continual contract assessment focuses on ensuring the contract, as written, continues to meet the needs of the customer. This QASP will explain the following:

• What will be monitored

• How the monitoring will take place

• Who will conduct the monitoring

• How the monitoring efforts and results will be documented

1.3. This QASP does not detail how the contractor accomplishes the work. Rather, the

QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the requirements set forth in the PWS. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. Therefore, the QASP should recognize that unforeseen and uncontrollable situations may occur.

1.4. This QASP also implements the Multi-Functional Team (MFT) concept. The goal of the MFT is to give all members/stakeholders the ability to maintain the highest quality representative service to the customers and propose/initiate improvements throughout the life of the contract. Under this concept, continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/af_afmc/affars/MP5346.103.htm#TopOfPage customer. The signatures, on the attached signature page, indicate membership in the MFT. Changes of team members will require an update to the signature page.

2. OBJECTIVE: The objective of subject contract is to deliver a publishable (MS Office

Format) electronic version of the AFWO Strategy with graphics, key messages, and the roles of the EC, MIG, DAG, CMP, and OWGs incorporated for use by current and future council, working group, and panel members. Deliver a publishable (MS Office Format) plan(s) to facilitate effective and efficient conversations to achieve more informed decisions and increased progress toward objectives. This facilitation support could be at all or some levels and focused on a working group or problem set up to objective prioritization decisions at the EC level for use by current and future council, working group and panel members. Facilitate EC and Working Group (WG) meetings, document feedback/tools/techniques for effective/objective based meetings located at the Pentagon, Arlington, Virginia.

3. MULTI-FUNCTIONAL TEAM (MFT): The MFT is a customer-focused team instituted under the authority of senior leadership and responsible for assessing contractor performance and managing the requirement over the life of the contract. The MFT promotes good business decisions to meet customer requirements, fosters partnerships with industry to ensure exchanges of information with the contractor and other business experts, develops a performance-based acquisition strategy to include performance metrics, develops Performance Based Service Acquisition (PBSA) requirements, develops technical requirements and the independent Government cost estimate. The emphasis is on teamwork, trust, common sense and agility. The team is also responsible for managing contract performance in accordance with this QASP, assessing and documenting contractor performance in accordance with the QASP, identifying opportunities to improve performance throughout the life of the contract, completing and reporting annual performance reviews in the Contract Performance Assessment Reporting System (CPARS) as required, and managing the acquisition in accordance with AFI 63-138, Acquisition of Services.

Membership may include the contracting officer, program manager, COR, and functional/technical representative(s). Upon contract award, the contractor(s) is included in the MFT. All members of the MFT are responsible for determining if the contract continues to support the needs of the organization and notifying the Contracting Officer (CO) if it does not. In this context, members of the MFT should consider whether there are tasks covered by the contract which are no longer required, whether there are needs related to the contract’s purpose which are not covered by the contract but could or should be, and whether they have received any customer complaints regarding contract scope.

4. ROLES AND RESPONSIBILITIES:

4.1. Chief of the Contracting Office (COCO):

4.1.1. Serves as Business Advisor to the Air Force District of Washington Commander and the Headquarter Air Force staff level agencies (as appropriate).

4.1.2. Ensures a Quality Assurance Program Coordinator (QAPC) is appointed to integrate the quality contract requirements into the quality assurance program, act as the liaison between the contracting and functional organizations, and provide training and record keeping in accordance with AFFARS MP5301.602-2(d).

4.1.3. Ensures QAPC individual training plans are tailored to the local mission and local

QAPC responsibilities.

4.1.4. Ensures consistent guidance is given to customers by QAPC and other functional areas (e.g. Acquisition Centers of Excellence or similar offices).

4.1.5. Ensures compliance with Federal Acquisition Regulation and supplements.

4.1.6. Ensures Functional Area leadership receives training.

4.1.7. Ensures personnel on the MFT receive the appropriate level of training to meet local needs.

4.2. Functional Commander/ Director (FC/FD):

4.2.1. Is responsible for contracted services associated with their assigned mission. As such, they execute specified management and oversight responsibilities of the acquisition process and provide oversight for delivery of acquired services.

4.2.2. Ensures requirements documents developed by the MFT satisfy mission requirements, are performance based, foster innovation, and define metrics.

Metrics should provide meaningful measurements of the contractor progress aimed at attaining desired outcomes.

4.2.3. Identifies mission essential services in accordance with DFARS 237.76 and develops the necessary documents in accordance with DoDI 1100.22, Policy and Procedures for Determining Workforce Mix and DoDI 3020.37, Continuation of Essential DoD Contractor Services During Crisis.

4.2.4. Ensures COR’s supervisor solicits input on the performance of COR duties from the contracting officer (CO).

4.3. Contracting Officer’s Representative (COR) Supervisor:

4.3.1. Should obtain COR Supervisor training from QAPC, including training using the DoD Joint Appointment Module (JAM) / Surveillance and Performance Monitoring (SPM) Modules located at https://wawf.eb.mil. This is the same training that the COR will attend.

4.3.2. Nominates a COR (and alternate COR personnel if needed), as early in the acquisition cycle as practicable to provide subject matter expertise during acquisition planning and contract formation to ensure familiarity with the https://wawf.eb.mil/ requirement, specific terms and conditions of the resultant contract, and the responsibilities to be designated.

4.3.3. Discusses COR responsibilities to be designated and the importance of performance of COR responsibilities with the COR nominee.

4.3.4. Reviews and approves (certify) or rejects COR nominations in the JAM/SPM , when submitted by an assigned COR in the JAM/SPM.

4.3.5. Ensures the COR nominee is registered as a wide area work flow (WAWF) online user (located at https://wawf.eb.mil).

4.3.6. Ensures the COR nominee has the necessary clearance for the contract.

4.3.7. Ensures the COR nominee has completed an OGE Form 450, Confidential Financial Disclosure Report. The duties and responsibilities of a COR requires the COR to file a Confidential Financial Disclosure Report to avoid involvement in a real or apparent conflict of interest. The purpose of this report is to assist employees and their agencies in avoiding conflicts between official duties and private financial interests or affiliations. The information provided will only be used for legitimate purposes, and will not be disclosed to any requesting person unless authorized by law.

4.3.8. Ensures the COR nominee is provided and completes all required annual training along with any additional training mandated by the contracting activity.

4.3.9. Ensures the COR nominee understands the requirement to complete a yearly administrative review of COR files with the CO in the anniversary month of their designation.

4.3.10. Conducts regular reviews of COR inputs into the JAM/SPM, and follow-ups as necessary, on the content, timeliness, and completeness of COR Reports, online files, and other COR-related documentation.

4.3.11. Ensures the COR nominee understands that he or she may be held personally and financially liable for unauthorized acts.

4.3.12. Ensures COR is afforded the adequate resources (e.g., time, supplies, equipment, opportunity) are available for performance of COR responsibilities before contract award.

4.3.13. Incorporates performance of COR responsibilities into COR nominee’s performance objectives for either their annual performance appraisal or performance assessment. The supervisor evaluates the performance of COR responsibilities as part of the COR’s individual performance appraisal or performance assessment throughout the period of the contract; and is required to solicit input on performance of COR responsibilities from the contracting activity.

4.3.14. Neither delegates nor re-delegates any COR responsibilities that were designated to the COR by the CO.

4.3.15. If a COR is terminated before the contract performance ends, nominates a qualified successor COR who must be trained and designated specific responsibilities by the CO before he or she assumes those responsibilities. The nomination should be completed as timely as possible to avoid or minimize any lapse of contract surveillance.

4.4. Contracting Officer’s Representative (COR):

4.4.1. Must obtain a Procurement Integrated Enterpsrise Enviornment (PIEE) account and register in the JAM/SPM application to initiate the COR nomination package.

Register for JAM/SPM access through the PIEE e-Business Suite at https://wawf.eb.mil, and complete training to effectively perform duties in the JAM/SPM. Training must be completed prior to contract award.

4.4.2. Provides to the CO information necessary to assess whether any actual or potential personal conflicts of interest exist between the COR and contractor.

Conflicts of interest determination will be reviewed again prior to contract award.

Completes and files an OGE Form 450, Confidential Financial Disclosure Report, if designated as a required filer by the CO. The COR must submit the completed OGE Form 450 directly to his or her supervisor through the CO for review.

4.4.3. Completes the required COR training or refresher training before contract award, unless waived, prior to contract award IAW OUSD (AT&L) Memo, March 29, 2010, DoD Standard for Certification of COR for Service Acquisitions.

4.4.4. Participates, as appropriate, in pre-award activities such as requirements definition, independent cost/Government estimates, pre-award activities, acquisition planning, contract formation processes, annual CPAR procedures and contract close-out.

4.4.5. Establishes and maintains individual COR files for each contracting in accordance with DFARS PGI 201.602-2(d)(vi) and MP 5301.602-2(d) in the JAM/SPM or if due to size limitations, an alternate location that is accessible to the CO and QAPC. COR files will be available for review by the CO, internal review officials, or other officials as authorized by the CO.

4.4.6. Recommends improvements to the surveillance procedures, PWS, and QASP throughout the life of the contract.

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/dfars/PGI%20201_6.htm#P19_242

4.4.7. Reviews and understands those contract terms and conditions that apply to their assigned COR duties and responsibilities. Remains abreast of changes to terms and conditions of the contract resulting from contract modifications.

4.4.8. Performs only those duties/responsibilities delegated by the CO in the COR

Designation memo. Neither delegates nor re-delegates any COR responsibilities to another individual that were delegated to the COR by the CO. Only a CO may designate a COR and delegate duties/responsibilities to a COR.

4.4.9. Neither misrepresents the limits of their authority in dealings with the contractor nor takes any action which may constitute, or appear to constitute, an informal agreement or unauthorized commitment. Understands that a COR may be held personally and financially liable for unauthorized acts.

4.4.10. Provides input on accomplishment of COR responsibilities for either their annual performance appraisal or performance assessment.

4.4.11. Provides reports on contract performance to the CO; notifies the CO of any significant performance deficiencies. If advised by the CO that the reports are inadequate, ensure revised reports address inadequate issues and are determined adequate by the CO.

4.4.12. CORs may be designated as the Assessing Official’s Representative (AOR) by the CO in the Contractor Performance Assessment Reporting System (CPARS) IAW the CPARS Guide. If designated as an AOR, the COR would be responsible for providing a timely, accurate, quality, and complete narrative for a report on the contractor's performance. If the CO requires the COR to have access to the contractor performance assessment reporting system (CPARS), the synchronized pre-deployment and operational tracker (SPOT) or the enterprise contractor manpower reporting application (eCMRA) at (http://www.ecmra.mil), an account would be authorized and granted after COR designation.

4.4.13. Performs the eCMRA validation NLT 31 October of each year and reports the eCMRA results in the November Monthly COR Report to the CO each year duration of the contract (or sooner if the contract is closed out).

4.4.14. When advised by the CO or COR management that the COR designation will be terminated, ensures all reports, records, and communications are made available to management, the successor COR, and the CO.

4.4.15. Notifies the CO and COR management and request the CO terminate the COR

Designation and take action to designate and train a qualified successor COR in advance of prolonged non-COR related temporary duty, reassignment or separation from the U.S. Government.

http://www.ecmra.mil/

4.4.16. Stays current of the requirements of FAR Clause 52.222-50 (c), (d), and (f), Combating and Trafficking in Persons.

4.5. Quality Assurance Program Coordinator (QAPC):

4.5.1. Successfully completes the QAPC course conducted by AETC prior to conducting any training.

4.5.2. Coordinates all aspects of the Quality Assurance program.

4.5.3. Supports the acquisition team in the development of contract quality assurance requirements specifically ensuring that requirements are clearly stated and enforceable.

4.5.4. Assists the acquisition team during market research efforts in determining commercial quality assurance practices.

4.5.5. Assists, as required, with the evaluation of contractor Quality Control Plans.

4.5.6. Trains CORs and COR Management (e.g. COR Supervisor, Functional Commanders/ Directors (FC/FDs)) on the contracting requirements associated with the quality assurance program in accordance with MP5301.602-2(d) and any MAJCOM/DRU procedures.

4.5.7. Provides refresher training in accordance with OUSD (AT&L) Memo, 29 Mar 10, “DoD Standard for Certification of COR for Service Acquisitions.”

4.5.8. Maintains the organization’s COR management system database and JAM/SPM.

Duties include maintaining: 1) a record of all COR designations and terminations of designations, to include COR’s acknowledgement of their duties, by contract number and CO’s name; and 2) a record of all COR and COR management training, including refresher training regardless of provider.

4.6. Contracting Officer (CO):

4.6.1. Determines the need for either a COR, or multiple or alternate CORs, to assist in technical monitoring and contract oversight of a contract. If a COR is required, identify by the type of standard (i.e., Type A, B, or C), the duties, and responsibilities to be performed. The CO advises the requiring activity of the need for COR(s) support and the qualification requirements.

4.6.2. Determines whether a COR needs to file an OGE Form 450 based on the COR’s designated duties and responsibilities and level of supervision and review.

4.6.3. On receipt of the COR nomination package(s) from the requiring activity, reviews the package to determine if the COR nominee is qualified by education, training, https://www.my.af.mil/gcss-af/USAF/ep/browse.do?programId=t2D8EB9D63D8998C7013D935D40FA01CE&channelPageId=s6925EC134B670FB5E044080020E329A9 and experience in accordance with DoDI 5000.72. Notifies the requiring activity that the COR nominee is acceptable, or identify deficiencies and request additional nominations.

4.6.4. Designates COR in accordance with AFFARS MP5301.602-2(d).

4.6.5. Notifies the contractor of the designation of responsibilities and limits of the

COR’s authority.

4.6.6. Ensures that a copy of the signed letter of designation is included in the COR’s contract file and in the JAM/SPM.

4.6.7. Provides an orientation to the COR nominee (contract-specific training) to address the designated responsibilities, the importance of performance, personal conflicts of interest and potential conflicts of interest, informal commitments, unauthorized commitments, and the ethics expected in relationships with the CO, COR management, and the contractor.

4.6.8. Reviews COR reports, files, and other documentation for completeness and accomplishment of duties. Ensures that the COR completes and uploads COR Reports to the JAM/SPM, as required, to enable the CO to review and approve/ reject reports in the JAM/SPM.

4.6.9. Performs, with participation of the COR and COR supervisor, a yearly administrative review of the COR's online file during the anniversary month of appointment, or more often, at the discretion of the CO.

4.6.9.1. The CO shall construct and upload a COR File Annual Checklist to the

JAM/SPM, after the COR is designated, comprised of the minimum requirements of DFARS PGI 201.602-2(d)(vi), and contract and COR-related documents necessary for the effective discharge of COR duties and responsibilities. The Checklist shall guide the COR in populating the online COR File, and serve as the basis for the CO to judge the accuracy and completeness of the COR file during each review.

4.6.9.2. Upon completion of each CO review of the online COR File, the CO shall document the results on the COR File Annual Checklist, and upload each Checklist review to the JAM/SPM.

4.6.10. Provides an assessment and/or feedback on COR performance to the COR’s supervisor. If the COR’s reports and performance are inadequate, discuss performance with the COR. If the reports and the COR’s performance continue to be inadequate, discuss the COR’s performance with the requiring activity or the COR’s management. If reports or performance continue to be inadequate, notify both the COR and requiring activity or COR management that the COR http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/af_afmc/affars/MP5301.602-2(d).htm#TopOfPage http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/dfars/PGI%20201_6.htm#P19_242 designation is (will be) terminated and request nominations for a replacement

COR.

4.6.11. Documents the termination of a COR designation due to transfer, retirement, or other causes in writing. Notice of termination must be executed by the CO, acknowledged by the COR and COR management and posted in the JAM/SPM.

In addition, the termination notice must be provided to the COR Coordinator who will provide notice to either the local JAG or OGC.

4.6.12. Ensures acquisition processes (i.e. market research, gathering past performance information, source selection, issuing solicitations, evaluating proposals and awarding the contract) are aggressively performed.

4.6.13. Advises the acquisition team on Quality Assurance Surveillance Plan development.

4.6.14. Ensures contract-specific refresher training is scheduled and provided to the

COR.

4.6.15. Participates in MFT meetings and advises the MFT.

4.7. Subject Matter Experts (SMEs) (i.e. Legal, Finance, Small Business, Engineering, etc) POCs: Other POCs shall coordinate, review and provide input as needed by the multifunctional team, and by participating as members when appointed.

4.8. Contractor:

4.8.1. Complies fully with the terms and conditions of the contract.

4.8.2. Participates as a member of the MFT in the post-award management phase if requested.

4.8.3. Maintains and implements a Quality Control Plan (QCP) that compliments the performance plan if requested.

4.8.4. Ensures that non-conforming contract services are identified and corrected and that the QCP is revised to prevent recurrence.

4.8.5. Tenders to the Government for acceptance only those services that conform to contract requirements.

4.8.6. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

5. PERFORMANCE MANAGEMENT (CONTRACT ASSESSMENT):

http://sam.dau.mil/Content.aspx?currentContentID=qasp

The COR will use random monitoring to verify contractor performance. The COR will conduct an initial meeting within 45 days of award with the contractor, and thereafter meet informally on at least a monthly basis.

5.1. Metrics: Metrics will be established to measure contractor compliance to contractual requirements. These metrics will be based in part on the deliverable requirements identified in the PWS, contractor reporting requirements, contractor and government relationship, and overall government satisfaction of contractor work performance.

5.1.1. Market research will be used as a tool throughout the life of the contract to ensure the most current, efficient, and effective assessment methods and techniques of the commercial marketplace are applied to the performance of services under the contract. At a minimum, market research (including an informal survey of customers) will be conducted annually prior to exercising the option for an additional performance period. The results of the market research/survey of customers will be utilized in making the decision as to whether it is appropriate and in the Government’s best interests to exercise the option. These results will be documented in the CO’s Determination and Findings (D&F) supporting option exercise if that course of action is selected.

5.1.2. MFT meetings will be scheduled throughout the life of the contract. Attendees at specific team meetings will vary based on the circumstances or issues to be covered at each meeting. Continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the customer.

Team members will consider whether the contract includes tasks which are no longer required; whether there are needs related to the contract’s purpose which are not covered by the contract; and whether any customer regarding contract scope have been received. The success of the contract is dependent upon a combined effort of all members of the MFT.

5.1.3. To evaluate the effectiveness/success of the contract, a customer survey will be conducted prior to exercising the contract option period. The survey may address the following, but not limited to:

5.1.3.1. Are you satisfied that the contract and as currently written, are meeting your objectives?

5.1.3.2. Do you feel the contract is meeting the schedules, and costs and performance as expected?

5.1.3.3. Are there any changes that need to occur to improve the contract?

5.1.3.4. Are there any complaints regarding the contract?

5.1.3.5. Is customer service meeting your expectations?

5.1.3.6. Any other comments regarding the contract?

5.1.4. All performance assessment data will be reviewed. If performance improvement is necessary, the corrective action will be requested from the contractor.

5.1.5. There will be no positive incentive other than award of the option years, and any negative incentive will be accomplished via FAR 52-246-4 Inspection of Services, fixed price or by entry of appropriate reports in CPARS.

5.2. Initial Performance Review:

5.2.1. The initial evaluation of contractor performance shall take place within 30 days after the contractor assumes full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

5.2.2. Initial Performance Review Criteria:

5.2.2.1. Technical. Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, safety, or health standards).

5.2.2.2. Schedule. Assess the timeliness of the contractor against contract requirements, task orders, milestones, delivery schedule, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

5.2.2.3. Management/Performance. Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

5.2.2.4. Staffing. Assess the contractor’s performance in selecting, retaining, supporting and replacing when necessary, personnel.

5.2.2.5. Special Interest Items. Assess any significant modification to the contract made since contract award.

5.2.3. Assessment Values:

5.2.3.1. Green—No issues.

5.2.3.2. Yellow—Issue(s) but contractor has an adequate mitigation or corrective action plan in place.

5.2.3.3. Red—Issue(s) with inadequate or no contractor’s mitigation or corrective action plan. Any “red” assessment shall include the Government proposed actions with respect to the failing contractor

5.3. Performance Deficiency Resolution: If discrepancies are found during performance, the COR shall notify the Contractor’s Team Lead immediately upon discovery.

Whenever possible, performance deficiencies should be resolved at the lowest practical level. The COR shall determine the type of deficiency notification to issue based on the severity of the deficiency. The contract file shall be documented to reflect the type of notification issued, the name of the individual contacted and date of notification.

5.4. Nonconforming Services: Nonconformance is defined as any condition or characteristic in any supply or service furnished under this agreement that does not comply with a requirement of this contract. A nonconforming item is an item submitted to the Government for acceptance with a nonconformance. CORs will classify nonconforming supplies or services as critical, major, or minor based on the impact of the proposed nonconformance.

5.5. Contractor Proposed Acceptance: A nonconforming item will only be for a specific number of units or for a specified period of time. A written Contractor proposal for acceptance of nonconforming items enables the Government to determine the impact on performance, operational readiness, logistics support or other affected areas. The use of a nonconforming item shall only be approved for the express benefit of the Government for a time defined until the nonconformance is corrected. Adequate consideration shall be required.

5.6. Inform Contractor’s Contract Manager: The COR must always contact the contractor’s manager and inform the manager of any deficiency that was observed. This may be accomplished in person or electronically, but any verbal communication must be supplemented by submission of a Customer Complaint Record (CCR) or Corrective Action Report (CAR). The contractor will annotate on the report provided by the COR the Corrective Action (CA) the contractor will take to correct the defect and prevent its recurrence, and will return the completed report to the COR.

5.7. Contracting Officer Notification: If at any time the COR identifies a

“nonconformance”, which IAW FAR Part 46.101, means a nonconformance, the COR shall document their findings and notify the CO in writing. Email is acceptable, but deficiency should be followed up in writing on designated form and submitted with monthly inspection reports. All documentation will be uploaded to the JAM/SPM.

5.8. Performance Deficiency Notification: There are three types of notification: verbal notification, written notification, and CAR:

5.8.1. Verbal notification is primarily used for minor discrepancies or tasks that can be re-performed.

5.8.2. Written notification is used when verbal notification does not result in correction or whenever the COR determines that written documentation is necessary. The notification will contain the statement, “Notice to Contractor: Failure to correct may result in a Corrective Action Report (CAR).”

5.8.3. A CAR will be initiated by the COR when previous notifications failed to result in corrective actions or when severe deficiencies exist. The CAR will be forwarded to the CO through the COR for action.

5.9. Remedies for Non-Conformance: If inspections indicate unacceptable performance, the COR will process a discrepancy record of the deficiencies to the contractor for correction. The contractor shall be given an appropriate time frame as stated in the PWS after notification to correct the unacceptable performance. If deficiencies are not corrected within the required time frame, the COR will contact the contractor for resolution or status. If the contractor disagrees with the noted discrepancy and an agreement cannot be reached, the discrepancy record will be sent to the CO for decision and validation. When re-performance is not possible or corrective action is not performed to acceptable levels, contract price may be reduced to reflect the reduced value of the services performed by contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service or:

5.9.1. Decrease the invoice amount in relation to performance

5.9.2. Terminate the contract

5.10. Price Reduction Computation (if applicable): The CO will determine the action to be taken against the contractor, such as reductions in fee/price in accordance with the FAR 52.246-4, Inspection of Services – Fixed Price. The CO’s disposition of the deficiency will be annotated on the form and the COR and contractor will be notified of action.

6. Performance Assessment:

6.1. Following is the approach, the team will use to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

6.1.1. A Services Summary (SS) will be included in the PWS. This document will summarize the performance objectives and performance thresholds required by the Government in the contractor’s performance. These performance objectives will directly relate to mission essential items. The performance thresholds briefly describe the minimum acceptable levels of service required for each objective, and are critical to mission success.

6.1.2. The COR will perform QA procedures following this QASP.

6.2. Combating Trafficking in Persons (DFARS PGI 222.17) The contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons (CTIP). The COR will monitor contractor’s performance regarding trafficking in persons such that non-compliance with CTIP is brought to the immediate attention of the CO. All DoD military and civilians must receive CTIP awareness training; it is highly recommended that DoD contractors receive CTIP awareness training. The military has zero tolerance for human trafficking.

CORs are to report all violations to their CO immediately, and keep a log for annual review of all concerns. The CO shall convey the information to the DoD CTIP Law Enforcement Support Office of Under Secretary of Defense (OUSD) Personnel and Readiness (P&R) Defense Human Resources Activity (DHRA). http://ctip.defense.gov.

6.3. Awards and Recognition Please reference the guidance in DoDI 1400.25-V451, para

3.g & h and under Enclosure 3 of the same instruction, para 11.b.(2) & (3) for official guidance.

6.3.1. Frequently, the subject of what can be done to recognize and award contractor personnel comes up. The regulations that authorize awards to government employees do not apply to contractor personnel. If individual contractor personnel have performed exceptionally well or made a contribution that significantly exceeds the terms of the contract, the government may acknowledge that contribution by a letter to the individual’s company. This “letter of appreciation” must be coordinated with the cognizant contracting officer who will send it to the contractor. The contractor will then present it to the employee. The contracting officer must ensure, prior to coordination, that 1) the letter of appreciation does not conflict with any CPARs information and the recognition cited does not exceed the scope of the contract.2) the letter has been reviewed by the local ethics official to ensure the language does not improperly imply endorsement of the contractor.

6.3.2. In addition, numerous contractual and legal reasons limit the recognition of individual contract personnel. These include issues involving contract administration and past performance evaluations; statutory limitations on personal services contracts, and the need to clearly delineate contractor personnel and government employee roles; limitations under the Joint Ethics Regulations and other DoD guidance; the terms and conditions of contracts and the nature of the services the government is buying; and specific Air Force guidance. In order to fully understand this issue, we must review the relationship between the contractor and the government and the appropriate mechanisms available to reward contractor performance.

http://ctip.defense.gov/

6.3.3. The government generally acquires nonpersonal services. Through their individual contracts, contractors provide a capability that must be tied to the contract statement of work. Contractor personnel are subject to the laws that apply to all individuals (such as bribery), the terms and conditions of their individual employment agreements with their employer and with the applicable terms and conditions of their employers’ contract with the government. Under a nonpersonal services contract, the contract employer sets forth the employee’s compensation, benefits and rewards. Under this arrangement, it’s the contractor’s duty to incentivize its employees and to increase morale and productivity.

6.3.4. The government constantly monitors and records a contractor’s demonstrated record of contract compliance in supplying products and services that meet users’ needs. Ultimately, good performance is rewarded by either explicit financial incentives (such as an award fee) or indirectly by way of positive CPARs, which garner future business. Future business may very well come by the extension of the present contract through exercise of an option. The use of local awards programs for individual contractor personnel performance could potentially undermine the formal regulatory framework for monitoring such performance.

The employee awards program ostensibly rewards superior individual effort.

While this appears equitable to the individual, the government ultimately depends on the output of the contractor as one entity. A situation could arise whereby the local contractor personnel are rewarded, but overall the contract performance is inadequate. In such a situation, a poor contractor CPAR on a specific contract would seem inconsistent with individual employee awards, resulting in confusion and potential litigation. It is up to the contractor to determine how awards/rewards are passed on to its individual employees.

7. Revisions: Revisions are the responsibility of the MFT. The COR reviews the PWS and

QASP periodically for any required changes and shall provide any proposed changes to the MFT for review. Any proposed changes shall be submitted to the CO for approval prior to implementation. Revisions to the QASP are the joint responsibility of the MFT and are only accomplished with the approval of and by the CO. This is a living document and can be changed at anytime, but the CO must accept changes.

MULTI-FUNCTIONAL TEAM MEMBERSHIP

Solicitation/RFP/Contract Number __________________ Type of Service: _________________________________

[Printed or typed name]

FC/FD:

Frederick Fahlbusch COR Supervisor:

Robert Kraetsch Program Manager:

Robert Kraetsch Primary COR:

[Printed or typed name] Alternate COR**:

Nabila Ivaldi Contract Specialist:

Anthony Rogers

QAPC:

[Printed or typed name] Financial Analyst**:

[Printed or typed name] Legal**:

[Printed or typed name] Contractor*:

Shannon Ozoria Accepted By:

Contracting Officer

* Optional -Contractor (signs after award) will have limited participation on the MFT, so as to not be involved in any inherently governmental responsibilities.

** As applicable

ASSESSMENT MANAGEMENT

SERVICES SUMMARY (SS)

PERFORMANCE OBJECTIVES, PERFORMANCE THRESHOLDS,

METHODS OF SURVEILLANCE AND REMEDIES

Performance Objective

PWS

Para.

Performance Threshold

Method of Surveillance Remedy

SS-1

AFW Strategy Objectives

2.1., 2.2., 2.3., 2.4.

Deliver a publishable (MS Office Format) electronic version of the complete AFWO Strategy Objectives 100 % of the time with graphics, key messages, and the roles of the EC, MIG, DAG, CMP, and OWGs incorporated for use by current and future council, working group, and panel members to address the 39 objectives in the AFW Vision (Strategy) Document.

Customer Complaint Periodic Surveillance

Reperformance, Monetary Deduction

SS – 2

EC and Working Group

2.1., 2.2., 2.3., 2.4.

Deliver a publishable (MS Office Format) plan(s) to facilitate effective and efficient conversations to achieve more informed decisions and increased progress toward objectives.

This facilitation support could be at all or some levels and focused on a working group or problem set up to objective prioritization decisions at the EC level for use by current and future council, working group and panel members.

Customer Complaint Periodic Surveillance

Reperformance, Monetary Deduction

SS –3 Facilitate Meetings

2.1., 2.2., 2.3., 2.4.

Facilitate 100% of requested EC and Working Group (WG) meetings. Utilize feedback tools and techniques 100% of the time for all meetings.

Customer Complaint Periodic Surveillance

Reperformance, Monetary Deduction

* The procedures set forth in the Inspection of Services Clause will be used to remedy all deficiencies. The re-performance times will be based upon sensitivity of the issue.

NOTE: The timeframes for re-performance should be established by the MFT, for the Services Summary items when the PWS and QASP are written.

If service cannot be re-performed this should be stated.

QUALITY ASSURANCE

SURVEILLANCE PROCEDURES

1. Introduction: These Surveillance Procedures have been developed to implement AFI 63-

138, Acquisition of Services. They are designed to provide the COR instructions on how to perform surveillance and document findings on this contract for the Strategic Change Management Consulting Service contract.

1.1. Under FAR 52.246-4, Inspection of Services-Fixed Price, the COR has the right to inspect any aspect of contractor performance at any time during the contract, whether or not it is included in the Services Summary (SS). Sample formats start on page 22 of this document.

1.2. Any nonconformance with contract requirements is a “defect.” The term “defective” is used in reference to a service output in the SS that does not meet the outputs associated with the standard.

1.3. This QASP is based on the premise that the contractor, not the Government, is responsible for the management and quality control actions required to meet the terms of the contract. The Performance Thresholds recognize that the contractor is not a perfect manager and that unforeseen and uncontrollable problems do occur. CORs are to be objective, fair, and consistent in evaluating contractor performance against the standards.

1.4. Following is the approach the team will use to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

2. Perform Surveillance: The four (4) methods of surveillance are explained below.

2.1. Customer Complaint: When the customer (using activity/facility) discovers unacceptable performance or a defect in service, the customer will prepare a Customer Complaint Record (CCR) identifying the discrepancy. The customer will keep one (1) copy and forward a copy to the COR either manually or electronically. The COR will review the item and determine if the complaint is contractually valid. If valid it is forwarded to the contractor for corrective action (CA). The customer complaints may be submitted on the CCR, (Sample formats start on page 22 of this document). If a customer notifies the COR either verbally or in writing (including email) of a complaint, but does not submit a CCR, the COR will generate a CCR to document the complaint.

The CCR will then be submitted to the contractor for his CA. When the contractor documents the CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of dispositioned CCRs to the COR and the contractor for their records.

2.1.1. In addition, the COR or individual customers may from time to time wish to submit positive feedback about the contractor’s performance under the contract.

This positive feedback may be submitted on the Customer Feedback Record (CFR), (sample formats start on page 22 of this document).

2.1.2. In the event that the COR wants feedback from every customer/service location each month, those customers with no complaints should submit their feedback on a CFR.

2.2. Periodic Surveillance: When periodic surveillance is used, inspections shall be performed at the frequency identified for each SS item, and is on other than a 100% or statistically random basis. The frequency of inspection is established (i.e. daily, weekly, monthly, quarterly) but the specific time of occurrence need not be specified. When the COR discovers unacceptable performance or a defect in service, he/she will generate a Corrective Action Report (CAR) identifying the discrepancy. The CAR will then be submitted to the contractor for CA. When the contractor documents the CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of dispositioned CARs to the COR and the contractor for their records.

2.3. Random Sampling: In random sampling, the COR uses a statistically based sample pattern. When the COR discovers unacceptable performance or a defect in service, he/she will generate a CAR identifying the discrepancy. The CAR will then be submitted to the contractor for CA. When the contractor documents the CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of dispositioned CARs to the COR and the contractor for their records.

2.4. 100% Surveillance: In this surveillance method, the COR inspects 100% of the work.

When the COR discovers unacceptable performance or a defect in service, he/she will generate a CAR identifying the discrepancy. The CAR will then be submitted to the contractor for CA. When the contractor documents the CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of dispositioned CARs to the COR and the contractor for their records.

3. COR (QUARTERLY) INSPECTION REPORT: The COR shall submit an assessment report utilizing the COR Tracking (JAM/SPM) and attach all applicable Corrective Action Reports, Performance Assessment Reports, and validated customer complaints and upload to the JAM/SPM for the CO and COR Supervisor and/or FC/FD no later than 5 working days following the month in which the actual surveillance occurred. The report shall be signed and dated by the COR and provided to the COR Supervisor and/or FC/FD regularly for review, prior to loading the information to the JAM/SPM. Validated customer complaints and all documentation will be used to support Contractor ratings (e.g., in the Contractor Performance Assessment Rating System (CPARS) (mandatory if contract is over 1 million).

4. Invoicing: The contractor shall submit invoices following the instructions in the contract.

4.1. The COR will certify receipt of contractor services via the Wide Area Workflow eBusiness website application.

4.2. CORs are responsible for obtaining, scheduling, and completing WAWF training from the Base Accounting and Finance Office. The email is: usaf.jbanafw.afdw-staff.mbx.afdw-fmo-eda@mail.mil.

5. Revision To The Quality Assurance Surveillance Plan: Revisions to the QASP are the joint responsibility of the MFT. This is a living document and can be changed at any time by the COR and CO.

mailto:usaf.jbanafw.afdw-staff.mbx.afdw-fmo-eda@mail.mil mailto:usaf.jbanafw.afdw-staff.mbx.afdw-fmo-eda@mail.mil

SS-1 Configure Database PWS Paragraph(s)1.D.1.a.

1. METHOD OF SURVEILLANCE: Customer Complaint

2. FREQUENCY: [state how often surveillance is: daily, weekly, monthly, quarterly—should not be longer than quarterly]

3. PERFORMANCE THRESHOLD: Performance is acceptable when there is no more than one COR-validated customer complaint per database per month of failure to correctly configure a database element. Performance is unacceptable when there are two or more COR-validated customer complaints per database per month of failure to correctly configure a database element.

4. INSPECTION PROCEDURES:

a. If the complaint is not received on a Customer Complaint Record (CCR), the COR will complete a CCR. If needed, the COR will contact the complainant to determine the validity of the complaint using the applicable PWS requirement. If any Government action or lack thereof was cause for the unacceptable performance, the deficiency will not be counted as a defect.

b. If the COR validates that performance was unacceptable, the complaint (deficiency) will be submitted to the contractor’s representative. Contractor will be requested to sign and date the CCR and state what Corrective Action (CA) will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the complaint, the COR shall annotate on the CCR the contractor’s representative’s name, as well as the date and time of notification.

c. When the contractor documents the CA, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of dispositioned CCR(s) to the COR and the contractor for their records.

d. The contractor will be required to correct, if possible, all defects detected by the COR.

The contractor must manage the CAs as deemed necessary to provide services in conformance with contractual requirements. If correction of the defect requires re-performance of the service, the COR shall perform re-inspection(s) to determine if the contractor adequately re-performed and service is acceptable.

e. The COR will submit all documentation to the COR Supervisor and/or Functional

Commander/Director for review/coordination regularly, before forwarding it to the CO, ensuring receipt by the 5th workday of the following month. The COR shall keep a copy of all documentation (which includes contractor response to deficiencies, CO disposition of contractor’s CA, etc) in his/her contract files prior to forwarding the originals. If the contractor is not required to perform any service during the month, a negative report is required.

SAMPLE

SS - 4 Maintenance and Enhancement of COLT/PDL

PWS Paragraph(s): 1.4.3, 1.4.4, 1.4.5 and 1.4.7

1. METHOD OF SURVEILLANCE: Periodic Surveillance

2. SAMPLE FREQUENCY: [state how often surveillance is: daily, weekly, monthly, quarterly—should not be longer than quarterly]

3. PERFORMANCE THRESHOLD: Performance is acceptable when there is are COR-validated failures of delivery of maintenance and enhancement of COLT/PDL.