Attch 3 -- CNGT Operations Logistics and Training Support IDIQ QASP Final.pdf

BY ORDER OF THE HQ ACC ACQUISITION

DIRECTOR MANAGEMENT AND

INTEGRATION CENTER

22 October 2021

CNGT Operations, Logistics, and Training Support IDIQ

FA4890-21-R-0019

Quality Assurance Surveillance Plan Revision 0

COMPLIANCE WITH THIS DOCUMENT IS MANDATORY

NOTICE: This Document is available in digital format through ACC AMIC/DRQC

OPR: ACC AMIC/DRQC Reviewed by: ACC AMIC/PMTA William McKee David Coburn Contract Officer Representative (COR) Program Manager Quality Assurance Program Coordinator (QAPC)

Accepted by: ACC AMIC/PKDB Tracy Allen Contracting Officer

CNGT Operations, Logistics, and Training Support IDIQ FA4890-21-R-0019

TABLE OF CONTENTS

Section Page

1.0 SCOPE 3

1.1 Authority 3

1.2 Purpose

1.3 Related Documents

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL 4

2.1 Contract Management Location 4

2.2 Contract Management Team 4

2.3 Contractor Key Personnel 5

3.0 CONTRACT SURVEILLANCE 5

3.1 Surveillance Methods 5

3.2 Surveillance Documents 6

3.3 COR Audits

3.4 System for Award Management (SAM)

4.0 CONTRACT PERFORMANCE REPORTING 10

4.1 Non-conformances

4.2 COR Monthly Reports

4.3 Wide Area Work Flow (WAWF)

5.0 CONTRACTING OFFICER REPRESENTATIVE FOLDER

SERVICES SUMMARY PERFORMANCE OBJECTIVES

ADDITIONAL INFORMATION/TOOLS

TABLES

1 Contract Deliverables 6 2 Services Summary 8 3 Non-conformance Notifications 10 4 COR Folder Tabs & Contents 13

1.0 SCOPE: The Quality Assurance (QA) Surveillance Plan (QASP) is applicable to personnel performing contract surveillance inspections in accordance with (IAW) Federal Acquisition Regulation (FAR) Part 46, Quality Assurance; Department of Defense Instruction (DODI) 5000.72 DoD Standard for COR Certification; DOD FAR Supplement (DFARS) Subpart and PGI 201.602-2 , COR; Air Force FAR Supplement (AFFARS) Mandatory Procedures (MP) 5301.602-2(d) Designation, Assignment, and Responsibilities of a COR; Air Force Instruction (AFI) 63-138, Acquisition of Services; and organizational policy. It is designed to provide the COR a systematic surveillance method for each service identified in the Performance Work Statement (PWS) or Statement of Work (SOW).

1.1 AUTHORITY: The following FAR references/clauses provide authority for this QASP:

52.246-2. Inspection of Supplies--Fixed Price 52.246-3, Inspection of Supplies Cost-Reimbursement 52.246-4, Inspection of Services - Fixed-Price 52.246-5, Inspection of Services - Cost-Reimbursement 52.246-11, Higher-Level Contract Quality Requirement 52.246-12, Inspection of Construction 52.246-13, Inspection--Dismantling, Demolition, or Removal of Improvements

FAR 12.301(b)(3) authorizes the Contracting Officer (CO) to tailor Clause 52.212-4 IAW FAR 12.302 -- Tailoring of Provisions and Clauses for the Acquisition of Commercial Items. In the case of this contract, the clause is tailored to institute 52.246-2 and 52.246-4 and requires the Contractors to maintain an inspection system acceptable to the USG and that only those supplies/services tendered for acceptance conform to the requirements of this contract.

FAR 46.202-3, Standard Inspection Requirements are contained in the clauses prescribed in 46.302 through 46.308, and in the product and service specifications that are included in solicitations and contracts. The aforementioned clauses in this section- (1) Require the contractor to provide and maintain an inspection system that is acceptable to the Government; (2) Give the Government the right to make inspections and tests while work is in process; and (3) Require the contractor to keep complete, and make available to the Government, records of its inspection work.

FAR 46.401, USG Contract QA. This clause directs that USG contract QA shall be performed as necessary to determine that the supplies or services conform to contract requirements. QA surveillance plans will be prepared, and should specify the work requiring surveillance and the method of surveillance.

FAR 46.407 -- Nonconforming Supplies or Services – This clause states “the contracting officer should reject supplies or services not conforming in all respects to contract requirements (see 46.102). In those instances where deviation from this policy is found to be in the Government’s interest, such supplies or services may be accepted only as authorized in this section. The contracting officer ordinarily must give the contractor an opportunity to correct or replace nonconforming supplies or services when this can be accomplished within the required delivery schedule. Unless the contract specifies otherwise (as may be the case in some cost-reimbursement contracts), correction or replacement must be without additional cost to the Government. Paragraph (e)(2) of the clause at 52.246-2, Inspection of Supplies-

Fixed-Price, reserves to the Government the right to charge the contractor the cost of Government reinspection and retests because of prior rejection”. Please see the full clause for additional details.

FAR 46.501 – Acceptance (General) Acceptance constitutes acknowledgment that the supplies or services conform to applicable contract quality and quantity requirements, except as provided in this subpart and subject to other terms and conditions of the contract. Acceptance may take place before delivery, at the time of delivery, or after delivery, depending on the provisions of the terms and conditions of the contract. Supplies or services shall ordinarily not be accepted before completion of USG contract QA actions. Acceptance shall ordinarily be evidenced by execution of an acceptance certificate on an inspection or receiving report form or commercial shipping document/packing list.

1.2 PURPOSE: This QASP provides a systematic method to assess and evaluate the services received from the Contractor; however, this QASP is not considered part of the contract. It defines the policy, procedures, and associated methods used by Multi-Functional Team (MFT) for planning, preparing, performing, analyzing, and reporting Contractor performance. In the event this QASP conflicts with the contract or task order (T/O), the contract or T/O shall take precedence.

1.3 Related Documents:

• FA4890-21-R-0019 Solicitation & PWS

• Contractor’s Quality Management System (QMS)

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL.

2.1 Contract Management Location. The address for Quality and Contracting Management is:

ACC AMIC

300 Exploration Way

Hampton, VA 23666

2.2 Contracting Management Team.

2.2.1 Contracting Officer. CO duties are detailed in FAR subpart 1.602-2, COR, and AFFARS MP5346.103, Contracting Officer Responsibilities. The CO is the only USG agent authorized to award or modify contracts; therefore, the CO is the only person authorized to contractually obligate the USG.

The CO is also the individual who will sign any notifications to Contractors regarding performance issues and accepts USG surveillance methods used under the award. The CO approves/appoints all CORs assigned by COR Management. Please refer to Teams for CO information.

2.2.2 Contract Manager (CM). The CM is the USG agent within the contracting office who performs day-to-day administration of the contract. The CM may also be the CO if the person has a warrant.

Please refer to Teams for CM information.

2.2.3 Program Manager (PM). The PM assists customers with requirements development and definition, PWS modifications, deficiency resolution, and portfolio management. Please refer to Teams for PM information.

2.2.4 QAPC/Quality Manager (QM). The QAPC assists the CO and QM in managing the overall QA program and supports customers in developing and adhering to contract QASPs. Please refer to Teams for QAPC information.

2.2.5 Contracting Officer’s Representative (COR). The COR is ultimately responsible for implementing all QA matters and procedures. COR(s) should be at a level where other duties don’t prevent proper oversight of Contractor performance. The COR must maintain both technical competency and evaluation proficiency in Contractor surveillance procedures. The COR cannot assume duties until assigned by the requiring agency, completed COR required training, and appointed by the CO.

2.3 Contractor Key Personnel.

2.3.1 Project Manager (PM). The Contractor’s PM information will be maintained in a separate table.

. The PM is responsible for the overall execution of the T/O. This individual will serve as the focal point for the CM/CO and/or PM assigned to the contract and may interface with the customer, as needed. Please see spreadsheet in the contract files for the list of current PMs.

2.3.1 Quality Manager (QM). The Contractor’s QM information will be maintained in a separate table. The QM is responsible for the overall management and execution of all quality aspects of the T/O. This individual will serve as the focal point for the CORs assigned to the contract and may interface with the customer, as needed. Please see spreadsheet in the contract files for the list of QMs.

3.0 CONTRACT SURVEILLANCE. The COR is responsible for a wide range of surveillance requirements that effectively measure and evaluate Contractor performance. The Contractor, not the USG, is responsible for contract performance management and Quality Control (QC) actions to meet the terms of the contract. However, because of the non-commercial nature of the work performed by Contractors and delivery/performance locations, the USG cannot rely solely on the Contractor’s quality program but must have a method to oversee performance/deliveries for the entire contract. The USG does this through the QASP and can inspect or test all services/training/deliveries/procurement called for by the contract, to the extent practicable, at all times and places, during the term of the contract.

Additionally, refer to the last page of documents for a link to the COR Handbook.

3.1 Surveillance Methods. Four methods of surveillance may be used for Contractor compliance verification: One Hundred Percent Inspection, Periodic Audits, Customer Feedback and Random Sampling. Other methods of surveillance must be fully documented, reviewed by the QAPC and approved by the CO before implementation. Information obtained from these activities may be used by the MFT to ascertain whether Contractor performance is compatible with contract and mission objectives and by the CO for actions relating to the Contractor.

3.1.1 One Hundred Percent Inspection. (This will be the primary method for deliverables and changes in key personnel on this contract) This method will be used for Contractor submissions, products, and deliverables (tangible items) and KSA reviews for key personnel. CORs will use the One Hundred Percent Inspection method to evaluate all reports delivered as described in table 2 and associated paragraphs of the IDIQ PWS. The COR, with assistance from the MFT if necessary, accepts or rejects these products based on the criteria and performance standards as outlined in the Services Summary.

3.1.2 Periodic Audit. This type of surveillance consists of COR evaluating products/services not surveilled via One Hundred Percent Inspection or Customer Feedback. Periodic Audits are implemented to meet COR-defined reporting requirements.

3.1.3 Customer Feedback. (Primary surveillance method for performance on this contract) The COR will receive and validate Customer Feedback as a surveillance method. Validation of Customer Feedback may consist of reviewing Contractor-provided deliverables, invoices, and contacting points of contact at, or near, the point of delivery. No action will be taken using Customer Feedback without prior validation. NOTE: There are a multitude of deliverables produced by the contractor on an as required basis as described in paragraph 2. The requestor of the deliverable (typically the PMs or CORs) review the deliverable(s) to include suspenses and provide input to the COR.

3.1.4 Random or Stratified Sampling. Random sampling works best when the number of instances in which the supplies or services is very large, thereby allowing a statistically valid sample to be obtained. Stratified sampling focuses on selected parts of total contractor output for sampling. The advantage is that the results can be projected to the lot, without inspecting the entire lot. Additionally, refer to the last page of this document for a link to the random number generation tool that will generate a non-biased sampling population for inspections.

3.2 Surveillance Documents

3.2.1 Deliverables. All 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 the next business day.

Table 1 – Contract Deliverables Deliverable Details

Minimum Guarantee

Management/Staffing Plan

Reference: ID/IQ Request for Proposal (RFP); PWS paragraphs 3.4.6.1 and 3.4.6.2 Due Date: The plan shall be submitted as part of the ID/IQ Proposal and will be incorporated into the ID/IQ contract.

Delivery: The plan shall be delivered IAW the specified PWS paragraphs and IAW the criteria established in the ID/IQ RFP.

Updates (N/A for Minimum Guarantee): See PWS paragraphs 3.4.6.2.3 and 3.4.6.2.4

Subcontractor List

Reference: PWS paragraph 3.4.6.3 Due Date / Delivery: The Contractor shall provide a Subcontractor List as part of the ID/IQ proposal. The Subcontractor List will be incorporated into the ID/IQ contract.

Updates: See PWS paragraph 3.4.6.3

ID/IQ Kick-off Meeting Reference: PWS paragraphs 2.3.6 and 3.4.6.4 Due Date: The Contractor shall attend the Kick-Off Meeting with the Government as coordinated with and by the Government.

QMS

Property Management Plan

Reference: ID/IQ RFP; PWS paragraphs 3.4.6.5 and 3.4.6.6 Due Date / Delivery: The Contractor shall provide an outline of the QMS as part of the ID/IQ Proposal. The Contractor shall deliver all QMS supporting documentation and a complete Property Management Plan to the Government PM and COR NLT 30 calendar days after ID/IQ contract award.

Updates: See PWS paragraphs 3.4.6.5.3 and 3.4.6.6.1, respectively

Contractor-identified Concerns/Issues

For use at Order level only, as applicable Reference: PWS paragraph 3.4.6.7, and as specified in applicable Orders

System for Award Management (SAM)

Reference: PWS paragraph 3.4.6.8 Due Date / Delivery: The Contractor shall report all Contractor labor hours (including Subcontractor labor hours) required for performance of services provided under this contract by completing all required data fields at https://www.sam.gov/SAM/.

Individual Subcontracting Report and/or Summary Subcontract Report

(ISR/SSR).

Reference: PWS paragraph 3.4.6.9 Due Date: The Contractor shall submit ISR/SSR using the Electronic Subcontract Reporting System (eSRS), currently at http://www.esrs.gov) IAW FAR 19.704(a)(10)(iii)(A) and guidance in eSRS.

Environmental, Safety and Health (ES&H) Plan

Reference: PWS paragraph 3.4.6.10 Due Date / Delivery: The Contractor shall provide an Environmental, Safety and Health Plan that includes an Environmental Protection Plan (EPP) and a Safety and Health (S&H) Plan to the Government PM and COR for Government review and acceptance NLT 45 calendar days after ID/IQ contract award.

Updates: See PWS paragraph 3.4.6.10

Mishaps

For Use to Order level only, as applicable Reference: PWS paragraphs 3.4.6.11 and 4.3, and as specified in applicable Orders Due Date / Delivery:

• The Contractor shall provide reports to the Government PM and COR on any security, ES&H or other mishaps (actual events) NLT than 48 hours post event, or IAW applicable guidance (ES&H, Security, etc., as applicable to the particular mishap), whichever is more stringent

• The Contractor shall provide written recommendations and corrective actions to the Government PM and COR within eight (8) calendar days of a mishap, unless otherwise approved in writing by the applicable COR, or IAW applicable guidance, whichever is more stringent

Quarterly Report For use at TO level as applicable

ID/IQ Contractor Information & Key Personnel Listing

Reference: PWS paragraph 3.4.6.13 Due Date / Delivery: The Contractor shall provide the specified Contractor information and key personnel information to the Government COR and PM NLT 30 calendar days after ID/IQ contract award.

Updates: See PWS paragraph 3.4.6.13.2

Compliance plan for FAR clause 52.222-50 Combating Trafficking in Persons

Reference: PWS paragraph 3.4.6.14 Due Date / Delivery: The Contractor shall submit a Combating Trafficking in Persons (CTIP) compliance plan upon award when an awarded contract/Task Order/Delivery Order meets the requirements specified in FAR Part 52.222-50 paragraph (h). The plan shall include all requirements as specified in section (h). Additionally, the Contractor shall submit a certification of compliance annually (based on award date) per section (h) (5).

https://www.sam.gov/SAM/ http://www.esrs.gov/

Documentation detailing compliance with DFARs clause 252.204-7012 Safeguarding Covered Defense Information and Cyber Incident Reporting

Reference: PWS paragraph 3.4.6.15 Due Date / Delivery: The Contractor shall submit documentation to provide confirmation of compliance with DFARs clause 252.204-7012 upon award and annually (based on award date) thereafter.

Annual Execution Report Reference: PWS paragraph 3.4.6.16 Due Date / Delivery: The Contractor shall submit the report by 15 October annually to cover the previous fiscal year ending 30 September.

Section 889 Compliance

Reference: PWS Paragraph 4.2.7 Due Date / Delivery: The Contractor shall submit documentation reflecting the status of security measures implemented to comply with NIST SP 800-171 requirement on day 1 of contract start and either annually or within 30 days after changes in the security posture.

3.2.2 Services Summary. The Services Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the COR will use to validate/inspect these tasks. Inspection of each task will be documented in the COR folder or the Surveillance and Performance Monitoring (SPM)/ Joint Appointment Module (JAM).

Table 2 Services Summary

Performance Objective Performance Standard Performance Threshold

Provide qualified people for ID/IQ and Order performance

PWS paragraph 2.4 and subparagraphs

Qualified personnel are in place at performance start, or as specified in the requirement.

Performance is acceptable when qualified personnel are in place for ID/IQ and Order performance with minimal to no delays in performance start, unless previously negotiated by the CO.

Retain key personnel with specified / awarded qualifications

PWS paragraph 2.4.5 and subparagraphs

Effectively replaces/substitutes key personnel, both Government-identified and Contractor-identified

Performance is acceptable when:

Vacancies do not exceed 30 calendar days after date vacancy occurs to submission of replacement candidate to PM and COR for CO acceptance AND (for OCONUS positions) simultaneous submission of Country Clearance Registration (CCR) to US Government IAW Foreign Clearance Guidance, unless otherwise approved in writing or directed in advance by the CO AND Key personnel hired by the Contractor to perform OCONUS work and submitted in the CCR adhere to the itinerary/plan in the approved CCR for performance start, unless otherwise approved in writing or directed in advance by the CO AND There is no mission impact (outside of the established / agreed upon timeline required to process OCONUS employees for in country performance) due to position vacancies or unqualified personnel

Performance Objective Performance Standard

Performance Threshold

Deliverables Management

PWS paragraph 3.4 and subparagraphs

Develop and submit all required deliverables

Performance is acceptable when:

100% of deliverable requirements are met and received on time* AND Information is current and accurate *Non-current or inaccurate deliverables (or those with conflicting information) may be considered late

Provide a proactive system of quality control and quality assurance practices and procedures that is effective in delivering only products and services that meet or exceed all cost, schedule and performance specification of this PWS and subsequent Orders

Develop, document, implement, maintain and continuously improve a comprehensive higher-level QMS that complies with the most current version of the ISO 9001 QMS standard.

Quality Management Representative is an ISO ASQ CQA per PWS paragraph 3.1.3.

Performance is acceptable when:

a. The Contractor is identifying and correcting internal non-conformances IAW their QMS

AND

b. No negative trends have developed without mitigating (corrective) action

AND

c. No major non-conformances are identified.

3.2.3 Contractor’s QCP. A Contractor's internal actions, in the form of a QCP, are typically written to satisfy contract requirements for written procedures or to provide direction on how Contractor employees are to perform. The COR will review the QCP IAW requirements of the solicitation and subsequent awarded contract, validating the contractor is keeping, and making available to the COR, complete records of its inspection work. Any deviations will be treated as deficiencies/non-conformances and handled IAW paragraph 4.1. The COR will review the QCP IAW requirements of the solicitation and subsequent awarded contract. The COR document the deficiencies as required.

3.3 COR Audits. The COR is authorized to perform audits (inspection/surveillance) at any time during contract performance IAW FAR clauses 52.246-2 and 52.246-4. CORs will assess contractor SS performance and document in SMP/JAM.

3.3.1 Evaluate Combating Trafficking In Persons (CTIP). The PM, CO, or COR will evaluate the Contractor’s submitted CTIP program at IDIQ award for sufficiency. The COR will monitor the Contractor’s performance regarding trafficking in persons such that non-compliance with FAR Clause 52.222-50, CTIPs, is brought to the immediate attention of the CO.

3.3.1.1 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 or other designated representative, immediately notify the CCMD responsible for the geographical area in which the incident has occurred; and

• Information for any investigation and enforcement may be made to:

DoD Inspector General Hotline at http://www.dodig.mil/hotline or 800-424-9098, http://www.dodig.mil/hotline

• CTIP 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, CTIP Hotline website at http://www.polarisproject.org.

• Issue a non-conformance.

3.4 System for Award Management (SAM) (Enterprise-wide Contractor Reporting Application (eCMRA) replacement). Effective FY2020, the DoD will no longer require contractors to report into the eCMRA. For FY 2020, contractors will begin reporting manpower data relating to the performance services contracts into the SAM (www.sam.gov). The new initiative will allow industry to report all manpower into a single Federal-wide portal, removing duplicative requirements; one for DoD and another for the rest of the USG, which requires the same data elements to be reported from industry for services contracts performed for both DoD and Federal civilian agencies that essentially perform the same function. The outcome will be a process that is less burdensome on both industry and USG, while improving data integrity and accuracy. Currently a DFAR Supplement rule is being drafted that will include a contract clause to implement the change. Further implementing guidance and information, to include a transition plan from eCMRA to SAM, will be distributed in the near future

4.0 CONTRACTOR PERFORMANCE REPORTING

4.1 Non-conformances. Audit or Inspection results that fall below contractual standards shall be identified as non-conformances.

4.1.1 Types of Non-conformance.

4.1.1.1 Minor Non-conformance. A minor non-conformance is a non-conformance, which does not adversely impact mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A minor non-conformance normally does not typically increase risk to the USG;

however, it may reach a moderate risk.

4.1.1.2 Major Non-conformance. A major nonconformance is a nonconformance that adversely impacts (or has the potential to impact) mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. This category of nonconformance typically increases risk to Moderate or High in a standard 5x5 Risk Assessment matrix. A major nonconformance will be documented and sent to the Contractor on a Corrective Action Request (CAR) form with a suspense date for the Contractor’s corrective action plan

4.1.2 Non-conformance Notification. If a 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 (see table below). Non-conformances pre-identified by the Contractor through the Contractor’s QCP/internal audit typically do not require a USG non-conformance notice; however, if the Contractor fails to take corrective actions in a reasonable period, then a non-conformance may be generated.

Table 1 – Non-conformance Notifications

Non-conformance Category Notification Type Minor

Step 1: First Notice Step 2: Second Notice http://ctip.defense.gov/ mailto:ctipreports@osd.pentagon.mil http://www.polarisproject.org/ http://www.sam.gov/

4.1.2.1 First or Second Notices. As shown in Table 3, First and Second Notices provide written notification from the USG 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 should coordinate with the MFT prior to issuing a non-conformance. Minor non-conformances may be sent directly to the contractor by the COR, with a courtesy copy (cc) to the MFT. Additionally, the non-conformance will be documented in SPM/JAM as part of the monthly/quarterly input. If the Contractor fails to respond by the specified due date, the COR should contact the contractor to determine what caused the late response. If the contractor continues to be non-responsive or fails to resolve the issue as documented in the notice, the non-conformance may be elevated to the next level.

4.1.2.2 Corrective Action Request (CAR). As shown in Table 3, a CAR provides written notification from the USG to the Contractor of significant performance discrepancies. The COR will draft the CAR and coordinate with the PM/MFT for review as necessary. Once the review is final, the CAR will be sent to the CO or sent to the Contractor dependent on the CO’s policy. The CAR will be routed NLT ten duty days (Goal; many issues beyond the control of the COR) after the event.

4.1.2.2.1 To satisfactorily close-out a CAR, the following criteria must be met:

• The Contractor must meet the suspense, and

• The corrective action must have already begun, and

• The Contractor's actions must correct the deficiency, and

• If applicable, be within specified standards.

4.1.2.2.2 If the corrective action is deemed UNSATISFACTORY or only partially acceptable, annotate the CAR accordingly and forward it to the MFT with a brief explanation. Once reviewed follow the guidance in 4.1.2.2.

4.1.2.2.3 The COR will maintain a non-conformance log documenting all First Notices, Second Notices and CARs.

4.1.2.2.4 NOTE: At any time during the issuance, contractor response or review of a first or second notice the Government or Contractor may provide evidence that clearly substantiates why the nonconformance should be rescinded. Upon review by the COR and PM (as a minimum) and concurrence, the nonconformance may be rescinded and the documentation shall clearly identify it as being rescinded. Additionally, the Contractor and all interested team members shall be notified by the COR or PM. The same process is used when a CAR is issued; however, the Contracting Officer shall notify the contractor and all interested team members, unless delegated to the COR or PM.

4.2 COR Monthly Report: The COR will complete HQ ACC AMIC’s in SPM/JAM.

4.2.1 The COR certifies the essential services accomplished by the contractor and documents any issues or non-conformances that were identified during the month.

4.3 Wide Area Work Flow (WAWF).

Major Corrective Action Request (CAR)

The COR will review (inspect) all Receiving Reports submitted by the Contactor, complete the invoice checklist, validate funding, and provide to the PM.

4.3.1 Validating Receiving Reports (RR). The COR will review and validate all WAWF RR (Shipment Number in WAWF) ensuring that:

• See Contract – 52-212-4 (g-i)

• The report reflects the correct contract and T/O 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 (Firm Fixed Price (FFP), Labor Hour, Travel, Materials)

• The correct amount is charged, to include applicable handling rates

• Invoiced travel was pre-approved

• Back-up documentation is attached that includes a Contractor invoice with current and cumulative hours (for FFP level of effort (LOE) contracts) and amounts, as applicable

• A breakout of any other charges, as agreed to by the CO or required by the T/O, is attached in

WAWF

4.3.2 Certifying and Accepting Receiving Reports (RR). The appointed COR performs inspection of services. After validation of services is performed by the QM, the QAPC/QM will complete a CNGT CHECKLIST form as verification that the invoice was accurate. In turn, the form will then be forwarded to the PM for their review and acceptance. Once again, the COR will verify the RR, and the PM accept.

4.3.3 Expenditure Log. As part of the invoice inspection process, the expenditure log will be reviewed to validate funding is available and correct. Updating of the expenditure log will be determined by the COR and PM.

4.3.4 Rejecting RRs. If a RR is rejected in WAWF, the COR will go to the Miscellaneous Info tab to complete the comments block as follows: If during the COR review, a RR is found to be incomplete, incorrect, etc., the COR will annotates the errors/issues on the CNGT checklist and then email the contractor (cc the PM and CO) of the errors/issues found. If the RR is already in WAWF, the PM may elect to reject and annotate the rejection details in the Miscellaneous Info tab in 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.

• The rejecter will then return to the Header tab and click the “Reject to Initiator” block. Anyone other than the QM may reject RRs in WAWF, but only when services/invoices have been reviewed and rejected by the QM in writing per the paragraph above.

• As a final caveat, in the event of extended absences of the PM or COR/QM/QAPC, the present party may complete the acceptance/rejection actions (referenced above) of the absence party to ensure invoices are processed in a timely manner incompliance/intent of the Prompt Payment Act.

5.0 COR FOLDER.

• The COR will establish and maintain a COR folder for each contract/T/O.

• An electronic version of the folder may be kept, however, it must be maintained in an area where

CORs and COR Management will have access to it.

• The COR folder must contain the tabs and contents outlined below in Table 4.

• All surveillance records are considered FOR OFFICIAL USE ONLY documents, and must be marked and safeguarded as such.

• Documentation is kept for the life of the contract and provides necessary continuity should COR duties transition during the course of the contract.

• COR Management and the COR will receive instructions from the CO on disposition or archival procedures upon contract completion. Note: DFARS PGI 201.602-2(d) requires the COR to establish and maintain electronic files in SPM/JAM.

• The table below is general guidance with locations potentially changing dependent on guidance.

Table 4 – COR Folder Tabs & Contents

COR FOLDER TABS & CONTENTS

Tab Title Items to Include

1 General Correspondence 2 COR Appointment Letter(s) (Typically maintained in SPM/JAM) Assignment/nomination letter(s), appointment letter(s) and USG/Contractor relationships guidance

3 COR Training (Typically maintained in

JAM/SPM)

COR certificates for Defense Acquisition University, QAPC and CO Led training

4 Contract/T/O, Modifications, PWS/SOW, Pricing (Typically maintained in the PM or CO files)

Contract for current level of effort, any modifications and most current PWS/SOW/amendment on contract, and Contractor’s contract/T/O pricing

5 QASP Plan, Surveillance Checklist Training (Typically maintained in the PM file plan or SPM/JAM)

Contract/T/O QASP, approved surveillance checklist, and completed surveillance checklists

6 Contractor’s QCP If applicable 7 First & Second Notices, CAR (Typically maintained in SPM/JAM) Non-conformance log, First and Second Notices and CARs issued to Contractor

8 Contractor Deliverables to include invoicing (WAWF) (Typically maintained in the PM files)

CDRLs, deliverable specified in contract/T/O, reports, etc.

9 Surveillance Documentation/Site Visit Documentation (Typically maintained in the PM file plan or SPM/JAM)

As stated, surveillance and site visit documentation.

SERVICES SUMMARY PERFORMANCE OBJECTIVES

SS PERFORMANCE OBJECTIVE # 1

Provide qualified people for IDIQ and T/O performance IAW PWS paragraph 2.4.1 and subparagraphs.

1. Method of Surveillance: 100% Inspection/Customer Feedback

2. Lot Size: Transition: See contract for number of positions to be filled. Contract Performance:

Unknown/When event occurs

3. Performance Requirement--Acceptable/Defect:

a. Performance is acceptable when:

1. Qualified personnel are in place for contract performance with minimal to no delays in performance start, unless previously negotiated by the CO.

b. A defect occurs when:

1. Positions are vacant at the end of the transition period unless approved by the CO.

4. Sampling/Inspection Procedure:

a. Qualifications of all personnel will be reviewed in conjunction with the PM and requirements owner to determine if the Knowledge, Skills and Abilities meet PWS requirements. Additionally, COR will track progress to validate all positions are filled within specified timelines (Per PWS and Contractor’s Transition Plan).

b. If a defect as described in 3b occurs, the COR will issue the appropriate nonconformance.

SS PERFORMANCE OBJECTIVE # 2

Retain key personnel with specified / awarded qualifications IAW PWS paragraph 2.4.5 and subparagraphs.

1. Method of Surveillance: 100% Inspection for qualifications and timeline suspense.

2. Lot Size: Unknown/When event occurs

3. Performance Requirement--Acceptable/Defect:

a. Performance is acceptable when:

1. Vacancies do not exceed 30 calendar days after date vacancy occurs to submission of replacement candidate to PM and COR for CO acceptance AND (for OCONUS positions) simultaneous submission of Country Clearance Registration (CCR) to US Government IAW Foreign Clearance Guidance, unless otherwise approved in writing or directed in advance by the CO AND

2. Key personnel hired by the Contractor to perform OCONUS work and submitted in the CCR adhere to the itinerary/plan in the approved CCR for performance start, unless otherwise approved in writing or directed in advance by the CO AND

3. There is no mission impact (outside of the established / agreed upon timeline required to process OCONUS employees for in country performance) due to position vacancies or unqualified personnel

b. A defect occurs when:

1. Vacancies are not filled (contractor in seat/CCR complete) NLT 30 calendar days after vacancy occurs.

2. For OCONUS positions, Contractor fails to submit CCR at time of CO approval of candidate.

3. Key personnel hired by the Contractor to perform OCONUS work and submitted in the

CCR DO NOT adhere to the itinerary/plan in the approved CCR for performance start, unless otherwise approved in writing or directed in advance by the CO AND

4. Mission is impacted (outside of the established/agreed upon timeline required to process OCONUS employees for in country performance) due to position vacancies or unqualified personnel

4. Sampling/Inspection Procedure:

a. When a vacancy occurs COR will track vacancy time and coordinate with the MFT, as required, to ensure there is no mission impact and continuity of services continues.

Additionally, the 30-day calendar clock will be monitored to ensure suspense is met.

b. In discussions with MFT, if a failure of a contractor employee to meet PWS requirements, the COR will work with the MFT to determine failure/depth of failure and take the appropriate actions.

If any of the events described in 3b occur, the COR will issue the appropriate nonconformance.

SS PERFORMANCE OBJECTIVE # 3

Develop and submit all deliverables IAW PWS paragraph 3.4 and subparagraphs.

1. Method of Surveillance: 100% Inspection.

2. Lot Size: The Contractor will produce and deliver reports, schedules, and other deliverables relating to this contract (per PWS Section 2 and 10).

3. Performance Requirement--Acceptable/Defect:

a. Performance is acceptable when

1. 100% of deliverable requirements are met and received on time* (*Non-current or inaccurate deliverables (or those with conflicting information) may be considered late)

2. Information is current and accurate

b. A defect occurs when:

1. On a monthly basis, the contractor does not meet the 100% requirement

2. Information contained in the documents is not current and/or contains inaccuracies

4. Sampling/Inspection Procedure:

a. All deliverables required in paragraph 10 of the PWS are subject to 100% surveillance by the COR. Deliverables describes in paragraph 3 of the PWS will be reviewed by the requestor (typically a PM or COR). If requirements are not met, he/she will coordinate with the COR to determine the action required. All Quality-centric deliverables (Quality Manuals) shall be reviewed by the COR determination of acceptability and/or rejection.

b. If a defect as described in 3b occurs, the COR will issue the appropriate nonconformance

SS PERFORMANCE OBJECTIVE # 4

Provide a proactive system of quality control and quality assurance practices and procedures that is effective in delivering only products and services that meet or exceed all cost, schedule and performance specification of this PWS (3 and subparagraphs)

1. Method of Surveillance: 100% Inspection (review of monthly report where quality resides).

2. Lot Size: Monthly Report/quality action will vary monthly

3. Performance Requirement--Acceptable/Defect:

a. Performance is acceptable when:

1. The Contractor is performing quality reviews/findings do not impact mission (major non-conformance), no negative trends not resolved, and findings are resolved

b. A defect occurs when:

1. USG is finding the issues indicating the contractor is not performing quality;

mission is impacted

4. Sampling/Inspection Procedure:

a. The monthly report will be reviewed for quality activities and compliance.

Additionally, performance discussion with PM and requirements owner will determine performance which will point to the effectiveness of the quality system.

b. If a defect as described in 3b occurs, the COR will issue the appropriate nonconformance

ADDITONAL INFORMATION/TOOLS

1. Random Sampling Generator (This generator is maintained in the QASP file due to the macro).

As an alternate to the generator maintained in the file there are many suitable generators on the web such as www.randomizer.org.

2. COR Handbook:

Available at https://www.acq.osd.mil/dpap/ccap/cc/corhb/ http://www.randomizer.org/ https://www.acq.osd.mil/dpap/ccap/cc/corhb/

3.3 COR Audits. The COR is authorized to perform audits (inspection/surveillance) at any time during contract performance IAW FAR clauses 52.246-2 and 52.246-4. CORs will assess contractor SS performance and document in SMP/JAM.