Atch 15_QASP_SAFB.pdf

FA3002-16-R-0019

Quality Assurance Surveillance Plan – Page 1 January 13, 2017

SHEPPARD AFB

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

THE SHEPPARD AFB

CIVIL ENGINEER

PREPARED BY: _______________________________________DATE____________

Contracting Officer’s Representative

REVIEWED BY: _______________________________________DATE____________

Contracting Officer’s Representative Personnel Coordinator

ACCEPTED BY: _______________________________________DATE____________

Contracting Officer

RFP Attachment 15

Quality Assurance Surveillance Plan – Page 2 January 13, 2017

1. Introduction

1.1. This Quality Assurance Surveillance Plan (QASP) details how the Civil Engineer (CE) services provider performance will be monitored, upon award decision, by the Acquisition Team (AT) that includes the Program Management Office (PMO). This plan focuses on the level of performance required by the Performance Work Statement (PWS), and the methodology or processes used for surveillance. This QASP is a living document and will be revised or modified by members of the AT as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Service Provider (SP) performance is maintained.

1.2. Sheppard Air Force Base (AFB) has adopted a business strategy built upon the principles of open communication between the SP and the government. This strategy focuses on the outcomes the SP is expected to achieve. The SP takes the primary lead in collection of performance data and makes it available to the government in an “open book” relationship. The government will enable the SP to improve innovation and performance by focusing on outcomes and gaining insight into the process utilized by the SP.

1.3. The authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Service clauses, which provides for inspection, acceptance and documentation of the services called for in the contract. The acceptance is to be executed by the contracting officer or a duly authorized representative. It includes the formation of a Performance Management Office (PMO) to become a member of the AT ensuring the SP is achieving Sheppard AFB service summaries. Also envisioned is an active Performance Management Review (PMR), chaired by the 82 Mission Support Group Commander or delegate. .

2. Objective.

2.1. The objective of the Civil Engineer (CE) function is to provide infrastructure maintenance and operation and program support to Sheppard AFB, Texoma Annex, Frederick Municipal Airport, and any attached or related properties under the control of SAFB, or geographically separated units (GSUs) to include temporary emergency mission support. The functions included in this plan are Installation Management, Operations and Maintenance (O&M), Engineering, and Emergency Management.

Installation Management provides for the systematic and integrated practices to optimally manage Air Force assets based on business case principles—standardizing levels of service (LOS) and balancing cost, risk, and benefits to maximize the value of Sheppard’s assets to the AF and to our missions and organizational goals at Sheppard AFB, Texoma Annex, and Frederick Airfield. Asset Management encompasses Environmental and Asset Optimization. Environmental also referred to as Natural Resource Management, is responsible for managing and providing an environmentally safe and compliant workplace that addresses compliance, conservation, and pollution prevention programs at Sheppard AFB and any attached or related properties under the control of Sheppard AFB, according to the programs and regulatory requirements directed by the Environmental Protection Agency (EPA) as well as respective state and local environmental regulatory agencies. It serves as a consultant for facilitating the installation’s Environmental Management System (EMS), providing direct support, consultation, training, and policy development and direction. The Asset Optimization activity is responsible for community and master planning, management of encroachment, Air

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Installation Compatible Use Zone (AICUZ) considerations, and real estate, real property, and energy and utilities programs. This activity also ensures optimization of resources, establishes asset management goals, and creates synergies for increased effectiveness within the Civil Engineering (CE) function. This function also supports implementation of the unit’s strategic vision, performance metrics, process standardization, and integrates various functional plans to create a comprehensive plan. Oversees business case analyses for various activities and asset options to include effective consideration and communication of cost, benefits, and risk.

Operations and Maintenance manages and provides training to facility managers, effective and efficient life-cycle operations, maintains and repairs base real property, infrastructure, designated equipment authorized inventory data (EAID), and accountable Real Property Installed Equipment (RPIE)/Real Property Similar Equipment (RPSE) on Sheppard Air Force Base AFB and off-site areas at Texoma Annex and Frederick Airport.

Engineering is responsible for managing and providing efficient, effective, and timely engineering services, including (1) Program Development; (2) Technical Support; and (3) Project Management activities at Sheppard AFB and any attached or related properties under the control of Sheppard AFB.

Emergency Management is responsible for managing and providing engineering readiness support, peacetime disaster response, and contingency operations for all hazard spectrums at Sheppard AFB and any attached or related properties under the control of Sheppard AFB. This includes (1) EM; and (2) Expeditionary Engineering.

3. Goals. By virtue of this plan, the AT/PMO will monitor SP performance and strive to achieve efficiencies, improved customer service, SP performance, and cost savings. Additional goals are as follows:

Maximize performance Encourage innovation Promote performance-based services Increase awareness that performance-based services require participation from all team members

4. AT Members/PMO Roles & Responsibilities

Contracting Officer (CO) Contract Administrator (CA) Functional Commander/Director (FC/FD) (COR Management) Performance Management Office (PMO)/Contracting Officer’s Representative (COR)/ Contracting Officer’s Technical Representative (COTR) Quality Assurance Program Coordinator (QAPC) Service Provider Multi-Functional Team (MFT)

4.1. Contracting Officer/Contract Administrator

• Ensures open communication is maintained between all parties, pre/post-award.

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

• Designates CORs in accordance with AFFARS MP5301.602-2(d).

• Informs the SP of the names, duties, and limitations of authority for all PMO/COR assigned to the contract.

• Periodically assesses the PMO/COR performance, and advises the COR FC/FD on any problems.

• Manages SP performance assessment data that may include submitting SP Performance

Assessment Reporting System (CPARS) reports or required management of services reports (e.g., Annual Execution Reviews (AER)).

• Issues contract modifications as necessary.

• Takes appropriate action should unacceptable SP performance occur.

• Provides training (e.g., contract specific) for the FC/FD/PMO/CORs/COTRs as required.

4.2. Functional Commander/Director (FC/FD) (COR Management)

• Ensures requirements documents developed by the AT satisfy mission requirements, are performance-based, foster innovation, and define metrics. Assists in preparation of PWS, QASP, and obtains CO coordination on the final product.

• Nominates individuals as CORs/COTRs who are qualified by training and experience commensurate with designation. Ensures all personnel within the functional area who may have contact with SP employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

4.3. PMO/COR/COTR Personnel

4.3.1. Performance Management Office

• Manages qualified individuals as CORs/COTRs. Ensures all personnel within the functional area who may have contact with the SP employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

• The PMO will be comprised of CORs/COTRs assigned to develop insight into specific service areas. Performance expectations for the service areas are delineated in the PWS, which include metrics, as well as Inspector General (IG) checklist items. The PMO will assist the SP with understanding the performance expectations for the service areas(s) under his/her responsibility. The PMO will advocate the expectations of Sheppard AFB and the Air Force

Quality Assurance Surveillance Plan – Page 5 to the SP and in return advocate the business interest of the SP to Sheppard AFB and the Air Force.

• Promotes business decisions to meet customer requirements by researching the marketplace to remain current with the most efficient and effective performance assessment methods and techniques. Performs market research throughout the life of the requirement to ensure the team is knowledgeable of the commercial marketplace.

• Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

• The PMO will submit reports on SP performance on a regular basis as required.

4.3.2. COR/COTR Personnel

• Evaluates and documents the SP performance in accordance with the procedures set forth in this QASP.

• Immediately identifies any significant performance deficiencies to the Chief COR/COTR and/or CO.

• Maintains assessment documentation throughout the life of the contract.

• Certifies acceptance of services.

• Identifies any changes necessary to PWS, QASP, or other documents to provide effective operations or eliminate unnecessary costs.

• Initiates request for COR training to ensure required training is completed prior to assumption of duties. Complete COR specific “refresher training” as required by DoD standards for COR every third year.

• When advised by the CO or COR Management that COR designation will be terminated, ensure reports/records are made available to the CO, COR Management, and a successor COR, if one is designated by the CO.

• If circumstances change and there is a reasonable expectation that the designated COR cannot perform effectively, (e.g., personal conflict of interest, change in assignment), the COR must notify the CO and COR Management and request the CO terminate the COR Designation and take action to designate a successor COR.

4.4. Quality Assurance Program Coordinator

• Coordinates all aspects of the quality assurance program.

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• Participates in the AT.

• Reviews and coordinates on all changes to the PWS and QASP.

• Provides training for the FC/FD (COR Management)/PMO/CORs/COTRs as required.

4.5. Service Provider

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

• Participates as a member of the acquisition team in the post-award management phase.

• Maintains and implements a Quality Control Plan (QCP) complimenting the QASP.

• Ensures non-conforming performance is identified and corrected, and the QCP is revised to prevent recurrence.

• Tenders to the Government for acceptance only services conforming to PWS requirements.

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

4.6. Multi-Functional Team (MFT)

• Customer-focused team instituted under the authority of Senior Leadership

• Purpose of the MFT is to create an environment that shapes and executes an acquisition

• Emphasis is on teamwork, trust, common sense, and agility

• Goal is to obtain efficiencies, improved performance, and cost saving throughout the acquisition life cycle.

• Composed of stakeholders in the acquisition. Stakeholders are responsible for this acquisition throughout the life of the requirement. For a list of the stakeholders for this acquisition, see the attached signature page. See MFT Member Appointment letter for MFT role and responsibilities in contract file and as stated within the QASP, which is IAW AFI 63-138 Chapter 6 and DoDI 5000.02.

4.7 Performance Management Review (PMR). The purpose of the PMR is for the government to present the service provider’s quarterly performance to senior leadership. Areas addressed are: SS performance, surveillance results, contract administration and current issues. The areas addressed may change depending on current leadership concerns/issues. The slides for this meeting are created by the Chief COR. Once finalized/agreed upon by PMO and 82 CONS, the Chief COR briefs the 82 MSG/CC on the ratings.

• The meetings are scheduled with MSG and therefore all PMR members are notified and sent courtesy meeting reminders.

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• Members of the PMR include, but are not limited to: 82 MSG/CC &/or CD, 82 CONS/CC, Chief COR, PMO CORs, ACO, CAs, FC/FDs, and A4PM.

5. PERFORMANCE ASSESSMENT. A list of metrics selected by Sheppard AFB tracking performance against outcomes identified in the PWS is provided in the exhibits of this QASP.

Sheppard AFB will provide the SP with any known data sources for the metrics. For the outcomes communicated in the PWS, the Government will review the performance metrics to determine whether the outcomes are being achieved at the appropriate levels of performance. The Government will review, if performed during the time period, each metric and the data requirements for calculating the value of each metric over the appropriate time period. The SP may use additional performance indicators for managing their processes and operations or for supplementing Government metrics.

5.1. Surveillance Approach: The intent of this plan is to primarily rely on the SP’s internal QC processes, changing the government’s role from “oversight” to “insight”. The team’s original surveillance approach may not stay the same throughout the duration of the performance period;

therefore, all CORs/COTRs should be prepared to periodically update the surveillance approach when necessary. The goal of our surveillance approach is to gain confidence in the SP’s way of doing business and then adjust the level of insight to a point that maintains such confidence.

5.1.1. Quality assurance will be based on the Government’s evaluation of SP’s results. All services performed must meet the prescribed performance objectives stated in the Service Summaries to be regarded as acceptable.

5.1.2. Surveillance will be accomplished by Customer Feedback, Customer Survey, SP and Government Data Metric Review, and AT/PMO meetings as applied to exhibits in this QASP. Key Service Summaries, attached, will be verified as contractually compliant by government personnel;

however, inspection of any contract requirement is authorized. Each performance objective includes a government determined threshold and the procedures used to ensure these standards are met. In addition, compliance items, i.e., IG checklist items, will also be used to verify contractual requirements are being met.

5.1.3. The COR/COTR will develop a monthly surveillance schedule of all Service Summaries as well as compliance items to be inspected on a monthly basis. Additionally, the government may elect to increase the frequency of inspections as the need arises.

5.2. Quality Control Program: The SP shall utilize its own internal QC processes in the performance of requirements. In order to verify the SP’s quality control program, COR/COTR will verify SP compliance of performance requirements and verify the key Service Summaries. It is the responsibility of the PMO/CORs/COTRs to review these key objectives to assess their applicability and recommend revision as conditions warrant.

5.3. Customer Feedback/Survey Program. Customer satisfaction is one of the most important metrics the SP shall track over time and is the common metric to the various service areas. For objectivity, customer satisfaction surveys shall be used to validate SP performance.

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5.3.1. Anyone observing unacceptable services, either incomplete or not performed, should immediately contact the COR/COTR by telephone, email, letter, or fax. The COR/COTR will document and validate the customer complaint, then notify the SP. The SP will review and take immediate corrective action for all valid complaints.

5.3.2. If the COR/COTR identifies recurring instances of unsatisfactory performance, they may request to review the SP internal quality control processes to ensure they are sufficient.

5.3.3. All valid customer complaints shall be corrected if applicable, as soon as possible after notification, but within the time frame identified in the Service Summary (SS). If the SP challenges the validity of the complaint and the COR/COTR and SP cannot come to agreement, the customer complaint will be forwarded to the AT for resolution. Customer complaints will be tracked and if the performance threshold is exceeded, action will be taken in accordance with the applicable Inspection/Acceptance and/or Remedies for Unacceptable Performance clauses.

5.3.4. Customer Surveys may be distributed periodically to assess customer satisfaction with SP performance.

5.4 5.4. Methods of Inspection Applicable to This Contract. There are several types of inspection methods that will be used for assessment of SP performance. The Government has the right to inspect all tasks, not just Service Summary items. Government COR will perform surveillance to determine the SP's compliance with designated performance requirements of the contract. Services are inspected by the COR to ensure services rendered are in compliance with the PWS and the established thresholds for this effort. Documentation is required to record, evaluate, and report SP's performance. The COR is required to maintain records of the SP's performance and keep the CO and FC/FD informed. The methods of surveillance are defined as follows:

5.4.1. Periodic Inspection: These services are inspected on a periodic or recurring basis. Periodic surveillance may be daily, weekly, monthly, quarterly, etc. The results of periodic surveillance inspection may be used as the basis for actions towards the SP. In such cases, the Inspection of Services clause becomes the basis for the CO's actions. The COR will submit a schedule to the CO the month prior to the month being inspected. Schedule will show time, date, location, and item(s) that will be inspected. Any changes to the schedule will be submitted to the CO when the change occurs.

5.4.2. 100% Inspection: These items are inspected on every instance they are performed. The COR will determine acceptability and compliance with the performance threshold by monitoring and tracking each deliverable document. Technical documents and other deliverable documents will be reviewed for technical accuracy and compliance with technical directives. The results of this inspection may be used as the basis for actions towards the SP. In such cases, the Inspection of Services clause becomes the basis for the CO’s actions.

5.4.3. Customer Complaint: The COR is the primary point of contact for collection of all customer complaints. The AF Form 714, Customer Complaint Record, or a similar locally devised form may be used for this purpose. All complaints and any resulting resolution of such complaints must be documented on the form. Customer complaint forms become a permanent part of the COR surveillance records. The COR will contact each customer involved with this contract periodically to assure there is an understanding of the contract requirement by all appropriate personnel and that they

Quality Assurance Surveillance Plan – Page 9 have a sufficient number of complaint forms. All customer complaints must be validated. Once validated and any resulting resolution of such complaints must be documented with the information required on the customer complaint form. All complaints may justify inspection of any performance objectives listed below.

5.4.4. Customer Feedback/Survey: Customer evaluations of services assist in the analysis of SP performance. If critiques are unfavorable, the areas in question may require further evaluation using any of the inspection methods referenced herein. See QASP Para 5.3.”

6. Performance Management. This section identifies the use of performance measurement information to effect positive change in organizational culture, systems, and processes, by helping to set agreed upon performance goals, allocating and prioritizing resources, informing managers to either confirm or change current policy or program directions to meet those goals, and sharing results of performance in pursuing those goals.

• Records Review: The CA will review surveillance files no less than annually to ensure surveillance is properly conducted and documented, and SP performance is within acceptable levels. This review will be documented.

• Surveillance Files: An inspection file must be developed and maintained by the primary

COR/COTR. This folder is typically contained in hard copy, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss.

(Additionally some functions or items may be located in the DoD COR Tracking Tool (see CORTT paragraph)). The surveillance folder should contain the following information, but may contain any other sections or information the COR/COTR finds useful. The surveillance records become part of the formal file on an annual basis.

TAB 1 – Request for COR Support TAB 2 – COR Nomination Memo TAB 3 – COR Training TAB 4 – COR Designation Memo TAB 5 – COR Termination Memo TAB 6 – FC/FD Designation Letter TAB 7 – FC/FD Training TAB 8 – Contract, PWS, SS, Technical Requirements Documents (TRD), Contract Data Requirements List (CDRL), etc.

TAB 9 – Service Provider (SP) QCP

TAB 10 – QASP

TAB 11 – Performance Evaluation Report, i.e., end of month reports TAB 12 – Performance Assessment Reports (PARs), etc.

TAB 13 – Continuous Improvement Opportunities TAB 14 – Miscellaneous – Certification of Services, Surveillance Schedules, etc.

7. Performance Ratings. SP ratings and criteria are described below for reporting past performance if award decision is for private sector where past performance is posted to centralized data bases.

Performance Criteria

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Rating Exceptional Performance meets contractual requirements and exceeds many of the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the SP were highly effective. To justify and Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating.

Also, there should have been NO significant weaknesses identified.

Very Good Performance meets contractual requirements and exceeds some of the government benefits. The contractual performance element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the SP was effective. To justify and Very Good rating, identify a significant event and state how it was a benefit to the Government. There should have been NO weaknesses identified.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the SP appear or were satisfactory.

To justify a Satisfactory rating, there should have been only minor problems, or major problems the SP recovered from without impact to the contract. There should have been NO significant weaknesses identified.

Per DoD policy, a fundamental principle of assigning ratings is SPs will not be assessed a rating lower than satisfactory solely for not performing beyond the requirements of the contract.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the SP has not yet identified corrective actions. The SP’s proposed actions appear only marginally effective or were not fully implemented.

To justify Marginal performance, identify a significant event in each category the SP had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the SP of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains serious problem(s) for which the SP’s corrective actions appear or were ineffective.

To justify an Unsatisfactory rating, identify multiple significant events in each category the SP had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the SP of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).

7.1. Management of Services Process

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7.1.1. Initial Performance Review. Within 30 days after the SP assumes full performance responsibility, the MFT will conduct a review to determine that the SP has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract. The MFT will complete evaluation and reporting requirements IAW AFI 63-138, Acquisition of Services, Chapter 6.4., Initial Contract Performance Review (see sample Exhibit 7).

7.1.2. Annual Execution Review (AER). The AER shall, at a minimum, assess an individual service acquisition's progress against approved cost, schedule, and performance metrics and, as appropriate and available, review the summary of evaluations from the CPARS. AERs will be conducted and documented IAW AFI 63-138 paragraph 5.2.

7.1.2.1 Management Oversight of Services (MOS). COR shall evaluate and document SP’s performances in accordance with the procedures outlined in this QASP and maintain surveillance documentation. The results of surveillances shall be maintained as Past Performance information and utilized to prepare and support annual SP Performance Assessment Reporting System (CPARS) reporting, if required. Information will also be used to complete reporting requirements in accordance with Management Oversight of Services (MOS). As a reminder, all COR documentation maintained over the life of the contract will be turned over to the CO at the end of the performance to be made a part of the official contract file.

7.1.3. Any significant changes in anticipated cost/price, schedule, or performance expectations are subject to a special review at the direction of the AFICA/KT or other designated official.

8. Unacceptable Performance. When the SP’s performance is deemed unacceptable, COR/COTR will determine the cause of the unacceptable performance. If any government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the SP. The COR/COTR will take action to ensure government action, or lack of action, does not interfere with the SP’s performance in the future.

8.1. When the unacceptable performance is not the result of government action, or lack of action, COR/COTR will promptly notify the SP and issue a ticket/assessment to the SP to assure corrective action is taken. By initialing and dating the assessment, the SP representative is only acknowledging receipt of the finding of the unacceptable performance, and is not agreeing or disagreeing with the performance assessment.

8.2. The COR/COTR, with CO approval, will direct the SP to re-perform the service, if possible, without additional cost to the government. If the SP challenges the validity of the COR/COTR’s unacceptable assessment finding, and the COR/COTR and SP cannot come to an agreement, the matter shall be referred to the CO for resolution. The SP shall be required to return all completed assessments to the COR/COTR no later than the suspense date indicated on the assessment.

Unacceptable performance re-performed satisfactorily by the SP shall still count as unacceptable performance.

8.3. The COR/COTR shall maintain a log of all assessments issued to the SP (a locally devised form may be used). The log must contain the assessment number, date issued, SP, description of unacceptable performance, suspense date, and closeout date. All assessments and logs must be maintained by the COR/COTR for the life of the contract.

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9. Remedies for Unacceptable Performance. In accordance with the contract Inspection of Services clause, if any of the services do not conform to contract requirements; the government may require the SP to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of SP personnel and recruitment of substitute personnel equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the government may:

• Require the SP to take necessary action to ensure future performance conforms to contract requirements;

• Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

9.1. If the SP fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the government may:

9.1.1. By contract or otherwise, perform the services and charge to the SP any cost incurred by the Government that is directly related to the performance of such service; or

9.1.2. decrement invoice as stated in the PWS related to performance; or

9.1.3. Terminate the contract for default.

10. Contracting Officer Notification.

10.1. Major Finding (Letter Of Concern (LOC)). If at any time the COR/COTR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, the COR/COTR must document their findings and notify the CO immediately in writing.

Email is acceptable.

10.1.1. SP failure to meet a Performance Threshold.

10.1.2. Failure to provide adequate corrective action to preclude reoccurrence of government identified findings.

10.1.3. Failure to provide corrective action to deficiencies identified by the SP within a prescribed suspense period.

10.1.4. Any failure to adhere to security regulations that results in a security incident.

10.2. Minor Finding (Verbal LOC). A minor finding is defined as a departure from established standards having little bearing on the service provided. When the COR/COTR identifies a minor finding, they must document the findings, but is not required to notify the CO. However, if the same minor finding is identified two months in a row, it may be an indication a major finding is occurring or has occurred because the SP has not taken proper steps to prevent recurrence. In this case, the COR/COTR must notify the CO in writing.

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10.3. Contract Deficiency Notification (CDN). When a performance threshold has not been met or SP performance has not been accomplished, the COR/COTR will initiate and provide the Contracting Officer a CDN, COR CDN Form 1, for issuance to the SP.

10.3.1. SP LOC and CDN Responses.

10.3.1.2. The SP shall respond to the LOC/CDN in accordance with instructions provided and return it to the CO within 10 calendar days of receipt.

11. Certification/Acceptance of Services. The COR/COTR will certify receipt of acceptable SP services at intervals determined by the contract. The COR/COTR will certify acceptable services were received, in accordance with the terms and conditions of the contract.

12. Contracting Officer Representative Tracking Tool (CORTT). The DoD CORTT is used to nominate, designate, track, terminate and revoke an individual as a COR against a DoD contract or order; or a contract or order issued against on behalf of a DoD assisting agency. This Tool allows a prospective COR to create a profile and process a nomination package for one or multiple contracts and/or orders. It provides contracting personnel a web based portal for all relevant COR actions. The COR, COR Supervisor, CO and the CA shall comply with the DoD requirements for participation in the CORTT.

13. Combating Trafficking in Persons (CTIP): DOD has a zero tolerance policy for human trafficking. CORs are the first line of defense in the battle against human trafficking and must complete Combating Trafficking in Persons training annually. As the COR monitors the SP and its employees, Combating Trafficking in Persons should rank among the COR’s chief priorities. CORs must be diligent in ensuring that SPs and SP personnel are not trafficking in persons. The COR will verify and monitor the SP has policies and procedures in place to prohibit any activities on the part of SP employees that support or promote trafficking in persons as part of ongoing surveillance of performance of contract services. The SP and the COR shall immediately bring to the attention of the Contracting Officer any non-compliance with contract clause FAR 52.222-50, Combating Trafficking in Persons. Additional information on DoD efforts to combat trafficking in persons can be found in the DoD FAR Supplement (DFARS) Procedures, Guidance and Information (PGI) 222.17 and the following website: http://ctip.defense.gov/. “After receiving this information, the Contracting Officer shall provide information for any investigation and enforcement to:

Program Manager DoD CTIP Law Enforcement and Support

OUSD (P&R) DHRA

4800 Mark Center Dr Suite 06J25-01 Alexandria, VA 22350-4000

Reports may also be made:

• On-line at http://ctip.defense.gov/ ;

• On-line via the National CTIP Hotline website at http://www.polarisproject.org/;

• By e-mail to CTIPReports@OSD.Pentagon.mil; or

• By phone to the National CTIP Hotline at 1-888-373-7888.

http://ctip.defense.gov/

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Note: The COR must report any suspected violations or activities to the Contracting Officer (See FAR Subpart 22.17 and DFARS Subpart 222.17).

Note: CORs should not personally investigate suspected incidents of Trafficking in Persons but should forward all reported or suspected violations to the Contracting Officer immediately.

Note: The SP must take appropriate action should a violation occur. For corrective procedures and remedies for non-compliance, see FAR 52.222-50.

The COR may play an important role in preventing human trafficking by, for example:

• Supporting the CO during pre-proposal conferences and post-award orientation where the requirements of FAR 52.222-50 should be discussed, and;

• As required, monitoring SPs to ensure trafficking in persons requirements are being met (e.g., COR may verify that SP employees’ passports/visas aren’t being withheld, or that workers aren’t being abused or threatened during site visits).

14. COR Training Requirements: COR Training Requirements. Newly nominated CORs must complete COR Part 1 Training, COR Part 2 Contract Specific training, and receive Designation of COR letter from the CO before performing surveillance duties on new or existing contracts IAW MP5301.602-2(d) and DoDI 5000.72 “DoD Standard for Contracting Officer’s Representative (COR) Certification within 30-days of COR nomination to fulfill COR Part 1 training. The CO will conduct COR Part 2 Contract Specific training and provide a certificate of completion. The CO will provide any required refresher training (see QASP Para 14.2). Air Force/AETC directives, Federal Aviation Regulations, PWS, and Technical Manuals will be used as reference materials to complete COR’s knowledge base.

14.1. Establish and maintain individual COR files for each contract in accordance with DFARS PGI 201.602-2(yi), and the Contracting Officer’s Representative Tracking (CORT) Tool (PGI 201.602- 2(iv)). COR files shall be available for review by the Contracting Officer, Inspector General, the U.S.

Government Accountability Office, internal review officials or other officials as authorized by the Contracting Officer.

14.2. COR Refresher Training. Refresher training will be IAW DoDI 5000.72 “DoD Standard for Contracting Officer’s Representative (COR) Certification”, Enclosure 5 (Paragraph 5) and Enclosure 6 (Table 2). CORs are required to complete refresher ethics and CTIP training annually and refresher COR training every 3 years; or sooner if necessary.

Exhibits

1. Glossary of Terms

2. Metrics

3. Service Summaries

4. PMO Customer Survey

5. COR/COTR Assessment Form

6. Contract Deficiency Notification Form

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Exhibit 1 – Glossary of Terms

Acquisition Team (AT): - A business solutions team that consists of cross-functional personnel that plan and manage service requirement outcomes. Cross-functional personnel may include Finance, Security, PMO, Contracting, Manpower, Safety, Environmental, and other functions as applicable.

Service Providers become a member of the team upon award decision.

Performance Management Office (PMO): For the purposes of this document, the PMO is the office responsible for the monitoring of the performance of the SP. As such, it functions much like a centralized quality assurance office and provides asset management recommendations and service level analyses to the PMC. The office handles all SP service quality assurance issues and has performance management responsibilities. Members conduct inspections as required, receive customer complaints whether by phone, fax or e-mail, and review SP developed metrics. The office remedies unacceptable service by contacting the SP to resolve the complaint and performs follow-up.

The office reviews and analyzes the metrics supplied by the SP. The office also maintains records of service levels, metrics, and customer satisfaction measures. The office assists the Contracting Officer with managing contract funding levels for a private sector SP.

Service Provider: This term is generally used to describe the entity selected to perform all requirements stated in the PWS as a result of a contract award or a MEO Letter of Obligation.

Quality Assurance Surveillance Plan – Page 16

Exhibit 2 – Metrics – Civil Engineer Services

Metric Category Metric ALL-SERVICE REQUIREMENTS Customer Satisfaction (8 Metrics) Suspenses met on time Support for exercises Quality Management System Customer complaints Self-inspections with AETC IG Inspection Guidance Computer security Security violations or compromises

INSTALLATION MANAGEMENT

(29 Metrics) FINANCIAL MANAGEMENT Execution Plans prepared Schedule of Refunds & Reimbursements billings submission Schedule of Refunds & Reimbursements & SF1080 vouchers Shop Rate - Update Budget Execution Review/EoY execution exercises Utilities Contract Management - Timeliness Accounts Receivable verification/adjustment/submitted Accounts Receivable properly monitored REAL PROPERTY Boundary Inspections - Timeliness Real Property Inspections - Timeliness Real Property Records - Accuracy Outgrant Actions – Timeliness Ingrant/Outgrant Inspections - Timeliness Capitalize/Expense Facility Projects – Accuracy Capitalize/Expense Internal Projects – Accuracy

ENVIRONMENTAL

MANAGEMENT

Communicate significant issues to senior leadership

Prepare/provide mandatory & required reports Zero NOVs Meet notification deadlines – regulatory/non-regulatory Provide instruction/training to base personnel Conduct sampling/industrial shop inspections Manage permits Asbestos/LBP identified & properly abated/disposed Ensure identification of all environmental funding requirements Manage all environmental programs Corrective Actions for non-compliance activities for

ESOHCAMP

Corrective Actions for non-conformant activities for EMS Construction Activities Inspections Provide full-time qualified staff

Quality Assurance Surveillance Plan – Page 17

Exhibit 2 – Metrics – Civil Engineer Services (Continued)

OPERATIONS & MAINT (O&M) Response to Emergency CM work, Work Priority 1 during normal & after duty hours (19 Metrics) Preventive Maintenance/Recurring Work on RP, RPIE &

RPSE

Response to Work Priority 3A CM Response to Work Priority 3B CM Response to Work Priority 3C CM Work Requests processed - timeliness Facility Manager Training Lifecycle Cost Reporting Airfield Mission Support Climate Control for Critical/Non-Critical Facilities New acquisitions/construction included in PM program Conduct Facility Condition Assessments Response to Plant Ops, Pest Control & Pavements Routine

CM

Table 2 (Only used when directed by Govt. to perform specified Cost Reimbursable work.

Perform enhancement work (Work Priorities 4A and 4B)

ENGINEERING Provide full-time professional registered Chief & lead engineers (15 Metrics) FYDP Development Programmed Amount vs. Low Bid or Initial Award Current Working Estimate vs. Low Bid or Initial Award Projects Designed vs. Projects in Program Govt designated legacy systems maintenance Manage Energy Conservation Program/Plan Manage Utility Contracts Quality of workmanship Regulatory Compliance Project Management Contract Mod packages – timely submission Cost growth Master Facilities Plans/Infrastructure Maps/As-built Drwgs Prepare/Coord NEPA documentation

Quality Assurance Surveillance Plan – Page 18

Exhibit 2 – Metrics – Civil Engineer Services (Continued)

Metric Category Metric

EMERGENCY MANAGEMENT SAVs - annually (8 Metrics) SAV Reports - timeliness Customer Complaints - Training Scheduling & Notification Assessment of Percent of EM Duty Assigned Personnel Major Accident Response Assessment Mobility deployments and exercises Operation of EMCC Planning documents - checklists and annexes Shelter Program Plan – Accuracy Training of EM Flight Personnel GFE/resources - accountability Manage Common Operation Picture (VOC/EOC personnel trained

Quality Assurance Surveillance Plan – Page 19

Exhibit 3 - SERVICE SUMMARY – All Services

The SS identifies the major service requirements the government is acquiring and provides a basis for measurement between actual SP’s performance and specific contract requirements. The COR in partnership with the SP, will verify adequacy of performance for the critical or major requirements using any of the quality assurance methods delineated in QASP paragraph 5. The government has the right to inspect all services, not just Performance Objective (PO) items.

Performance Objective PWS

Paragraph Performance Threshold Surveillance

Method

2.2.1. Provide Base Operating Services to

ensure prompt, responsive, and cost effective support in accomplishing Sheppard AFB varied missions.

2.1.1 An average rating of 4.5 on a scale of 1 to

5 on a monthly customer satisfaction survey that has separate assessments in the following area: Compliance with regulations, Work Place Appearance, Responsiveness, Flexibility, Customer Focus, Cost Effectiveness, and Technical Expertise/Knowledge.

Review of Customer Surveys (Monthly)

2.2.2. Meet all suspenses, requests for

information, external taskers, data calls, and required reports within prescribed timelines

2.1.2.14 98% of suspenses met on time Review SP Metric, Periodic Inspection

2.2.3. Provide adequate support is provided for

all base exercises and disaster responses IAW base OPlans and contingency planning documents

2.1.2.16, 2.1.2.18

No Major Findings and zero senior leader complaints against SP performance during exercise or contingency

Review of SP Metric, Customer Complaints

2.2.4. Maintain a Quality Management System

(QMS) that complies with requirements in the All Services Area, SP’s proposal, SP’s Quality Control Plan (QCP) and SP’s Customer Satisfaction Plan (CSP)

2.1.2.17, 2.1.2.17.10, 2.1.2.17.12

Zero Major Findings in any quarter.

* Major Finding is any specific failure to maintain or execute an established contract QMS requirement, i.e. failure to maintain inspection records IAW QCP, or failure to execute a RCA for a failed performance outcome.

Review of SP Metric (Quarterly)

2.2.5. Provide professional, courteous, responsive customer service and accurate information

2.1.1 No more than two (2) valid customer

complaints or unsatisfactory observations per quarter

Review SP Metric, Customer Complaints (Quarterly)

2.2.6. Develop and conduct self-inspection to

support the areas outlined in the current Air Education Training Command/IG Inspection Guidance.

2.1.1 95% compliance with all items in the checklist during the quarter the checklist is assessed.

Review SP Metric (Quarterly)

2.2.7. Manage computer security 2.1.2.3.10, 2.1.2.29.3

100% compliance with COMSEC and EMSEC guidance

Review SP Metric

2.2.8. Follow appropriate security procedures to

ensure minimal security violations or compromises.

2.1.2.3 Zero violations or compromises in any

month

Review SP Metric (Monthly)

2.2.9.Provide and maintain staff that is fully trained, qualified, certified, and licensed, to meet local, state, Air Force (AF), Department of Defense (DoD), and Federal requirements

2.1.1 Zero discrepancies per quarter. Ensure

personnel are certified and/or trained in their area of responsibility within three months of employment

Periodic Inspection/ Quarterly

Quality Assurance Surveillance Plan – Page 20

Exhibit 3 - SERVICE SUMMARY – Installation Management

Performance Objective PWS Paragraph

Performance Threshold Surveillance Method

FINANCIAL MANAGEMENT

10.2.1. Ensure Execution Plans are prepared

IAW the FM and higher headquarters instructions, properly formatted, accurate, and submitted as directed

10.1.2.1.1 100% compliance; properly formatted, accurate, and submitted as directed

Periodic Inspection

10.2.2. Verify, adjust, and submit the

Schedule of Refunds and Reimbursements ( S O R R ) billings for reimbursements to DFAS on a monthly basis to meet suspense dates

10.1.2.1.9 95% on time submission rate per quarter Periodic Inspection (Quarterly)

10.2.3. Validate Schedule of Refunds and

Reimbursements and SF 1080 vouchers for transfers between appropriations and/or funds for errors before submission to DFAS.

10.1.2.1.9 No more than one (1) discrepancy per

month

Periodic Inspection (Monthly)

10.2.4. Review and adjust shop rates as

required on an annual basis

10.1.2.1.9 100% of shops updated by 15 Jan each year

Periodic Inspection (Annually)

10.2.5. Provide Unfunded Requirements

(URs) supporting Initial Distribution, Budget Execution Reviews (BERs), End of Year execution, and other out-of-cycle exercises

10.1.2.1.2 95% on time submission rate Periodic Inspection

10.2.6. Submit all verified and certified utility

bills and documents to meet DFAS suspense for payment by due date

10.1.2.1 95% on time submission rate Periodic Inspection

10.2.7. Accounts Receivable (AR) verified, adjusted, and submitted monthly to FM

10.1.2.1.13 95% accuracy rate of Accounts Receivable

Periodic Inspection (Monthly)

10.2.8. Accounts Receivable (AR) properly

monitored for correct payments. In-correct payments identified through FM to DFAS

10.1.2.1.13 95% of incorrect payments identified to the FM and monitored for correction

Periodic Inspection

REAL PROPERTY

10.2.9. Survey installation boundaries to

identify any possible encroachments

10.1.2.2 Conduct 100% inspection annually Periodic

Inspection (Annually)

10.2.10. Verify/perform a physical inventory

of 20% of real property records annually to equal 100% every 5 years and every 3 years for historic

10.1.2.2 Ensure 20% of RP records are inspected

annually

Periodic Inspection (Annually)

10.2.11 Ensure the Real Property Revenue

Log (RPRL) or other government designated database system and records are accurate and kept up to date

10.1.2.2 No more than three (3) discrepancies per

30 records reviewed per quarter

Periodic Inspection (Quarterly)

10.2.12. Initiate out grant renewal actions to

ensure they are completed prior to out grant expiration

10.1.2.2 100% of out grant renewal actions completed prior to expiration

Periodic Inspection

10.2.13. Conduct compliance inspections on

each grant due in the quarter to ensure terms and conditions are met

10.1.2.2 100% of grants due in the quarter are inspected

Periodic Inspection (Quarterly)

Quality Assurance Surveillance Plan – Page 21

Exhibit 3 - SERVICE SUMMARY – Installation Management (Continued)

Performance Objective PWS Paragraph

Performance Threshold Surveillance Method

10.2.14. Accurately process (capitalize or

expense) completed facility projects (requiring 1354s) within 10 days of placed in service date

10.1.2.2.1 Ensure all facility projects within the

quarter are capitalized/ expensed w/in 10 business days

Periodic Inspection (Quarterly)

10.2.15. Accomplish all internal CE work

orders requiring capitalization or expensing within 30 days (work orders that don’t require 1354’s)

10.1.2.2.1 Ensure all internal work orders within the

quarter are capitalized/ expensed w/in 30 business days

Periodic Inspection (Quarterly)

ENVIRONMENTAL

10.2.16. Communicate environmentally

significant issues/events, actions and operations to ensure government leadership…