Atch2_QASP.pdf

Attachment 2 for Solicitation No. FA5209-13-T-0071

QUALITIY ASSURANCE SURVEILLANCE PLAN

(QASP)

Date: 1 Apr 2013

FOR

FREIGHT FORWARDING SERVICES

FOR

JAPAN FREIGHT RAILWAY COMPANY (JFRC)

5-TON CONTAINERS

This QASP, formerly known as the Performance Plan, has been developed as identified in Chapter 4, Acquisition of Services under Air Force Instruction (AFI) 63-101, Acquisition and Sustainment Life Cycle Management. The QASP has been developed to evaluate contractor actions while implementing the Performance-based Work Statement (PWS). This plan will be used by the Contracting Officer’s Representative (COR) to ensure contractor compliance on the Freight Forwarding Services for Japan Freight Railway Company (JFRC) 5-Ton Containers. This plan prescribes the objective in having the services, the goals of the multi-functional team, team members and their roles and responsibilities, and how the multi-functional team will assess contractor performance and manage the contract to obtain efficiencies, improved performance, and cost savings throughout its life cycle.

1. OBJECTIVE.

The objective is to provide all labor, materials, tools, equipment, parts, transportation, and other items and services necessary to perform Freight Forwarding Services for JFRC 5-Ton Containers, in accordance with (IAW) the PWS. In addition to the services described in the PWS, the contractor is expected to be a partner with the base community in continuously improving the quality of programs and services offered to customers.

This QASP is designed to provide the COR with an effective and systematic method of monitoring contractor performance for each listed objective on the Service Summary (SS) in the PWS. This QASP provides a systematic method to evaluate the services the contractor is required to furnish and not the details of how the contractor accomplishes the work. This QASP is based on the premise that the contractor, and not the government, is responsible for management and quality control actions to meet the terms of the contract. The role of the government is quality assurance to ensure contract standards are achieved. The government will also rely on the contractor's existing or developed Quality Control System for ensuring contractual requirements is met. The contractor is required to develop and implement a comprehensive program of inspections and monitoring actions. The COR is to be objective, fair, and consistent in evaluating the contractor’s performance against the standards contained in the PWS.

2. GOALS OF THE MULTI-FUNCTIONAL TEAM (MFT).

2.1. Initial Performance Review: The initial evaluation of contractor performance shall take place within 30 calendar 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.

2.2. The government personnel listed in paragraph 3 below will participate in performance management of the contractor. The MFT is established and meetings are held as MFT meetings. The goals of this team are to manage this contract and to provide an avenue to collectively work together to create a strong working relationship between the using agency, contracting and the contractor and to provide the highest level of contract performance and customer service. Working together will reduce costs and improve contract performance. Contractor input shall be encouraged throughout the contract. Their roles and responsibilities are described in paragraph 3 below.

3. MFT ROLES & RESPONSIBILITIES.

The following government officials will participate in performance management of the contractor. Their roles and responsibilities are described as follows:

3.1. Contracting Officer’s Representative (COR):

3.1.1. Responsible for monitoring, assessing, recording and reporting on contractor compliance with the terms and conditions of the contract. A primary and alternate COR will be appointed for this contract. The Functional Commander/Director(FC/FD)/COR’s supervisor is the designating authority. COR will have primary responsibility for completing quality assurance monitoring forms that will be used to document the inspection and evaluation of the contractor’s performance. The COR will maintain surveillance documentation, notify the Contracting Officer (KO) of any significant performance deficiencies and recommend improvements to the QASP and PWS throughout the life of the acquisition.

3.1.2. Surveillance: The COR will conduct inspections of all SS items when required. The COR may also receive feedback from Transportation Officers (TO) who are the users of the subject contractor’s service and other government employees, and pass them on to the contractor’s representative for correction. As deficiencies occur, documentation must be forwarded to the contracting office.

Note: TOs are responsible for certifying receipt of the contractor’s service on a Bill of Lading, USFJ Form 334EJ (BL). The Contractor will submit an invoice on a monthly basis to DFAS-JRLD/JA along with BLs.

DFAS-JRLD/JA will verify these documents to make payment.

3.2. The Contracting Officer (KO):

Overall responsibility for overseeing the contractor’s performance. The KO will be responsible for monitoring of the contractor’s performance in the areas of contract compliance, contract administration, cost control, and property control; reviewing the COR assessment of the contractor’s performance; and resolving all differences between the COR version and the contractor’s version of events. The KO is the only person with the authority to direct the contractor in the performance of his duties under the contract and to make interpretations of and/or changes to the contract. The KO will facilitate multi-functional team meetings.

3.3. The Functional Commander/Director (FC/FD)/COR’s supervisor:

Overall responsibility for developing the PWS and the QASP to ensure mission requirements, are performance-based, foster innovation, and define metrics. The FC/FD/COR’s supervisor will assign competent and capable functional experts and COR to the MFT. The FC/FD/COR’s supervisor will also assign primary and alternate COR and notify the KO of any changes to this designation and any significant contractor deficiencies related to the performance of the contract. The FC/FD/COR’s supervisor is responsible for identifying mission essential services and developing the necessary documents in accordance with applicable rules and regulations. The FC/FD/COR’s supervisor is responsible for reviewing contractor’s performance documentation prepared by the COR ensuring contract compliance.

3.4. The Contracting Squadron Commander:

Serves as the business advisor to senior leadership i.e. wing commander and group commanders. Conduct Post-award Annual Execution Review, briefing top 5 contracts in the aggregated amount to the Service Advocate (SA) thru the Service Designated Official (SDO), and annually report the Health of Services Assessment to SA thru SDO. Ensures that the MFT exercises acquisition authorities and responsibilities IAW the Federal Acquisition Regulation (FAR), Defense Federal Acquisition Regulation (DFARS), Air Force Federal Acquisition Regulation (AFFARS) and AFIs. Responsible for developing and implementing acquisition strategies for services acquisitions; providing oversight of the MFT in planning, assessing contractor performance, and managing the acquisition throughout the life of the requirement; and ensuring personnel on the MFT receive the appropriate level of training to meet local needs.

3.5. The Quality Assurance Program Coordinator (QAPC):

Develops, manages and implements the base Quality Assurance Program; supports the MFT in the development of contract requirements, ensuring requirements are clearly stated and enforceable; aids in development of the SS, PWS and QASP and provides training to all FC/FD/COR’s supervisor, CORs and others that interact with this contract as needed.

3.6. The Contract Administrator (CA):

The focal point for issues regarding the contract; prepares and processes modifications to the contract; assists the KO in ensuring contractor performance meets contract standards; records and transcribes minutes for meetings.

3.7. Others as needed: The MFT may include other organizations as deemed necessary.

4. PERFORMANCE ASSESSMENT.

4.1. The following SS Guides reflect the performance evaluation required by the PWS.

SERVICE SUMMARY (SS) AND METHOD OF ASSESSMENT

Performance Objective

PWS

Paragraph Performance

Threshold Method of Assessment

SS1: Compliance with hazardous freight requirement

1.2.3 and 1.3.3 Customer complaints shall not exceed 1 per month.

Customer complaint.

SS2: Compliance with Transportation Officer’s schedule

1.6.1 Customer complaints shall not exceed 3 per month.

Customer complaint.

SS3: Proper stowage of freight 1.6.6 Customer complaints shall not exceed 3 per month.

Customer complaint.

4.2. Assessment of SS Items: The COR will perform inspections to ensure contractor compliance with the appropriate paragraphs of the PWS and will record the results of inspection, noting the date of inspection.

4.3. Assessment Documentation shall include as a minimum, the date, time, and location the assessment was conducted, results of the assessment (acceptable or unacceptable), PWS paragraph number referencing the requirement, a short description of the requirement being surveyed, applicable remarks, signature of COR conducting the assessment. When COR determine that contractor performance is unacceptable, the specific reason for the unacceptable performance shall be recorded on the COR’s assessment documentation. The methods of inspection are listed below.

4.4. Methods of Inspection:

4.4.1. Customer Complaints

The key to the success of a customer feedback system is customer education. If customers are aware of the services they are entitled to receive and the contract standards for those services, the result is an effective customer feedback system. The COR will establish a customer education program and familiarize their customers with applicable contract requirements and this information shall be maintained in the COR surveillance file. The information provided may consist of brochures, newspaper articles, emails, or anything that provides the customer with status on the service, the COR, and the complaint process. Customer feedbacks are not considered valid upon receipt, the COR must validate and process for action, as applicable.

Standard: Deficiencies shall not exceed the performance thresholds cited in the SS for each performance objective. The COR shall notify the KO for appropriate action in accordance with FAR 52.212-4, Contract Terms and Conditions-Commercial Items clause, if any of the above service areas exceed the performance thresholds.

Procedures: Customer complaints may be received from customers through any method that contains adequate information for the COR to validate the complaint (i.e. date/time of complaint, organization, name, phone no., bldg. no., contract title or number, detailed description of the complaint). A sample of the Customer Complaint Record is found in Appendix A. The Customer may verbally express his/her complaint by a telephone call or in person. The COR may also accept customer complaints by e-mail or fax. When a customer complaint is received, the COR will conduct an investigation to determine the validity of the complaint. A sample of Performance Assessment Report is in Appendix B. When the COR validates the complaint, the COR should inform the contractor’s contract manager (CM) of the approximate time the defect(s) will be corrected. Customer complaints received verbally will be maintained in a Customer Complaint Log (Appendix C). The COR will also inform the KO of the matter. The CM shall return the written customer complaint document, properly completed with actions taken, to the COR, who will file the complaint for monitoring future recurring performance. Upon receipt of the completed document from the CM, the COR will provide a copy of it to the KO.

After investigation and validation of the services, a completed copy of Customer Complaint Record Form will be distributed to the complainant, the contractor and contracting office respectively and the original will be filed in COR folder. Customer complaint forms become a permanent part of the COR surveillance records.

If the CM disputes the complaint and challenges the validity of the complaint, and the dispute cannot be resolved between the CM and the COR, the COR will refer the matter to the KO for a final decision. If the COR determines the complaint as invalid, he/she will document the findings, and file the annotated complaint form for file. All surveillance documentation will be forwarded to the KO at contract completion except deficiency that will immediately be forwarded to the KO.

4.5. Assessment of Non-SS Items: All other tasks required under the PWS may be inspected on a random basis at a frequency determined by the FC/FD/COR’s supervisor and the KO.

4.6. Remedies for Non-Conformance: If inspections indicate unacceptable performance, the COR will notify the contractor’s CM of the deficiencies for correction. The contractor shall be given an appropriate time frame (depending on the discrepancy identified) after notification to correct the unacceptable performance. If deficiencies are not corrected within the required time frame, the COR should notify the KO for action. If the contractor disagrees with the noted discrepancy and an agreement cannot be reached, the KO shall be notified for a final decision. When reperformance is not possible, contract price may be reduced to reflect the reduced value of the services performed.

5. PERFORMANCE MANAGEMENT.

5.1. Market Research: Market research will be used as a tool throughout the life of the contract to remain current with the most efficient and effective assessment methods and techniques of the commercial marketplace. As a minimum, market research will be conducted annually prior to exercising the option periods.

5.2. MFT Meetings: The MFT and contract specific MFT will manage the contract for the life of the contract.

This team will form a partnership between the government and the contractor to ensure the best possible service is provided for the life of the contract. This team will meet upon exercising contract options.

5.2.1. All performance assessment documentation will be reviewed at these meetings. If performance improvement is necessary a plan of action will be created. The MFT will continually review documentation and procedures to improve efficiency. If a MFT is required more often than annually it will be scheduled by the KO.

5.3. Quarterly COR Performance Assessment: CA will perform quarterly surveillances to ensure contract compliance and proper documentations of COR’s files.

5.4. Contract Performance Assessment Reporting System (CPARS)(not on-line): COR shall conduct, document, track, and analyze contractor performance via regularly scheduled assessments. The assessment results shall be maintained as Past Performance Information and utilized to prepare and support annual Performance Assessment Report System (CPARS) reporting. CPARS will be updated at least annually documenting contractor performance for this specific contract. More frequent updates may be made as required to document a significant improvement or degradation of the level of contract performance. The Assessing Official Representative (AOR) will be the COR, who will also prepare the CPAR document and his/her supervisor will be the Assessing Official (AO), who will review the CPAR. The contractor will have input prior to this CPAR being finalized. The contractor will select their personnel to serve as Contractor Representatives (CR) to review and comment on the CPAR. The CPAR will be sent to the Reviewing Official (RO) if there is significant disagreement on the CPAR's ratings between the AO and the CR or if the AO chooses to revise the assessment as a result of the CR's comments. The RO is the KO. The KO’s signature shall not be delegated.

6. REVISIONS TO THIS QASP.

Revisions to this QASP are the joint responsibility of the FD/FC/COR’s supervisor, KO and COR. The COR reviews the PWS and QASP annually and will provide proposed changes through the FC/FD/COR’s supervisor to the MFT for review. This is a living document that can be changed at any time if the overall scope of the contract does not change.

Appendix A Sample Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE

NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix B Sample Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

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

1. CONTRACT/TASK ORDER NUMBER 2. CONTRACTOR 3. TYPE OF SERVICES

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY

BOX WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE (CR)

CONCUR NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CR CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED

DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS

16. CR REMARKS

Appendix C Sample Customer Complaint Log

Date Customer Name ORGN/Phone

Number Complaint Section

Referred to & Date

Complaint: