atch5_QASP.pdf

Attachment 5 to FA520920R0002

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

FOR

INFORMATION TECHNOLOGY (IT)

PROJECT MANAGEMENT AND SYSTEMS

ANALYSIS SUPPORT

FOR THE 374TH COMMUNICATIONS SQUADRON’S

PLANS & RESOURCES FLIGHT AT YOKOTA AB JAPAN

Date: 24 April 2019

NOTE: THIS QASP IS PROVIDED AS AN ATTACHMENT OT THE SOLICITATION FOR

INFORMATION PURPOSE ONLY. IT WILL NOT BECOME PART OF THE CONTRACT.

This Quality Assurance Surveillance Plan (QASP) has been developed as identified in Air Force Instruction (AFI) 63- 138, FAR 46.401, DFARS 246.401 and DFARS 237.172. The QASP explains how to evaluate the 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 this contract. 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 of this contract is to provide Information Technology (IT) Project Management and Systems Analysis Support for the 374th Communications Squadron’s Plans & Resources Flight at Yokota AB Japan. This QASP is designed to provide the COR with an effective and systematic method of monitoring contractor performance for each listed objective on the Services 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. The contractor is required to develop and implement internally a comprehensive program of inspections and monitoring actions to ensure contractual requirements is met. The COR is to be objective, fair, and consistent in evaluating the contractor’s performance against the standard contained in the PWS.

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

MFT: The government personnel listed in paragraph 3. MFT Roles & Responsibilities will participate in the performance management of the contractor. The goals of the team are to:

-manage the contract, -provide an avenue for the business partner, contracting office and the contractor to come together and create a strong working relationship, -and provide the highest level of contract performance and customer service.

Working together will reduce costs and improve contract performance. Contractor input is highly encouraged throughout the contract.

3. MFT ROLES & RESPONSIBILITIES.

The following government officials will actively 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 within the terms and conditions of the contract. At least two CORs will be appointed for this contract. The Functional Commander/Director (FC/FD)/COR’s supervisor is the designating authority. The 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 and contract.

3.1.2. Surveillance: The COR will develop a surveillance schedule -- either computer generated or locally revised forms may be used based on the surveillance plan’s requirements. This schedule should indicate:

- contract number,

- Services Summary (SS) number (inspection items) and paragraph numbers of the PWS,

- and date of inspections.

The schedule must be completed before the first day of the surveillance period that it covers, and shall be uploaded to WAWF CORT (Wide Area Workflow) (Contracing Officers Representative Tool) at https://wawf.eb.mil.

The schedule shall be marked “FOR OFFICIAL USE ONLY” and shall not be shown to the contractor. The COR’s supervisor will sign the schedule before posting to the CORT Tool. The contract administrator (CA) will download the schedule from the CORT Tool.

3.1.2.1. Changes to the assessment schedule shall be posted promptly. Copies of the changed schedule shall be reposted to the CORT Tool for the CA and/or KO’s review. The COR shall document the reason(s) for changes to the assessment schedule, and maintain the documentation in the COR files with the corresponding changed assessment schedule.

3.1.2.2. The COR will conduct inspections of all SS item requirements. The COR may also receive feedback from customers and other Government employees and pass them on to the contractor's on-site manager(s) for correction.

Completion of the surveillance for the month will be signed by the COR. If discrepancies are found during surveillances, the COR Supervisor must sign surveillance documentation for the purpose of oversight.

3.1.3. Invoices: Invoicing in accordance with WAWF is mandatory per DFARS 252.232-7003 Electronic Submission of Payment Requests and Receiving Reports. The COR will certify and forward the electrical invoice to DFAS for payment and cc 374 CONS/PKSA. Invoices shall contain the information required by FAR 52.212-4(g).

3.2. Contracting Officer (KO):

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

The FC/FD COR Supervisor has 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 CORs to the Multi-Functional Team. The FC/FD/COR’s supervisor will also assign at least two CORs 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 IAW DoDI 3020.37, Continuation of Essential DoD Contractor Services During Crisis. The FC/FD/COR’s supervisor is responsible for reviewing contractor’s performance documentation prepared by the COR ensuring contract compliance.

3.4. Contracting Squadron Commander:

Serves as the business advisor to senior leadership, i.e., wing commander and group commanders. Conducts 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.

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. 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 Services

Summary (SS) and QASP and provides training to all FC/FD/COR’s supervisor, CORs and others that interact with this contract as needed.

3.6. 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 Services Summary Guides reflect the performance evaluation required by the PWS.

SERVICES SUMMARY (SS) AND METHOD OF ASSESSMENT

SS Number and Performance Objective

PWS

Paragraph

Performance Threshold

Method of Assessment(s)

90% of project management support is Periodic completed within required timeframe. Inspection SS1: IT Project Management Support

1.1.

No more than two (2) valid customer Customer complaints per month Complaints

90% of IT systems technical assistance is Periodic completed within required timeframe. Inspection

SS2: Systems Analysis Support

1.2.

No more than two (2) valid customer Customer complaints per month. Complaints

SS3: Monthly Status Reports (MSR)

1.3. 100% of the time and NLT the 5th duty day of the month.

Monthly Inspection

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 ast 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, and

- signature of COR conducting the assessment.

When the COR determines 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 in paragraph 4.4.

4.4. Method of Inspection

4.4.1. Periodic Inspection

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 or the appropriate Inspection of Services clause, if any of the above service areas exceed the performance thresholds.

Procedures: The COR shall inspect the performance objectives indicated in the SS on the frequency as specified in the SS and record performance as acceptable or unacceptable. The COR shall record results in Contracting Officer’s Representative Quarterly Surveillance Report in Appendix A. The surveillance documentation in Appendix A outlines the same items indicated on the SS for COR’s quarterly schedule and record. If during an inspection the COR finds unacceptable service, they will conduct an investigation to ascertain the validity and cause of the unacceptable service and notify the contractor’s contract manager of the findings. Based on the findings, the contract manager may be asked to re-perform. If the contract manager disagrees with the complaint and challenges the validity, the COR will contact the KO. The deficiency will be recorded even if correction of the unacceptable condition(s) is accomplished.

Recurring deficiencies in excess of the performance thresholds listed in the SS are not permitted for any of the performance objectives listed in the SS. If a repeated unacceptable service is received indicating the same deficiency during the same service period (month, quarter, etc.), the COR should contact the KO for appropriate action.

4.4.2 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 B. 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 C. When the COR validates the complaint, the COR should inform the contractor’s contract manager/quality control personnel of the approximate time the defect(s) will be corrected. Customer complaints received verbally will be maintained in a Customer Complaint Log (Appendix D). The COR will also inform the KO of the matter. The contract manager/quality control personnel 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 contract quality control personnel, 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 surveillance records.

If the contract manager/quality control personnel disputes the complaint and challenges the validity of the complaint, and the dispute cannot be resolved between the contract manager 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.

4.4.3. Monthly Inspection

Standard: Contractor shall submit Monthly Status Report IAW PWS 1.3. to the COR not later than 5th duty days of each month.

Procedures: The COR immediately review Monthly Status Report from the contractor and sign if there is no discrepancy. The COR upload the signed Monthly Status Report to WAWF and keep hard copy in COR folder.

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 contract manager 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. 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): 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 obtain his/her supervisor’s signature as 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. TRAFFICKING IN PERSONS.

The COR must immediately inform the KO if contractor/subcontractor and/or contractor/subcontractor personnel fail to comply with the requirements of FAR 52.222.50, and the KO shall take actions IAW Defense COR Handbook on Combating Trafficking in Persons: http://www.acq.osd.mil/dpap/cpic/cp/docs/USA001390- 12_DoD_COR_Handbook_Signed.pdf. “

7. REVISIONS TO THIS PERFORMANCE PLAN.

Revisions to this QASP are the joint responsibility of the FD/FC/COR’s supervisor, the KO and the 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.

MARCUS R. SNODDY TY CHRISTIAN

Contracting Officer’s Representative’s Supervisor Commander, 374th Contracting Squadron

MSGT CRAIG D. BANKS THOMAS L. REESE

Contracting Officer’s Representative Contracting Officer

PHILIP R. POVOLISH KIYOMI OKAMURA

Functional Expert Quality Assurance Program Coordinator

KAORI KANEMATSU

Contract Administrator

Appendix A Sample of the Contracting Officer’s Representative Quarterly Surveillance Report

CONTRACTING OFFICER'S REPRESENTATIVE (COR)

QUARTERLY SURVEILLANCE SCHEDULE AND ASSESSMENT

DOCUMENTATION

CONTRACT NUMBER QUARTERLY/FISCAL YEAR

COR(s) Name(s):

METHOD OF INSPECTION:

Periodic Inspection and Customer Complaint for all SS Items (Schedule is for Periodic Inspection Only.)

DAY

Location

Time

SS Item/ PWS Paragraph

Description

SS Item #1

IT Project Management Support Para 1.1.

Schedule

90% of project management support is completed within required timeframe.

Surveillance

Result

Schedule

No more than two (2) valid customer complaints per month.

Customer Complaint Received

SS Item #2 System Analysis Support

Para 1.2.

Schedule 90% of IT systems technical assistance is completed within required timeframe.

Schedule

No more than two (2) valid customer complaints per month.

Customer Complaint Received

SS Item #3 Monthly Status Reports (MSR)

Para 1.3.

Schedule

100% of the time NLT 5th duty day of each month

Conducting the Surveillance

Signature of COR

Reviewing the Assessment

Signature of COR's Supervisor

Approval for Assessment Documentation

Signature of Contracting Officer

INSTRUCTIONS:

1. Check the boxes if surveillance was conducted. The schedule shall not be shown to the Contractor.

2. At the completion of the inspection, use this form also to record the result of the inspection.

a. Place "A" when the service is acceptable. Place "U" when the service is unacceptable and forward it to the Contracting Officer with back-up documents for further action.

b. Place "U" when a valid customer complaint is received and forward it to the Contracting Officer with back-up documents as applicable.

Remarks

FOR OFFICIAL USE ONLY (When Filled In)

Appendix B 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 C 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

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. CONTRACTOR REPRESENTATIVE 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 D Sample Customer Complaint

Log

Date

Customer Name ORGN/Phone Number

Complaint Section Referred to & Date

Complaint: