Attachment_8-_QASP.pdf

HTC711-14-R-W001

Attachment 8

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

GUANTANAMO BAY, CUBA (GTMO)

SEALIFT SERVICES

16 July 2014

1. INTRODUCTION:

1.1 This Quality Assurance Surveillance Plan (QASP) has been developed in accordance with, FAR 46.103 (a) and the United States Transportation Command (USTRANSCOM) Instruction 63-5, for

Guantanamo Bay, Cuba sealift services from the port in Jacksonville, FL to Port in Guantanamo Bay, Cuba.

1.2 This QASP provides the methodology by which the US Government will monitor the contractor’s performance to determine compliance with critical and standard performance objectives as well as service terms and conditions and sets forth the procedures and guidelines to be used by the US Government.

1.3 This QASP, in conjunction with the GTMO Performance Work Statement (PWS), is the primary document for monitoring the Contractor’s performance of transportation services.

2. PURPOSE:

2.1. The purpose of the QASP is to provide the appointed Contracting Officer’s Representative(s)

(COR(s)), with an effective and systematic method to ensure contractor compliance, to define the roles and responsibilities of the Contracting Officer and CORs and to standardize the reporting mechanisms.

2.2 SDDC will nominate CORs who will be responsible for monitoring the Contractor’s performance in accordance with the contract.

2.3. A clearly articulated, uniform QASP is critical to ensure the US Government monitors Contractor performance both fairly and thoroughly while also ensuring that the contractor achieves the required performance standards and requirements as specified in the Performance Work Statement (PWS). In maintaining meaningful and actionable metrics on Contractor performance, USTRANSCOM/SDDC will be in a position to better serve US Government shippers.

2.4. This QASP is based on the premise that the Contractor, and not the US Government, is responsible for management and quality control actions to meet the terms of the contract.

2.5. The QASP is intended to be a “living” document and reviewed as performance warrants.

Consequently, the method and degree of performance assessment may change over time depending on the level of confidence in the contractor(s).

3. ROLES AND RESPONSIBILITIES:

The US Government monitors contractor performance on a continuous basis through the services of the surveillance team. The surveillance team consists of the following members: Contracting Officer and

Contracting Officer’s Representatives.

3.1. Contracting Officer (CO): The CO ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract, and safeguards the interests of the

Government. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

3.1.1. Ensures open communication is maintained between all parties. The CO is the primary focal point for formal interface between the US Government and the contractor and ensures the contractor receives impartial, fair, and equitable treatment under the contract.

3.1.2. Informs the contractor of the names, duties and limitation of authority for all CORs assigned to the contract.

3.1.3. Manages the Contractor performance assessment data, including Contractor Performance

Assessment Reporting System (CPARS) reports, is ultimately responsible for the final determination of the adequacy of the contractor’s performance and takes appropriate action should unacceptable contract performance occur.

3.1.4. The CO is the ONLY US Government official authorized to modify the contract.

3.1.5. Questions regarding interpretation or requests for clarification should be forwarded to the CO or his/her designee.

3.2. Contracting Officer’s Representative (COR): The GTMO COR(s), is/are responsible for monitoring and reporting on Contractor performance/compliance as well as for assisting the US

Government and the Contractor in developing corrective actions where issues exists.

3.2.1. Executes his/her duties in accordance with the scope and limitation outlined in his/her COR appointment letter.

3.2.2. Evaluates and documents the Contractor’s performance in accordance with the procedures set forth in this QASP.

3.2.3. Maintains surveillance documentation and provides said documentation to the CO during and at the conclusion of the contract.

3.2.4. When performance deficiencies are discovered/occur, the COR shall issue a Contractor Deficiency

Notice (CDN) to the Contractor for resolution with the Contracting Officer on copy. If resolution cannot be achieved in a timely manner, the COR will immediately notify the CO for resolution.

3.2.5. Validate contractor invoices for non-IBS ordered services that were performed and submitted to SDDC G8 for payment.

3.2.6. Recommends any changes necessary to the contract, PWS, QASP or other requirements to provide more effective operations or eliminate unnecessary costs.

3.2.7. Ensures changes in work are not initiated before written authorization or modification is issued by the CO.

3.2.8. Participates in the Contractor Performance Assessment Reporting System (CPARS).

3.2.9. COR training must be accomplished in accordance with USTRANSCOM Instruction 63-5. The

COR will notify the CO upon completion of the required training. The CO will provide Contract-Specific training.

4. REPORTING GUIDELINES AND PROCEDURES:

4.1. In the interest of consistency in reporting, contractor-provided EDI/OCI event transactions will serve as the primary data source for the US Government’s program of monitoring contractor performance objectives and ensuring contract compliance as applicable. To that end, Integrated Booking System (IBS), Pipeline Asset Tool (PAT) and Integrated Mission Support for Surface Deployment and Distribution

Command (iSDDC) will be the systems of record for the QASP.

4.2. Business days refer to local business days. Local for the AOR in which the cognizant COR is located at a Quality Assurance Office.

5. PERFORMANCE OBJECTIVE ASSESSMENT:

Contractor performance objectives will be measured by the following COCOM: NORTHCOM to

NORTHCOM

Performance

Objective

PWS

Paragraph

Performance Measure Method of

Surveillance

On-Time

Delivery

4.A.1 Cargo shall be delivered not later than the

Required Delivery Date as accepted in the booking.

100% inspection of all transportation movements

In-Transit

Visibility

4.A.2 The contractor shall provide accurate EDI transactions within 24 hours of the event.

100% inspection of all transportation movements

5.1. Performance assessments shall be conducted monthly. Assessments shall be based upon performance data provided by the Contractor to SDDC.

5.2. The COR will engage with the contractor to resolve all disputed performance assessment data prior to release of the final monthly rating.

5.3. Performance assessments will be calculated in accordance with Table 4.A.3.1 of the PWS.

5.4. The performance objective assessment table above only identifies the performance objectives covered by the QASP. The GTMO contract and PWS will be the documents consulted for complete definitions, explanations, measures, and standards relating to each performance objective.

5.5. The GTMO contractor is required to provide all services called for in the contract, not just those identified in the PWS, Section 4, Performance Requirements

5.6. Performance Ratings:

Contractor

Performance Score

Rating Definition

95% - 100% Exceptional Performance meets contractual requirements and exceeds many to the US Government’s benefit

90% - 94% Very Good Performance meets contractual requirements and exceeds some to the US Government’s benefit

80% - 89% Satisfactory Performance meets contractual requirements

76% - 79% Marginal Performance does not meet some contractual requirements

75% and under Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner

6. GTMO ADDITIONAL PERFORMANCE INDICATORS: The following are the GTMO

Additional Performance Indicators as listed in Section 4 of the PWS:

6.1. Additional Performance Indicators:

Contractor performance will also be monitored on a monthly basis using the API listed below. This information will be considered in the contractor’s annual past performance rating in CPARS.

Performance

Objective

PWS

Paragraph

Performance Measure Method of

Surveillance

Contractor

Deficiency

Notice

4.1.7. Contractor will perform contract in accordance with all terms and conditions in the contract. Compliance with

Contract Terms and Conditions (CCTC) will be measured based on the contractor’s total number of

Contract Deficiency Notices (CDNs) against the contractor’s total shipments with an RDD in the same month as the shipment associated with the CDN.

Periodic inspection of contractor compliance

7. METHODS OF SURVEILLANCE:

Methods of surveillance that will be used in the administration of this QASP are listed below.

7.1. 100% Inspection

100% inspection is inspecting a requirement every time it occurs. Performance Objective No 1 & 2 will be measured as follows:

7.1.1. Performance Objective No. 1: On-Time Delivery

7.1.1.1. The Contractor shall deliver the cargo not later than the Required Delivery Date (RDD) specified in the booking. A Modified RDD may be assigned based on the length of the delay authorized in advance by the US Government.

7.1.1.2. Starting the 1

st calendar day of every month, the contractor will review its performance data for the previous month using the Reporting tab in the Carrier Performance Portal (CPP) and submit for RDD and EDI credit requests or exclusions/deletions in CPP with documentation supporting the request.

Performance data in CPP will be frozen on the 5th calendar day of the month. Contractor can submit for exclusion, deletions, and credits in CPP an additional 3 calendar days until the 8th calendar day of each month.

7.1.1.3 After the 8th calendar day, the applicable COR will review all credit/deletion/exclusion requests and make necessary adjustments in CPP. On the 10th business day of each month, contractor will receive e-mail notification from the COR stating final performance data for the month is available for review in the "History" Tab of CPP.

7.1.1.4. Contractors may view On-Time Delivery reports via Carrier Performance Portal in PAT (requires a password) using their applicable SCAC.

7.1.2. Performance Objective No. 2: In-Transit Visibility (ITV)

7.1.2.1. The Contractor shall provide accurate and timely shipment status reports using the Electronic

Data Interchange (EDI), or the Ocean Carrier Interface (OCI) as required as follows:

- Required transactions for containers: EE, W, I, AE, VD, VA, UV, OA, RA, XI , EC or RD

- Required transactions for break-bulk: W, I, AE, VD, VA, UV, OA, XI

7.1.2.2. Contractors are required to submit 9 EDI transactions for containers and 8 EDI transactions for breakbulk

7.1.2.3. Although required, EC or RD will not be measured with the other required EDI transactions. The

US Government recognizes that in some cases RD submission may occur after shipment RDD.

7.1.2.4. The ITV performance objective is calculated based on a weighted score of EDI submission considered at 80% weight and submission timeliness considered at 20% weight. Each transaction will be independently measured. For example, if the contractor submits six (6) timely transactions out of 8 required transactions, the contractor would receive 75% credit for EDI submission and 75% for EDI timeliness for a combined ITV score of 75% on that shipment.

7.1.2.5. The ITV measure is independent of the On Time Delivery performance measure. Failure to submit a X1 transaction will be considered equivalent to a missed RDD unless conditions under PWS paragraph 4A.2.2 apply. In either case, X1 is a mandatory EDI transaction for all shipments unless the shipment is cancelled or decreased.

7.1.2.6. If contractor fails to submit X1 resulting in missed RDD, contractor will not be measured on the

X1 transaction for ITV compliance (submission or timeliness). In this situation, the Contractor's ITV will be measured for 7 transactions in the Carrier Performance Portal. If contractor provides COR proof that the X1 was submitted and should have been considered for purposes of meeting RDD, CORs will adjust metric for On Time Delivery compliance only.

Example: There are 10 shipments. 9 were delivered on time, 1 was missing X1. COR gives credit for missing X1 for RDD purposes. RDD metric goes from 9/10 to 10/10 (100%). EDI metric goes from

119/119 to 120/120. There is no impact for not adjusting the ITV metric.

7.1.2.7 Starting the 1

st calendar day of every month, the contractor will review its performance data for the previous month using the Reporting tab in the Carrier Performance Portal (CPP) and submit for RDD and EDI credit requests or exclusions/deletions in CPP with documentation supporting the request.

Performance data in CPP will be frozen on the 5th calendar day of the month. Contractor can submit for exclusion, deletions, and credits in CPP an additional 3 calendar days until the 8th calendar day of each month.

7.1.2.8 After the 8th calendar day, the applicable COR will review all credit/deletion/exclusion requests and make necessary adjustments in CPP. On the 10th business day of each month, contractor will receive e-mail notification from the COR stating final performance data for the month is available for review in the "History" Tab of CPP.

7.1.2.9 Contractors may view In Transit Visibility reports via Carrier Performance Portal in PAT

(requires a password) using their applicable SCAC.

7.2. Customer Complaints

Customer complaints and comments can be an effective way to obtain information pertaining to contractor performance, as well as to validate information obtained through other sources. However, customer complaints are likely to be subjective and may not always relate to actual requirements of the contract; therefore, they need to be fully validated.

CORs are the points of contact and must collect all customer complaints. All complaints and any resulting resolution of such complaints must be documented. A locally developed form may be used for this purpose. Customer complaints become a permanent part of the COR surveillance records. Customer complaints may be used to assess performance in any area. Valid customer complaints may be used as the basis for adverse action against the contractor.

7.3. Periodic Surveillance

Periodic surveillance inspection is the type of surveillance that is based upon selecting samples for evaluation on other than 100% inspection or on a statistically random basis. Periodic surveillance inspection is the type of surveillance that is based upon selecting samples for evaluation on other than

100% inspection or on a statistically random basis. Compliance with Contract Terms and Conditions will be measured as follows:

7.4. Compliance with Contract Terms and Conditions

7.4.1. Contractor will perform contract in accordance with all terms and conditions in the contract. CCTC will be measured based on the Contractor’s total number of Contractor Deficiency Notices (CDN) against the Contractor’s total shipments with an RDD in the same month as the shipment associated with the

CDN.

7.4.2. On the 3

rd business day of each calendar month, CORs will coordinate with appropriate SDDC personnel to gather this information.

7.4.3. This information will be displayed with carrier’s performance objective data.

8. OBSERVATION OF NON-PWS ITEMS:

The PWS does not identify every service required, but only those services considered most important for mission accomplishment. The US Government retains the right to inspect for any requirement of the contract, whether or not it is designated as a PWS item. Non-PWS item services should be inspected in the same general manner as periodic surveillance items. The results of these inspections are documented and, if necessary, provided to the CO for action. The CO will handle each documented discrepancy on a case-by-case basis.

9. UNACCEPTABLE PERFORMANCE:

9.1 When the Contractor’s performance is deemed unacceptable, the COR will determine the cause of the unacceptable performance. If any US Government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the contractor. The

COR will take action to ensure US Government action, or lack of action, does not interfere with the

Contractor’s performance in the future.

9.2. If the overall quality of service is not satisfactory, the COR may inform the Contractor’s POC. This will normally be in writing unless circumstances necessitate verbal communications. In any case, the

COR shall document the discussion and place it in the COR file.

9.3. The COR shall prepare a Contractor Deficiency Notice (CDN) and issue it to the contractor for action with Contracting Officer on copy (Attachment 1). The CDN shall reference the appropriate areas within the PWS that addresses the performance objective and state why the performance was not achieved. The contractor will be required to respond to the COR’s generated CDN within ten (10) working days. The contractor’s response shall be in writing and shall provide a detailed explanation as to why performance was not achieved, how performance will be returned to an acceptable level and provide a detailed explanation as to what actions will be taken in the future to prevent recurrence. The COR will evaluate the contractor’s response to determine if the contractor’s actions to prevent future deficiencies are adequate or if further actions by the contractor are required.

9.4. If the deficiencies continue to fail or remain unsatisfactory after the Contractor’s written response to correct the deficiency or a CDN is continuously being issued for the same deficiency, the contractor may be put on notice that if the deficiency is not corrected within a stated time-frame, the Contracting Officer may seek contract remedies.

10. OBSERVATION OF SERVICES NOT INCLUDED IN THE PERFORMANCE

ASSESSMENT: For required services not listed as a performance objective, including all other services in the PWS and any referenced documents, the US Government still retains the right to inspect any item included in the contract in accordance with Federal Acquisition Regulation (FAR) Clause 52.212-4, Contract Terms and Conditions – Commercial Items. Inspection of these services will be performed in the same general manner as the performance objectives.

10.1. Services not performed as ordered will warrant corrective action. The COR shall prepare a

Contractor Deficiency Notice (CDN) and issue it to the contractor for corrective action with Contracting

Officer on copy (Attachment 1).

10.2 Corrective action may include any of the following:

a. Contractor must re-perform or correct the service at no additional cost to the US Government.

b. When the services cannot be corrected by reperformance, the US Government may require the contractor to take necessary action to ensure that future service performance conforms to contract requirements, and reduce the contract price to reflect the reduced value of the services performed.

c. If the contractor fails to promptly perform the acceptable service or to take the necessary action to ensure future service performance is in conformity with contract requirements, the US Government may by contract or otherwise, perform the service and charge to the Contractor any cost incurred by the

US Government that is directly related to the performance of such service.

d. The contract with the Contractor will be terminated for cause.

11. DOCUMENTATION: Complete and orderly files are vital in administering the contract to assure that the Government meets its obligations in order to have a successful contract, particularly when disagreements or questions of interpretation arise. The COR file will play a critical role in resolving a dispute before an administrative or legal review board. All documentation resulting from surveillance is made a permanent part of the contract file. The COR must keep the documentation files during the term of the contract and at the end of the base period and each option year periods, shall transfer the files to the

CO for inclusion in the official contract file.

12. CONTRACTOR PERFORMANCE ASSESSMENT REPORT SYSTEM (CPARS):

The Past Performance Information Retrieval System (PPIRS) is the central repository for a number of

Federal past performance data reporting systems, to include CPARS. CPARS data can be used to effectively communicate contractor’s strengths and weaknesses on a given contract during a specific period of time. TCAQ-I will provide CPARS training to COR, when required.

SAMPLE

CONTRACTOR DEFICIENCY NOTICE

Date

MEMORANDUM FOR Insert Contractor Name

Address

FROM: SDDC XXX

SUBJECT: Contractor Deficiency Notice (CDN) # - HTC711-12- insert contract number-sequential number in three digit format for that carrier (e.g. 009), calendar year in four digits

(e.g. 2012)- SDDC- GCCB

1. Request insert contractor name provide a response detailing the corrective action(s) required to resolve the issue(s) identified in paragraphs 2 and 3.

2. Insert deficiency or problem here. Include PWS paragraph, sub-paragraph, applicable table (s) etc.

3. In accordance with Performance Objective # insert number and title, Section #, Paragraph

XXXX of the Guantanamo Bay Sealift Services Performance Work Statement, insert contractor name, failed to XXXXXXXX

4. Please provide your written response to this NLT___________. Provide detailed

Information as to what steps your company will take to correct the deficiency

Insert COR name

Contracting Officer’s Representative