Attachment_J14_Quality_Assurance_Surveillance_Plan-1.0

M67854-19-R-7800 Attachment J14

UNCLASSIFIED

Quality Assurance Surveillance Plan (QASP) for

Marine Air–Ground Task Force (MAGTF) Training Systems Support (MTSS)

Support Services

Version 1.0

30 March 2018

Prepared by

Program Manager, Training Systems

DISTRIBUTION STATEMENT A. Approved for public release. Distribution is unlimited.

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Table of Contents

Vision

Mission

Purpose

Scope

Authority

Roles and Responsibilities

Contracting Officer (KO)

Program Management Office

Requiring Activity

Contracting Officer’s Representative (COR)

Contractor Representatives

Performance Requirements and Method of Surveillance

MTSS Support Services Requirements Worksheets

Contract Surveillance

Performance Reporting

Contractor Performance Assessment Reporting System (CPARS)

Customer Complaint Record (CCR)

List of Tables

Table 1 - Evaluation Ratings Definitions

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Vision 1

The Marine Air–Ground Task Force (MAGTF) Training Systems Support (MTSS) Support 2 Services contractor shall provide effective unit- and staff-level training exercises at the service, 3 Joint and combined level, functional and technical modeling and simulation support, support to 4 formal learning centers, support for Training and Readiness (T&R) development, cybersecurity 5 services, in-service support to modelling and simulation and ground training systems, and 6 computer network/ancillary information technology (IT) support services. 7

Mission 8

The mission of Training and Education Command (TECOM) is to develop, coordinate, resource, 9 execute, and evaluate training and education concepts, policies, plans, and programs to ensure 10 Marines are prepared to meet the challenges of present and future operational environments. 11

The mission of the MAGTF Staff Training Program (MSTP) is to provide training in MAGTF 12 warfighting skills, within the context of a joint and combined environment, in order to improve 13 the warfighting skills of senior commanders and their staffs and to provide feedback into the 14 Expeditionary Force Development System. 15

The Marine Corps Logistics Operations Group (MCLOG) provides standardized, advanced 16 individual training in MAGTF logistics operations and unit readiness planning at the Battalion 17 and Regiment levels; conducts battle staff training; facilitates logistics education and manages 18 doctrine, training standards, tactics, and institutional training programs in order to enhance 19 combat preparation and performance of logistics combat element units in MAGTF operations. 20 Additionally, MCLOG serves as the institutional caretaker of the Logistics, Tactics, Training and 21 Education Program (LTTEP). 22

Marine Aviation Weapons and Tactics Squadron 1 (MAWTS-1) is responsible for providing 23 standardized advanced tactical training and certification of unit instructor qualifications in order 24 to support Marine aviation training and readiness. MAWTS-1 accomplishes this by conducting 25 the twice-annual Weapons and Tactics Course, as well as supplementary courses of instruction as 26 directed. MAWTS-1 also provides assistance in the development and employment of aviation 27 weapons and tactics. 28

The School of Infantry-East (SOI-E) is responsible for conducting entry-level infantry Military 29 Occupational Specialties (MOS) qualification, basic combat skills training for non-infantry and 30 advanced infantry MOS progression training for infantry squad leaders, section leaders, platoon 31 sergeants and operations chiefs as well as basic refresher training to Selected Marine Corps 32 Reservists who have been recalled in support of the operating forces. 33

The Basic School (TBS) trains and educates newly commissioned or appointed officers in the 34 high standards of professional knowledge, esprit-de-corps, and leadership in order to prepare 35 them for duty as company grade officers in the operating forces, with particular emphasis on the 36 duties, responsibilities, and professional abilities required to serve as a rifle platoon commander. 37

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Purpose 38

This Quality Assurance Surveillance Plan (QASP) is a Government-developed document that 39 details how and when the Government will surveil, observe, test, sample, evaluate, and document 40 contractor performance in each MTSS Support Services task order Performance Work 41 Statements (PWS). The objective of contract surveillance is to monitor contractor performance to 42 assure the services received are consistent with contract quality requirements and received in a 43 timely manner. Because it is developed and used by the Government, the QASP can be modified 44 at any time. The QASP may be adjusted to address contract risk not originally anticipated or no 45 longer a risk to contract success. The QASP provides the detailed process for continuous contract 46 monitoring and surveillance: 47

What will be monitored? 48 How will monitoring take place? 49 Who will conduct the monitoring? 50 How will monitoring efforts and results be documented? 51

Scope 52

The Contractor is responsible for implementing and delivering performance that meets contract 53 requirements. The QASP provides the structure for Government monitoring and surveillance of 54 the Contractor's performance to ensure that it meets contract requirements. It is the Government's 55 responsibility to be objective, fair, and consistent in evaluating the Contractor’s performance. 56

This QASP is a living document. Flexibility in the QASP is required to allow for an increase or 57 decrease in the level of surveillance that is necessary based on Contractor performance. In 58 addition, the QASP should recognize that unforeseen or uncontrollable circumstances might 59 occur that are outside the control of the Contractor. The QASP is intended to promote the early 60 identification and resolution of performance issues to minimize negative impact to the mission of 61 the organizations supported by the MTSS Support Services contract. 62

Authority 63

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition 64 Regulation (FAR), which provides for inspection, acceptance, and documentation of the services 65 required to be delivered or performed in the contract or order(s). This acceptance is to be 66 executed by the Contracting Officer (KO), or other duly authorized representative, such as the 67 Contracting Officer’s Representative (COR).1 Given that the acquisition strategy for the 68 procurement of services to support the MTSS Support Services requirement will consist of 69 multiple award Indefinite Delivery/Indefinite Quantity contracts for the same or similar services, 70 and where it is anticipated that multiple recurring task orders for services that take place in 71 geographically dislocated locations will be issued, the assignment of individual CORs at the task 72

1 The use of the term Contracting Officer’s Representative (COR) throughout this document also includes the term Alternate COR (ACOR), if an ACOR is appointed in writing by the Contracting Officer, unless specifically excluded. An ACOR, if appointed, can only act in the absence of the appointed COR. There can only be one COR for a contract (or task order), and the duties of the COR are not delegable.

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order level may be required to best support adequate monitoring and surveillance at the task 73 order level. The judgment on how to best conduct contract surveillance activities shall be 74 reserved to the KO. However, the assignment of individual CORs at the task order level shall be 75 consistent with DoD policy and the requirements of the MTSS Support Services contract. 76

Roles and Responsibilities 77

The following personnel shall oversee and coordinate surveillance activities: 78

Contracting Officer (KO) 79

The KO will also ensure that the Contractor receives impartial, fair, and equitable treatment 80 under this contract. The KO will also: 81

Identify, by the complexity of the work/requirement (Type A, B, or C), the 82 duties/responsibilities to be performed by a COR and the qualification requirements that a 83 COR must meet 84

Advise the requiring activity of the need for COR support 85 Determine whether an individual nominated to serve as a COR is trained and qualified 86 Notify the requiring activity if an individual nominated to serve as a COR is acceptable, 87 or identify training deficiencies for the nominated individual, or request additional 88 nominations if applicable 89

Provide an orientation to the COR nominee that addresses: duties/responsibilities to be 90 delegated; unique terms and conditions of the contract; the importance of performance 91 while serving as a COR; personal conflicts of interest (COI) and potential COI; informal 92 commitments/unauthorized commitments; and ethics/integrity in relationships with the 93 KO/program management office administering the contract/contractor 94

Designate specific duties/responsibilities to the COR prior to contract (task/delivery 95 order) award and ensure that the letter of appointment/designation is included in the 96 contract file 97

When performance of COR functions is unsatisfactory, address concerns with the COR. 98 If performance remains unsatisfactory, notify the COR’s supervisor of performance 99 issues and request that the COR’s supervisor address performance with the COR or 100 nominate a successor COR 101

When the requiring activity requests termination of COR designation due to transfer, 102 retirement or other causes, the KO must terminate COR designation. The Requiring 103 Activity may not terminate a COR designation 104

Assigned KO: To be completed after contract award 105

Organization or Agency: PM TRASYS 106

Telephone: To be completed after contract award 107

Email: To be completed after contract award 108

Program Management Office 109

The program management office administering the contract shall: 110

Identify a prospective COR to serve at the contract-level for each contract awarded 111

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Discuss with the contract-level COR nominee the contract-level COR 112 duties/responsibilities to be designated and the importance of performance of COR 113 duties/responsibilities 114

Ensure that the contract-level COR nominee has no personal conflicts of interest with 115 performing the duties/responsibilities to be delegated by completing the Office of 116 Government Ethics Form 450, Confidential Financial Disclosure Report, upon 117 appointment and prior to contract award 118

Ensure the contract-level COR nominee receives required training prior to contract 119 award 120

Incorporate performance of contract-level COR responsibilities into COR 121 nominee/COR’s performance objectives for performance evaluation 122

Develop and forward contract-level COR nomination package to the KO using the 123 CORT Tool 124

Request termination of a contract-level COR designation to the KO and nominate a 125 qualified successor contract-level COR, if the contract-level COR is unable to 126 perform for any reason, including unsatisfactory performance, transfer or retirement 127

Elect to address performance issues with the contract-level COR or elect to nominate 128 a successor contract-level COR, if the KO notifies the program management office of 129 COR performance issues. Issues in performance of contract-level COR 130 duties/responsibilities shall be addressed in the contract-level COR’s performance 131 assessment 132

Assignment of responsibilities as a contract-level COR does not preclude assignment 133 of responsibilities as a COR for one or more task/delivery orders issued under the 134 resulting contract(s) 135

Requiring Activity 136

In cases where the KO has determined that assignment of responsibilities to an individual COR 137 at the task/delivery order level is the best approach to performing Government contract quality 138 assurance activities, the Requiring Activity shall: 139

Identify a prospective COR 140 Discuss with the COR nominee the COR duties/responsibilities to be designated and the 141 importance of performance of COR duties/responsibilities 142 Ensure that the COR nominee has no personal conflicts of interest with performing the 143 duties/responsibilities to be delegated by completing the Office of Government Ethics 144 Form 450, Confidential Financial Disclosure Report, upon appointment and prior to 145 contract award 146

Ensure COR nominee receives required training prior to contract award 147 Incorporate performance of COR responsibilities into COR nominee/COR’s performance 148 objectives for performance evaluation 149 Develop and forward COR nomination package to the KO using the CORT Tool 150 Request termination of a COR designation to the KO and nominate a qualified successor 151

COR, if the COR is unable to perform for any reason, including unsatisfactory 152 performance, transfer or retirement 153

Elect to address performance issues with the COR or elect to nominate a successor COR, 154

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if the KO notifies the requiring activity of COR performance issues. Issues in 155 performance of COR duties/responsibilities shall be addressed in the COR’s performance 156 assessment 157

Organization or Agency: Various 158

Telephone: Various 159

Email: Various 160

Contracting Officer’s Representative (COR) 161

The QASP is the primary tool for documenting contractor performance. The COR uses the 162 QASP to conduct the oversight/surveillance process. General information about COR 163 responsibilities is provided for in Federal Acquisition regulation (FAR) §1.602 and Defense 164 Federal Acquisition Regulation Supplement (DFARS) §201.602, “Contracting Authority and 165 Responsibilities,” and in a companion resource, DFARS Procedures, Guidance and instructions 166 (PGI) §201.602-2, “Responsibilities.” The KO shall specify the COR’s responsibilities in the 167 letter of COR appointment/designation. Only the duties delegated to the COR by the KO will be 168 in the appointment/designation letter. The COR shall: 169

Initiate request for required COR training/COR refresher training to ensure required 170 training is completed prior to contract or task/delivery order award 171

Provide information necessary to document required training and to determine absence of 172 personal conflicts of interest. COR nominees and CORs must notify their supervisor and 173 the KO if a potential or actual conflict of interest exists or subsequently arises 174

Participate, as appropriate, in requirements definition/acquisition planning and contract 175 formation processes 176

Ensure that COR duties/responsibilities are properly addressed in individual performance 177 objectives and appraisals 178

Establish and maintain individual COR files for each contract in accordance with DFARS 179 PGI 201.602-2(vi) 180

Review and understand the terms and conditions of the contract and/or task/delivery 181 orders for services/supplies 182

Perform COR duties/responsibilities as designated in writing by the KO 183 Shall not appoint, designate, re-designate or sub-designate COR duties/responsibilities to 184 other persons 185 Provide monthly reports on contract performance to the KO 186 When advised by the KO that their COR designation will be terminated, ensure that all 187 reports/records/communications are made available to the program management office 188 administering the contract, the successor COR and the KO 189

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Request relief from COR designation through supervisor or KO in advance of 190 reassignment or separation from the Government to permit the requiring activity to have 191 adequate time to select, train and nominate a successor COR 192

Assigned COR: To be completed after contract award 193

Organization or Agency: Various 194

Telephone: Various 195

Email: Various 196

Contractor Representatives 197

Upon contract award, the Contractor shall provide the title(s), name(s), telephone, and email 198 contact information for contractor personnel assigned the responsibility for quality assurance 199 during the contract period of performance. 200

Performance Requirements and Method of Surveillance 201

This section describes the special requirements and provides details of various considerations for 202 this effort. 203

MTSS Support Services Requirements Worksheets 204

Each MTSS Support Services order for services will include a Requirements Worksheet, as an 205 appendix to the task order PWS that lists the performance objectives and standards that must be 206 met by the Contractor. This matrix details the method of surveillance that the COR will use to 207 validate and inspect these performance elements. Performance objectives define what results are 208 required. Performance standards define what level of performance is required to meet the 209 performance objective or task. The inspection requirements define what, how, when, and by 210 whom inspections will be conducted to measure Contractor performance. 211

Contract Surveillance 212

The goal of the QASP is to ensure that Contractor performance is effectively monitored and 213 documented. The COR's professional, non-adversarial relationships with the KO and the 214 Contractor will enable positive, open, and timely communications. The foundation of this 215 relationship is built upon objective, fair, and consistent COR evaluations of Contractor 216 performance against contract requirements. The COR uses the methods contained in this QASP 217 to ensure that Contractor performance meets all contract requirements. The COR is responsible 218 for a wide range of surveillance requirements that effectively measure and evaluate the 219 Contractor's performance. 220

Performance Reporting 221

Contractor Performance Assessment Reporting System (CPARS) 222

The Federal Acquisition Regulation (FAR) requires that contractor performance information be 223 collected (FAR Part 42.15) and used in source selection evaluations (FAR Part 15). The 224 contractor performance evaluation contained in the CPARS is a method of recording contractor 225

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performance and is not the primary method for reporting performance information to the 226 contractor. Contractor performance reporting will occur at the task/delivery order level. Ratings 227 will be applied as follows: 228

Performance Rating

Definition

Exceptional

Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good

Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor was effective.

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 contractor appear or were satisfactory.

Marginal

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

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 a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

Table 1 - Evaluation Ratings Definitions 229

Customer Complaint Record (CCR) 230

A Customer Complaint Record is included as Appendix A to this QASP. The CCR is a tool to 231 assess contractor performance of the requirements contained in the PWS that accompanies each 232 task order for services. The customer will submit CCRs for contractor performance suspected of 233 not satisfying the contract’s performance requirements. Upon receipt of the CCR, the COR will 234 assess the nature of the complaint relative to all available information, including the performance 235 requirements of the task order PWS. The COR will make a recommendation to the KO 236 concerning the disposition of the complaint (i.e. valid complaint or not valid complaint). The 237 KO’s disposition of the complaint is final. 238

In cases where an Acceptable Quality Level (AQL), data source, or method of assessment 239

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involves the Customer Complaint Record (CCR), each performance objective will be assessed 240 for adequacy. Notwithstanding the CCR requirements for a specific performance objective, 241 overall Contractor performance for each task order will be assessed as “unsatisfactory” if a total 242 of three validated CCRs are received for a given calendar month, four validated CCRs are 243 received for a calendar quarter (e.g., 01 Jan – 31 Mar; 01 Apr – 30 Jun; 01 Jul – 30 Sep; 01 Oct ‐244 31 Dec), or 6 validated CCRs are received for a continuous 12-month period across any 245 combination of performance objectives.246

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APPENDIX A - CUSTOMER COMPLAINT RECORD (CCR)

(1) CONTRACT NUMBER (2) COMPLAINT NUMBER

(3) TO (CONTRACTOR POC) (4) FROM (COR)

(5) DISCREPANCY OR PROBLEM (Describe in detail. Include reference to PWS Directive; attach continuation sheet if necessary.)

(6) SIGNATURE OF CONTRACTOR OFFICER’S REPRESENTATIVE b. DATE (YYYMMDD)

(7) CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT

RECURRENCE. (Cite applicable Q.C. program procedures or new Q.C. procedures. Attach continuation sheet(s) if necessary.)

(8) SIGNATURE OF CONTRACTOR REPRESENTATIVE b. DATE (YYYMMDD)

(9) CONTRACTING OFFICER’S DECISION (Reduced payment, cure notice, show cause, other. Attach continuation sheet(s) if necessary.)

(11) SIGNATURE OF CONTRACTOR OFFICER b. DATE (YYYMMDD)

(12) CLOSE OUT

NAME TITLE SIGNATURE DATE (YYYMMDD)

a. Contractor Notified

b. Returned to Contracts