Attachment 2 - Final - SOC QASP 29 Jul 2024.pdf

FA7014-24-X-XXXX

Quality Assurance Surveillance Plan

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

NMCC SOC Trainer Contract

Coordination and Review:

Keith W. Dickman II NAME Date Contracting Officer’s Representative

Quality Assurance Program Coordinator

Contracting Officer

1.0 SCOPE. The Quality Assurance Surveillance Plan (QASP) is applicable to personnel performing contract surveillance audits in accordance with (IAW) Federal Acquisition Regulation

(FAR) Part 46, Quality Assurance; Department of Defense FAR Supplement (DFARS) Subpart and PGI 201.602-2 , Contracting Officer Responsibilities; Air Force FAR Supplement (AFFARS) Mandatory Procedures (MP) 5346-103, Contracting Office Responsibilities, The Quality Assurance Program; Air Force Instruction (AFI) 63-501, Air Force Acquisition Quality Program;

and organizational policy. It is designed to provide the Contracting Officer Representative (COR) a systematic surveillance method for each service identified in the Performance Work Statement (PWS) for each Task Order (TO). The Quality Assurance Program Coordinator (QAPC) and Program Manager (PM) or Contracting Manager (CM), will review the evaluation methods, which are then accepted or rejected by the Contracting Officer (CO).

1.1 Purpose. This document defines the surveillance policy, procedures, and associated methods used by CORs for planning, preparing, performing, analyzing, and reporting Contractor performance. This QASP provides a systematic surveillance method to evaluate the services received from the Contractor, and NOT to address the details of how the Contractor accomplishes the work.

1.2 Application: The QASP is used by all parties involved with assessing Contractor performance under the newly awarded contract. This document is for the use of CORs and the CO. The Contractor may receive a courtesy copy in order to further enhance communications with the Contractor, but is not considered as part of the contract.

1.3 General Policies. Four (4) basic policies serve as the foundation for the entire Quality Assurance (QA) program: (1) Always coordinate contract actions with the CO and QAPC; (2) Foster a teamwork atmosphere between the Contractor and all Government personnel; (3) Emphasize, wherever possible, re-performance, rather than withholding of funds if a Contractor discrepancy is discovered; (4) Ensure the Contractor’s TO level Quality Control Plan (QCP)/Management Plan, if applicable, is compliant with contractual requirements and capable of identifying/correcting non-conformances and addressed in the deliverables.

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL.

2.1 The address for Contracting Management is:

Air Force District of Washington 1500 West Perimeter Road (Jones Building), Suite #2750 JB Andrews, MD 20762

2.2 Contracting Management Team.

Contracting Officer (CO). The CO is the only Government agent authorized to award or modify this contract; therefore, the CO is the only person authorized to contractually obligate the Government. The CO is the individual who will sign any notifications to Contractors regarding performance issues and accepts Government surveillance methods utilized for each TO. The CO will approve/appoint all CORs assigned by the Functional Director/Functional Commander.

2.2.1 Contract Manager (CM). The CM will perform the day-to-day administration of the contract.

2.2.2 Program Manager (PM). The PM assists customers with requirements development and definition, PWS modifications, deficiency resolution, and portfolio management.

2.2.3 Quality Assurance Program Coordinator (QAPC). The QAPC is located at Joint Base Andrews, MD. The QAPC will integrate the quality contract requirements into the quality assurance program and acts as the liaison between the contracting and functional organizations.

The QAPC will support the acquisition team in the development of contract quality assurance requirements specifically reviewing the PWS and QASP to ensure that requirements are clearly stated, enforceable, and measureable. The QAPC will train CORs and COR Management (e.g.

COR Supervisor, Functional Commanders/Directors (FC/FD)) on the contracting requirements associated with the quality assurance program and MAJCOM/DRU procedures. The QAPC can be reached at DSN: 612-6183 or Commercial 240-612-6183.

2.2.4 COR Management: COR Management is the Functional Director/Commander and COR Supervisor (both roles may be performed by one individual). COR Management ensures continuous contract monitoring by a qualified COR and submits COR nomination packages to the CO. Receives contract specific training by the QAPC.

2.2.5 Contracting Officer Representative (COR). The COR is ultimately responsible for implementing all QA matters and procedures. COR(s) should be at a level where other duties don’t prevent proper oversight of Contractor performance. The COR must maintain both technical competency and evaluation proficiency in Contractor surveillance procedures. The COR must also have enough knowledge of Contractor activities to properly review and manage the disposition monthly invoices. The COR cannot assume duties until assigned by the requiring agency (FC/FD), completed COR required training (CO/QAPC and CO led training), and appointed by the CO.

2.3 Contractor Key Personnel. The SOC Trainer position within this requirement is designated as ‘key’ for the overall success of the effort.

2.3.1 Project Manager. The Contractor’s Project Manager is responsible for the overall execution of the task order. This individual will serve as the focal point for the CM/CO and/or PM assigned to the IDIQ contract and may interface with the customer, as needed.

Contractor PM is to be determined after contract award.

2.3.2 Project/Task/Site Lead. The Project/Task Lead is responsible for technical or quality control oversight, this individual may be the PM. In addition to contacting the CO, the COR will contact this individual for contract issues such as deliverable schedule not being met or contract performance issues.

3.0 CONTRACT SURVEILLANCE. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate Contractor performance. The Contractor, not the Government, is responsible for task order management and Quality Control

(QC) actions to meet the terms of the contract. The Government does this through the QASP and can inspect or test all services called for by the contract, to the extent practicable, at all times and places, during the term of the contract. The COR contribution is comprised of professional, non-adversarial relationships, which include positive and open communications with the CO, PM, QAPC, and the Contractor. The foundation of this relationship is built upon regular, objective, fair, and consistent COR evaluations of Contractor performance against contract requirements, and the ability to discuss inspection results, trends, and items of mutual interest with the Contractor.

The COR uses the methods in this QASP and the PWS to achieve this goal.

Note: Contract Terms and Conditions, the government reserves the right to inspect or test services that have been tendered for acceptance. The Government may require reperformance of any nonconforming services at no increase in contract price. If reperformance will not correct the performance issue or is not possible, the government may seek an equitable price reduction or contractual processes will begin to terminate the contract. Past performance history will be reported in Contractor Performance Assessment Reporting System (CPARS) to reflect satisfactory or unsatisfactory performance.

3.1 Surveillance Methods. Three primary methods of surveillance that will be used: one hundred percent inspection, periodic audits and customer complaints. Other methods of surveillance must be fully documented and approved by the CO and QAPC before implementation.

Information obtained from these activities may be used by the FC/FD to ascertain whether or not Contractor performance is compatible with contract and mission objectives and by the CO for actions relating to the Contractor.

3.1.1 One Hundred Percent Inspection. This method will be used for Contractor submissions, products, and deliverables (tangible items). CORs will use the One Hundred Percent Inspection method to evaluate all reports delivered under paragraph 3.2. The COR, with assistance from the FD and CO if necessary, accepts or rejects these products based on the criteria and performance standards as outlined in the Services Summary. The COR also documents all results of inspections actions, and subsequent Contractor re-performance taskings, if applicable.

3.1.2 Periodic Audit. This type of surveillance consists of evaluating products/services not surveilled via one hundred percent inspection or by customer survey, and is implemented at a pre-defined frequency. An example of periodic audit is performing monthly inspections of CMS training conducted by the Contractor.

3.1.3 Customer Survey or Customer Complaint. Although usually not a primary method, this is a valuable supplement to other, more systematic methods of surveillance. For example, in a case where random sampling indicates unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations, where customers complain consistently when the quality of performance is poor, customer surveys and customer complaints may be a primary surveillance method, and customer satisfaction an appropriate performance standard. In all cases, complaints will be documented, preferably on a standard form. All customer complaints will be forwarded to the CO. Information obtained from customer complaint activities may be used by the CO for actions relating to the Contractor.

3.2 Surveillance Documents.

3.2.1 Deliverables. The Contractor shall provide task order deliverable(s) in a format mutually agreed upon by the Government and the Contractor.

The following enumerated deliverables are not expected to change. Due Date intervals are not expected to change but actual dates may need to be revised depending on actual contract start date.

DELIVERABLE PWS

PARA

SCHEDULE DELIVERY

Training Program 3.1 Within 30 days after start of contract

COR and OTSD Branch

Trainee Ready for shift work

3.2 Within 10 days of

training start date

COR and OTSD Branch

Trainee Certification 3.2 Within 45 days of training start date

COR and OTSD Branch

Updated Listing of Vol VI Conference Participants

3.3 Within 1 business

day of notification of conference changes

COR and JS/DDNHDCO

Report Results of Monthly Communications Systems Tests

3.4 Within 5 business

days of scheduled test

COR and OTSD Branch

Trip Report 3.6.1 Within 5 business days after return

COR

Continuity Folder Transition Out

8.0 Within 30 days of

base year contract termination

COR

3.2.2 Services Summary. The Services Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the COR will use to validate/inspect these tasks is through site visits and meetings. Inspection of each task will be documented by the COR in the appropriate contract managent tool and system.

Exhibit 1 below outlines PWS critical tasks and performance threshold that must be performed by the Contractor.

Exhibit 1

Critical Tasks and Performance Threshold

Performance Services Summary: Unless otherwise specified, the Contractor will be given 2 days to retest and attain 100% integration/compliance for any deviation from the Performance Thresholds outlined below. Test Plans are provided in the PWS, Attachment C.

Performance Objective PWS

Paragraph Performance Threshold Method of

Surveillance Remedy

Provide qualified people at TO start

1.0 Performance is acceptable

when:

a) qualified personnel are on the job at TO Start unless previously negotiated by the CO and

b) the mission is not impacted due to position vacancies or personnel qualifications

Monthly Report and COR interaction

CAR

Replacement/substit ute personnel

1.0 Performance is acceptable

when:

a) vacancies are filled with qualified personnel within 14 days of vacancy, unless approved in writing or otherwise directed in advanced by the CO

AND

b) there is no mission impact due to position vacancies or unqualified personnel.

Monthly Report and COR interaction

CAR

Qualified SOC Operators

3.2 Performance is acceptable

when:

a) newly assigned SOC operators must begin training within 10 days of training start date

b) newly assigned SOC operators must be 100% qualified within 45 days of training start date

Monthly Report and COR interaction

1st Notice, 2nd

Notice, CAR

Maintain and update the VOL VI listing of conference participants

3.3 Performance is acceptable

when:

VOL VI conference participant listing is 100% accurate within one-day of notification of changes

Updates sent within one-day, COR interaction, Random Inspections

1st Notice, 2nd

Notice, CAR

Performance Objective PWS

Paragraph Performance Threshold Method of

Surveillance Remedy

Conduct monthly communications systems tests and assessments

3.4 Performance is acceptable

when:

monthly communications systems tests are completed each month

Monthly Report and COR interaction

1st Notice, 2nd Notice, CAR

Develop and submit all required deliverables

3.5 Performance is acceptable

when:

a) 100% of deliverable requirements are met and received ontime.

AND

b) critical information is accurate.

Deliverables within required timelines

1st Notice, 2nd Notice, CAR

3.2.3 Surveillance Checklist. The COR is responsible for developing standard procedures for Surveillance Checklists and may request QAPC assistance; the Surveillance Checklist serves as the guideline for all inspections. As a minimum, the Surveillance Checklist will include the items in the Services Summary and Deliverables . The COR may also add other inspection activities/surveillance items to the Surveillance Checklist, with applicable PWS references, and obtain permission from the QAPC. These items may fluctuate throughout the course of the contract based on customer needs, identified risks, or issues related to Contractor performance.

The COR will document all inspections conducted using the Surveillance Checklist and maintain them in the appropriate contract managent tool and system.

3.3 Assessing Performance. CORs must document Contractor performance on each contract, as well as the scope and purpose of any inspections. Documentation will be maintained in the COR’s monthly log. CORs will also assess and rate Contractor performance as it relates to contract requirements. Performance Assessment may take the form of notes in the monthly log, assessment results from the Surveillance Checklist, non-conformance notifications, QA Monthly Services Summary Report, quarterly performance evaluation report (See Attachment 1) and annual CPARS.

Each builds on the other and provides a thorough documented history of Contractor performance.

The COR shall provide a 30-day performance report to the CO for each newly awarded task order as well as annual performance reports thereafter as applicable.

3.3.1 Monthly Logs. The COR shall maintain a monthly log documenting Contractor performance for each month during the performance of the contract. These months should follow the period of performance (PoP) of the TO. The monthly log should document both good and less than desirable performance issues, concerns, highlights or non-conformances and can be used to document any correspondence with the Contractor. This log serves as the basis for any formal documentation of non-conformances or deficiencies and provides the backbone for formal reports on Contractor performance, such as the quarterly PAR or annual CPARs. The log also provides continuity should COR duties shift in the course of contract performance.

3.3.2 Inspections. The COR may perform inspection/surveillance at any time during contract performance IAW FAR 252.246-2 through 5, as applicable. The COR will retain all audit and inspection documentation until contract closeout, unless otherwise approved by the CO.

3.3.3 Non-conformances and Deficiencies. Audit or Inspection results that fall below contractual standards shall be identified as non-conformances or deficiencies. The COR will notify the Contactor IAW para 3.3.3.2 and document all non-conformances in the monthly log, referencing the specific PWS/TO requirement that the Contractor did not meet, document the name of the individual contacted, and date and time of notification. If the Contractor fails to take corrective actions in a reasonable time-frame, the COR will notify the CM/CO and QAPC for further actions.

3.3.3.1 Types of Non-conformance.

3.3.3.1.1 Minor Non-conformance: A minor non-conformance is a non-conformance, which by itself does not adversely impact mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A minor non-conformance normally does not increase risk to the Government.

3.3.3.1.2 Major Non-conformance: A major non-conformance is a non-conformance that adversely impacts mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A major non-conformance also increases risk to the Government. An example of increasing risk would be significant number of recurring non-conformances, which indicates inadequate preventive measures or actions, thus lowering the Government’s confidence that quality services will be provided on time and at cost.

3.3.3.2 Non-conformance Notification. If a deficiency is found during inspection of the Contractor’s performance, the COR will determine the type of notification based on the category of the non-conformance (see Table 1) and pursue non-conformance resolution per paragraph 3.4.

3.3.3.2.1 First or Second Notices (see Table 1). As shown in Table 1, First and Second Notices provide written notification from the Government to the Contractor of minor non-conformances.

Initial minor non-conformances should be addressed with a First Notice to the applicable Contractor representative. The COR will notify the CM/CO of the issue, and prepare the notice for CO signature. If the Contractor fails to respond by the specified due date, the COR will annotate the Contractor’s non-responsiveness in the CMS monthly services summary report. If the Contractor fails to resolve the issue as documented in the Notice, the CO may elevate the issue to the next level (Second Notice or CAR). Corrective/preventive actions initiated and/or

TABLE 1 – NON-CONFORMANCE NOTIFICATIONS.

Non-conformance Category Notification Type Minor

Step 1: First Notice Step 2: Second Notice

Major Corrective Action Request (CAR) completed by the Contractor will be verified by the Primary COR on scheduled subsequent inspection and documented accordingly.

3.3.3.2.2 Corrective Action Requests (CAR) (see Attachment 2). As shown in Table 1, a CAR provides written notification from the Government to the Contractor of significant performance discrepancies. The Primary COR will recommend to the CM/CO that a CAR be issued when previous notifications failed to result in corrective actions or when severe deficiencies exist. If a CAR is deemed necessary, the CO will assist the primary COR in filling out the CAR. The draft CAR will be routed NLT ten duty days after the event to the CO for review and signature, as the CO is the only person who has authority to issue a CAR to the Contractor.

3.3.3.2.2.1 To satisfactorily close-out a CAR, the following criteria must be met: the Contractor must meet the suspense; the corrective action must have already begun; and the Contractor's actions must correct the deficiency and if applicable, be within specified standards.

3.3.3.2.2.2 If the corrective action is deemed UNSATISFACTORY by the FD and COR, annotate the CAR accordingly and forward it to the CO with a brief explanation, including an estimate of the Government's loss due to the deficient performance. The estimate may account for loss or destruction of property, supplies, or equipment, and hours lost to re-perform the task. If the task cannot be re-performed, indicate the number of hours it ordinarily would have taken to do the task.

3.3.3.2.3 The COR will maintain a non-conformance log documenting all First and Second Notices and CARs. The log will include the date sent to the Contractor, issue, due date for response and actual response date. If a detailed response is required, include a link to the response and include the response in the applicable contract managent tool and system.

3.4. Monthly Services Summary Reporting – CORs will perform services summary inspections and update in CMS monthly.

3.4.1. COR Quality Reporting – The Lead COR (or other designated Primary COR) will complete HQ ACC Contract Management System (CMS) monthly Quality Assurance Report and quarterly Performance Assessment Reports. The Lead or Primary COR will request a login name and password at http://cms.acc.af.mil/register.aspx and complete the following:

3.4.1.1. Thomas E. Burns, thomas.e.burns16.civ@mail.mil

3.4.1.2. User Role: COR

3.4.1.3. Justification: Primary COR on SOC Trainer Contract

3.4.2 Monthly COR Report

3.4.2.1. The Primary COR certifies the essential services accomplished by the contractor and documents any issues or non-conformances that were identified during the month.

http://cms.acc.af.mil/register.aspx

3.4.2.2. CMS will generate monthly emails to the primary COR(s) designated on the contract, monthly reports will be completed NLT the 10th calendar day of each month.

3.4.2.3. A primary COR will click on the embedded hyperlink in the email OR Log into CMS, click on my requirements, then click on appropriate contract; click on QA Monthly Rpt.

3.4.2.4. The monthly report will display questions for the previous month (ex. answering questions in the month of March will display a monthly report for February)

3.4.2.4.1. Click on Answer Questions

3.4.2.4.2. Click on Meets, Exceed, Below Standards or N/A (see Table 2) and provide justification for each answer.

3.4.2.4.3. After completing the Monthly Performance Report (See Attachment 3), click submit.

3.4.2.5. CMS will only allow one submitted report per month.

TABLE 2 – MONTHLY PERFORMANCE RATING DEFINITIONS

Rating Definition

Exceeds Standards

Contractor performance exceeds contractual requirements and is beneficial to the government. To justify exceeds standards, state which PWS or SOW requirement(s) was exceeded (to include the paragraph number) along with how exceeding this requirement was a benefit to the government.

Meets Standards

Contractor performance meets contractual requirements. To justify meets standards, specify the PWS paragraph/requirement and state that the contractor met the requirement.

Below Standards

Contractor performance does NOT meet some contractual requirements. To justify below standard, identify an event(s) that the Contractor had trouble overcoming and state how it impacted the Government. This rating should be supported by referencing any non-conformance notification sent to the Contractor.

Under Corrective Action, state what corrective action the contractor has taken or is planning to take based on the contractor’s response to the non-conformance notification.

4.0. WIDE AREA WORK FLOW (WAWF). The COR will accept or reject all Receiving Reports submitted by the Contactor in WAWF within seven (7) days of submittal by the Contractor. To access the receiving report, log into WAWF, select the Government, Acceptor, Acceptance Folder tab; then type in the contract and delivery order (task order) number. The Shipment Number column in WAWF is the Receiving Report number

4.1 Validating Receiving Reports. The COR will review and validate all WAWF receiving reports (Shipment Number in WAWF) ensuring that:

• The Contractor submitted a combination invoice/receiving report

• The report reflects the correct contract and TO number

• Beginning and ending dates being billed are stated and accurate

• The correct CLIN(s) is(are) charged for billing period

• A description of the services is provided (Firm Fixed Price, Labor Hour, Travel, Materials)

• The correct amount is charged, to include applicable handling rates

• Invoiced travel was pre-approved

• Back-up documentation is attached that includes a Contractor invoice with current and cumulative hours (for FFP LOE contracts) and amounts, as applicable

• A breakout of any other charges, as agreed to by the CO or required by the TO, is attached in WAWF or has been provided to the COR

4.2. Certifying and Accepting Receiving Reports.

4.2.1. Certification of services is ALWAYS performed by the appointed COR. After validation of services is performed by the COR per paragraph 4.1 above, the COR will select the “CQA” (Contract Quality Assurance) button to verify that the invoice was accurate, this step will normally select the Acceptance: button also. If anyone other than the COR (typically the Resource Advisor (RA)) is accepting services for the task order, the COR MUST certify in writing to the acceptor that services have been inspected/validated, the acceptor must then state in the comments block (under Misc Info tab) that the COR has reviewed, validated and certified services/invoices. In all cases, the COR will retain documentation (electronic or hard copy) showing COR validation and certification, as well as final acceptance of Contractor invoices.

4.2.2. COR Expenditure Log. After certification of an invoice in WAWF, the Primary COR will update the expenditure log documenting/tracking certified invoice expenditures against funds allocated on the contract against each CLIN. The QAPC will provide a template, if requested.

Funding belongs to the organization where the COR resides; the COR expenditure log allows the COR to ensure that funds are available for the work performed, to include travel and materials.

4.3. Rejecting Receiving Reports. If a receiving report is rejected in WAWF, the COR will go to the Miscellaneous Info tab to complete the comments block as follows:

• List details regarding all unsatisfactory services or incorrect invoice information

AND

• Instruct the Contractor to contact DFAS to have the invoice rejected back to the Contractor;

this will allow the Contractor to make the same correction on both the receiving report and invoice, since combination invoices/receiving reports are required.

4.4. The rejecter will then return to the Header tab and click the “Reject to Initiator” block. Anyone other than the COR may reject receiving reports in WAWF, but only when services/invoices have been reviewed and rejected by the COR in writing per the paragraph above. After rejecting the receiving report, e-mail the CM/CO the contract number, receiving report number, and reason for rejection.

5.0. COR FILE. The Primary COR will establish an electronic COR file in Wide Area Work Flow eBusiness Suites/CORTool. The COR and the COR Supervisor/ FC/FD will gain access to the CORTool/WAWF. All surveillance records, memorandum for records, monthly COR reports and trip reports are considered FOR OFFICIAL USE ONLY documents, and must be marked and safeguarded in the CORTool/WAWF. Documentation is kept for the duration of the contract and provides necessary continuity should COR duties transition during the course of the contract.

6.0. PGI 222.17—COMBATING TRAFFICKING IN PERSONS.

PGI 222.1703 (4), states the QASP should describe how the COR will monitor the contractors performance regarding compliance with FAR 52.222-50, Combat trafficking in persons.

PGI 222.1703 Policy.

(1) The Office of the Under Secretary of Defense for Personnel and Readiness (OUSD(P&R)) is responsible for developing overall guidance on personnel policy issues relating to Combating Trafficking in Persons (CTIP). The DoD CTIP website is http://ctip.defense.gov/. The website includes DoD policy on CTIP, CTIP training information, and links to the National TIP hotline, the DoD IG website, the Department of State Office to Monitor and Combat Trafficking in Persons, and other Government and non-Government organization websites.

(2) Department of Defense Instruction 2200.01, reissued September 15, 2010, entitled Combating Trafficking in Persons, (located at http://www.dtic.mil/whs/directives/corres/pdf/220001p.pdf), requires the incorporation of terms and conditions in contracts performed either inside or outside the United States that—

(i) Prohibit any activities on the part of contractor employees that support or promote trafficking in persons; and

(ii) Impose suitable penalties on contractors who fail to monitor the conduct of their employees.

7.0 COMBATING TRAFFICKING IN PERSONS. The COR will monitor the contractor's performance regarding trafficking in persons such as that non-compliance with FAR clause 52.222-50, Combating Trafficking in Persons, is brought to the immediate attention of the CO.

a. Violations and remedies.

i. If the contracting officer receives information via the Monthly COR Report or other method indicating that the contractor, a contractor employee, a subcontractor, or a subcontractor employee has failed to comply with the requirements of the clause at FAR 52-222-50, the contracting officer shall,

ii. Through the contracting officer's local commander or other designated representative, immediately notify the Combatant Commander responsible for the geographical area in which the incident has occurred; and

iii. Information for any investigation and enforcement may be made to;

iv. DoD Inspector General Hotline at Http://www.dodig.mil/hotline or 800-424-9098, Program Manager on-line at http://ctip.defense.gov or by email to ctipreports@osd.pentagon.mil, National CTIP Hotline at 1-888-373-7888 or to the CTIP Hotline website at http://www.polarisproject.org.

v. Issue a non-conformance http://www.dtic.mil/whs/directives/corres/pdf/220001p.pdf http://www.polarisproject.org/

Solicitation#: FA7014-24-X-XXXX

Attachment 1

PERFORMANCE EVALUATION REPORT

Contract Number _________________ Customer’s Organization: _________________

Contract Title:

Review Type (circle one) MONTHLY END OF POP

This report is used to evaluate the contractor quarterly during and at the end of each period of performance (POP). In addition to providing verification that performance thresholds are being met, the ratings and comments provided on this checklist help to determine the contractor’s annual CPARS ratings.

The ratings used will be as follows: Exceptional (E), Very Good (VG), Satisfactory (SAT), Marginal (MAR) and Unsatisfactory (UNSAT). N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation.

AREA OF EVALUATION: QUALITY OF PRODUCT OR SERVICE. Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship

Did the work performed satisfy technical requirements/stated objectives? Was the work professional and did it meet standards?

E VG SAT MAR UNSAT N/A

Comments:

Were written deliverables clear, concise, correctly formatted and did they meet grammatical, spelling, and punctuation standards? Were reports/data accurate?

AREA OF EVALUATION: SCHEDULE. Assess the timeliness of the contractor against the completion of the contract, milestones, delivery schedules and administrative requirements.

1. Was the work timely? Did the contractor meet deadlines and scheduled milestones?

2. How does the contractor rate in terms of quick response to tight deadlines and/or contingencies?

3. Are deliverables completed in a timely manner?

Comments:

4. Were billings current, accurate, and complete?

AREA OF EVALUATION: MANAGEMENT OF KEY PERSONNEL. Assess the contractor’s performance in selecting, retaining, supporting and replacing, when necessary, key personnel.

Did the contractor provide key personnel that demonstrate leadership, initiative, and technical expertise for successful contract completion?

2. Did the contractor provide guidance and support key personnel so they were able to work effectively?

COR Signature

Attachment 2

CORRECTIVE ACTION REPORT (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If More Space is Needed Use Reverse and Identify By Number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE

DATE

6. CONTROL

NUMBER

7. MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5.

8. CONTRACTING OFFICERS REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO

PREVENT RECURRENCE

11. CONTRACTOR RESPONSE

ACCEPTED REJECTED

12. CLOSE DATE

CAR Instructions

Block 1. Enter Contractor Name Block 2. Enter Contract Number Block 3. Enter Contract Name or Type of Service Block 4. Enter Functional Area of the Contract Block 5. Enter the assigned suspense date given the contractor to provide a response to the

CAR.

Block 6.

a. All CARs will be tracked with a Control Number.

b. The COR (Primary or Alternate) is the Issuing Authority for all CARs.

c. The control number will be made up of the contract number; the last two digits of the calendar year and a three digit number starting with 001 and progressing upward throughout the calendar year.

d. The COR will attach all CARs to their Performance Evaluation Report.

Block 7. Check the block that indicates whether the identified deficiency is a Major or Minor finding. Definitions of Major and Minor findings are as follows:

a Major Finding. A condition having a significant adverse effect on the quality of the activity under review such as:

Failure to meet a Performance Threshold Significant mission degradation in any contractor operated function.

A situation that is likely to result in hazardous or unsafe conditions for individuals or any other Government resources coming into contact with the work.

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

Failure to provide corrective action to deficiencies identified within a prescribed suspense period.

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

b. Minor Finding. A departure from established standards having little bearing on service provided. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring (failure to provide adequate corrective action to prevent reoccurrence of findings). In this case, the minor finding should be elevated to the level of a major finding and a new CAR initiated.

Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, section, paragraph and subparagraph and must make a brief but complete quotation of the contract reference.

State the impact that the finding has or could have on mission accomplishment.

Normal suspense time for contractor response is ten working days.

Block 8. The COR initiating a CAR signs and dates the report.

Block 9. The COR or designee signs and dates the report.

Block 10. Upon review of the contractor’s reply, the initiator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The COR accepts or rejects the contractor’s response.

Block 12.

a. The COR enters a close out date after acceptance of the contractor’s response.

b. The COR will forward the CAR to the contractor. The COR will attach copies and record results of any reports in the Monthly Performance Report. Copies of completed CARs will be maintained in the Performance Assessment folder. If a CAR is not deemed closeable due to incomplete or unacceptable contractor response, the CAR will be returned to the contractor for additional information.

Attachment 3

MONTHLY PERFORMANCE REPORT

COR: Report Month:

Organization: Date Submitted:

Contract No.: Contractor:

Contract Title:

Contractor Team Lead:

Method of Performance Evaluation

• At least every month, performance will be evaluated by using one or more of the methods checked below. Check all that apply or may be used if deeper levels of scrutiny is required.

RATING:

Exceptional Very Good Satisfactory Marginal Unsatisfactory

TRAVEL: Date______ Destination________________

INVOICE APPROVAL:

________ Hours and travel billed under Invoice # __________ are accepted.

________ Invoice not yet received for this service period.

________ ODC’s billed were approved IAW contract requirements and accepted.

(COR signature)

1. SPECIAL CONDITIONS: (Describe any special conditions, which may have influenced contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the contractor was required or unable to perform and the effect they had on contractor performance).

2. CRITERIA:

Technical Performance:

Program Management:

Special Interest (if applicable):

3. DEFICIENCIES:

4. AREAS FOR IMPROVEMENT:

5. ADDITIONAL COMMENTS:

INSTRUCTIONS

1. Special Conditions. Describe any special conditions that may have influenced contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the Contractor was required to perform and the effect they had on contractor performance. If any action initiated by the Government or outside source results in the Contractor’s inability to perform requirements of the contract SOW it shall be considered a special condition. The Contractor shall not be held accountable for conditions that are outside of their control.

2. Criteria. Describe the Contractor’s performance relative to each of the Service Delivery Summary areas (as applicable). Include strengths, weaknesses, and performance trends (i.e.

worsening, steady, and improving). Describe any corrective actions that are being planned or taken, as appropriate.

3. Deficiencies. Identify contractor performance deficiencies. Discuss any areas where repeated government intervention was required, particularly if such intervention still failed to resolve the problem.

4. Areas Needing Improvement. Describe any areas where the Contractor needs improvement, follow-up, etc. Be specific; cite areas that could result in potential negative impact to the contract execution if not appropriately addressed. Indicate the Contractor’s progress in showing demonstrated performance improvement, as applicable, from previous monthly reports.

5. Additional Comments. Identify any areas of notable achievement or areas where the Contractor exceeds contract requirements, particularly if resulting in cost, time, energy, or process-related savings to the government.

Rate the task output and not the individual contractor employee to avoid any appearance of personal services or individual preference on the part of the government. Document the Contractor’s performance against the contract/contract requirements only, not status, employee names, individual employee accomplishments or your “opinion” as a government COR. Use the “insight” approach to performance assessment unless a deeper level of scrutiny is warranted.