Attachment 9 - QASP Barrier 20 June 24.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

VEHICLE BARRIERS (VB) MAINTENANCE AND REPAIR (M&R) SERVICES

MINOT AIR FORCE BASE, ND

Table of Contents

Section A – Purpose

1. This Quality Assurance Surveillance Plan (QASP) provides the Contracting Officer Representative (COR) with an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract. This plan implements the guidance of the FAR, DFARS, DAFFARS, and DAFFARS PGI with respect to the Government’s quality assurance requirements.

2. The Government’s objective is to have the contractor, not the Government, responsible for management and quality control to meet the terms of the contract resulting in requirements owner satisfaction through the contract life cycle. The role of the Government is quality assurance to ensure contract standards are achieved,

3. The government develops and adjusts the QASP based on the complexity of the contract, the risk of unsatisfactory performance and the governments confidence in the Contractor’s Quality Control Program

4. The role of Government Quality Assurance (QA) is to ensure the Contractor is achieving all contract standards. In conducting surveillance, COR must be objective, fair, and consistent in evaluating Contractor performance against the performance standards.

5. This plan is a living document and should be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, ensuring the Government maintains adequate oversight of Contractor performance.

Section B – Roles and Responsibilities of the Multi-Functional Team (MTF)

1. Contracting Squadron Commander

a. Serves as Business Advisor to senior leadership.

b. Ensures the multi-functional team exercises acquisition authorities and responsibilities according to the Federal Acquisition Regulation (FAR), Department of Defense Federal Acquisition Regulation Supplement (DFARS) and Air Force Federal Acquisition Regulation Supplement (DAFFARS).

2. Functional Service Manager (FSM)

a. Execute management and oversight for the delivery of contractually acquired services.

b. Specifically identifies those services within a requirement that are mission essential in accordance with DFARS 237.7603.

c. Keep up to date on mission changes that may drive the need for a contract modification. Coordinate with and seek advice from the CO on a possible need for a modification based on changes within the functional mission that could affect the performance requirements of the contract.

d. Review, approve, and sign surveillance schedules prior to upcoming surveillance periods.

e. When necessary, fulfill COR appointment and supervisory duties. Review and approve individual’s nomination as CORs to the CO to enable proper contract surveillance. The CORs should be aligned organizationally with the FSM whenever possible.

f. No less than quarterly, review Contractor performance documentation prepared by COR personnel to ensure performance is compatible with contract objectives.

g. Approve Quality Assurance Surveillance Plan (QASP).

h. Ensure a Contractor Performance Assessment Report (CPAR) is accomplished no less than annually by either the COR.

i. Ensure assessments are consistent with the monthly surveillance reports.

j. Establish a tracking procedure to ensure MFTs are established and led by a FSM as required in DoDI 5000.74.

k. Establish, lead, and maintain MFT through the course of the acquisition (pre and post award).

l. Establish a governance to ensure a CPARS Assessing Official (AO) and Assessing Official Representative (AOR) is identified. During the assessment process, provide a perception of the Contractor’s overall performance. In some instances, this may require the FSM to be either the AO or AOR.

m. Prepare slides and brief programs at the Annual Execution Review.

3. Contracting Officer (CO)

a. Advises the multi-functional team on performance plan development.

b. Manages the listing of Contracting Officer Representative (COR) assigned to the contract, showing their areas of responsibilities and limitation of authority, and ensures that the Contractor is notified of such.

c. Multi-functional team advisor for developing incentives and remedies, as appropriate, tied to performance objectives and performance thresholds.

d. Maintains in the contract file documentation of training provided by contracting personnel and/or QAPC identified.

4. Contracting Officer Representative (COR)

a. Provide technical support to the FSM and CO and assist MFT in developing performance requirements in pre-award activities when requested.

b. Assist the CO and MFT in determining contract Quality requirements being mindful of FAR, DFAR, and AFI 63-138 requirements.

c. COR will aid in assessing the Contractor’s Quality Assurance Plan to insure it complies with contract requirement.

d. Ensure Contractor follows the Contractor’s Quality Assurance Plan as written, plus the effectiveness in bring about the desired results—performance equal to or greater than the SS metrics, plus an inspection and corrective action program that identifies and fixes issues without having to be identified by the Government.

e. Assist the MFT in developing a QASP that effectively measures and evaluates performance-based activity throughout the life of the functional contract requirement. CORs ensure the MFT updates QASP to ensure it reflects any contract changes.

f. Promptly report performance issues to the CO in writing.

g. Draft a CPAR evaluation for Contractor performance when designated as the CPAR Assessing Official Representative for a contract or task order.

h. Complete all COR required training.

i. Maintains a COR file with required records (contract, modifications, minutes, invoices and payments, inspection results, QASP, Surveillance Schedule, etc., and Memorandum FRs on significant issues relating to the contract as required in DoDI 5000.72. The COR must maintain documents in the Surveillance and Performance Management Module (SPM) located in the Procurement Integrity Enterprise Environment (PIEE).

j. Inform the CO in writing of any required changes to the contract scope or PWS.

k. The COR will establish a surveillance schedule either through SPM or upload a local schedule to SPM. Submit to the FSM and CO for review prior to the commencement of the surveillance period.

l. Develop and publish surveillance report of COR surveillance activities. Submit to FSM and CO for review.

m. Draft Contractor Discrepancy Reports for submission to the FSM for each area of contractual non-conformity, either immediately or at the end of each surveillance period (as determined by your QASP) and forward to FSM for review and the CO for issuance.

n. Assist FSM and CO in verifying adequate corrective actions are taken to resolve problems.

o. Notify the CO if there is substantial risk of the contract costs exceeding the amount programmed.

p. Assist CO to validate the accuracy of invoices submitted by the service provider prior to the Government paying for services.

q. When required, accomplished a CPAR a minimum of annually. The CO may require an out of cycle CPAR to address performance concerns.

r. Complete all COR required training.

5. Multi-Functional Team (MFT)

a. Fosters Partnerships with industry to ensure exchanges of information among the service industry and other business experts occur. Ensures key stakeholders Participate in developing, implementing, and executing the acquisition strategy.

b. Provides support to senior leadership as required (i.e., performance metrics, data, briefings).

c. Makes sure that correspondence and presentations are accurate, timely and of high quality. Also, provides reports that provide early warnings of significant variances in cost, schedule, or performance to senior leadership.

d. Researches the commercial market to ensure the multi-functional team is using the most efficient and effective assessment methods, techniques, and best commercial practices in performance of the contract.

e. Develops, implements, and executes a performance-based acquisition strategy, to include performance metrics, which supports a higher level of Contractor performance, fosters synergistic Partnerships, accommodates changing or unforeseen mission needs and leverages commercial best practices.

f. Ensures the acquisition strategy aligns mission performance needs with performance-based work statements and acquisition approaches designed to deliver the desired mission support results.

g. Manages risk to ensure mission performance is within cost and schedule constraints.

h. Develops, implements, and executes a source selection, if applicable, that provides an integrated assessment of the offeror’s proposal and ensures a best value source selection based on the requirements of the Request for Proposal.

i. Plans, programs, and budgets adequate funds to ensure the execution is within approved funding baseline.

j. Develops, implements, and manages milestones to ensure the acquisition supports mission requirements within the approved funding baseline.

k. Identifies opportunities to improve performance throughout the life of the acquisition. This includes benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP to implement initiatives, and monitoring the success of implementation.

l. Assesses and manages Contractor performance data, to include submitting Contractor Performance Assessment Reporting System (CPARS) reports.

m. Develops, implements, and executes performance measurement and management in accordance with the QASP.

n. Ensures the requiring office and Contractor understand unique U.S. Air Force and Minot Air Force Base programs impacting an acquisition.

o. Recommends changes to the QASP.

6. Quality Assurance Program Coordinator (QAPC)

a. Supports the multi-functional team in the development of enforceable contract requirements that clearly state the requirement.

b. Trains CORs on the contracting requirements associated with the quality assurance program.

c. Trains FSM and COR Supervisors.

d. Provides training, documents CORs acknowledgement of their requirement to:

(1) Evaluate and document Contractor’s performance in accordance with the QASP.

(2) Notify the contracting officer of any significant performance deficiencies and provide any recommendations to improve the performance plan or PWS.

(3) Maintain surveillance documentation.

e. Assists in development of quality assurance related training as requested.

f. Maintains documentation of training provided by contracting personnel identified herein.

g. Assists the market research efforts of the multi-functional team in determining commercial quality assurance practices.

h. Assists as required with the evaluation of the Contractor’s Quality Control Plans.

i. Provides refresher training annually if necessary to ensure the CORs are up to date with all required changes.

7. Contractor

a. Complies fully with the terms and conditions of the contract.

b. Participates as a member of the multi-functional team after contract award.

c. Maintains and implements a quality control plan that is acceptable to the Government.

d. Ensures that non-conformance of contract requirements is identified, corrected, and prevents recurrence.

e. Tenders to the Government for acceptance only those services that conform to contract requirements.

f. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

Section C – Service Summary and Method of Surveillance As a minimum, CORs will monitor, review, and report on the Contractor’s performance and compliance with all Service Summary (SS) items shown below (from Section 2 of the PWS with the addition of Rating & Surveillance Methods), along with the rest of the PWS. The service requirements summarized below are performance objectives that relate directly to mission essential items. The performance thresholds referenced in the table briefly describes the minimum acceptable levels of service required for each service requirement. The performance thresholds established for each of the performance objectives are the number of defects permitted before the COR notifies the contracting officer in accordance with FAR 52.212.4, Contract Terms and Conditions-Commercial Items, FAR 52.246-4, Inspection of Services - Fixed Price NOTE: Your Service Summary should match the PWS’s Service Summary except for the Surveillance Method column. If a Contractor’s performance only meets the standards contained in the contract and PWS, their rating must only be “Satisfactory”.

Section D – Surveillance Procedures

1. Surveillance Schedule.

a. The COR must establish a surveillance schedule either using the SPM provided smart form or by uploading a local schedule to SPM. A locally devised form is available in Appendix 1, Monthly Surveillance Schedule. The COR upload the schedule into SPM before the surveillance period begins. Additionally, the COR must provide copies of the surveillance schedule to the FSM and the Contracting Officer before the start of the surveillance period. Surveillance schedules, when completed, must be marked “Controlled Unclassified Information” or “CUI”, with the category of "Contract Use”. The Surveillance schedule is not releasable to the Contractor.

b. Changes to the surveillance schedule must be sent to the FSM and the Contracting Officer. The COR must document the reasons for changes to the surveillance schedule and document in the COR files and submit the updated schedule in SPM.

c. The inspection schedule must include at least ten percent (10%) of non-SS items but should not contain more than twenty percent (20%). The use of sound judgment is necessary when evaluating non-SS items.

2. Monthly Surveillance.

a. COR must submit a COR Status Report via the SPM module by the 5th workday of each month after the surveillance period. These reports are essential for showing whether the Contractor has satisfied the basic requirements of the PWS and identify any areas of nonconformance. The COR must support the COR Status Reports with validated customer complaints, surveillance checklists, and corrective action reports. These reports must be uploaded into SPM when the COR Status Report is completed.

b. It is essential that the COR conduct the surveillances as scheduled for an effective quality assurance program. CORs must document surveillance as they complete it, using a Surveillance Checklist. This checklist must include all required inspections listed in the Services Summary and any other inspections required. An example of a locally devised form is available in Appendix 2, Surveillance Checklist.

c. The COR must complete surveillance of the Contractor’s performance by comparing the Contractor’s performance against the set standards found in the Performance Work Statement, Performance Assessment Worksheet, and Quality Assurance Surveillance Plan.

d. The COR must record surveillance results including the findings of the surveillance. Surveillance documentation must include as a minimum, the date, time, and location the surveillance was conducted, rating results of the surveillance (i.e., Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory), contract paragraph number referencing the requirement, a brief description of the requirement being surveyed, remarks required to support the rating given, signature of COR conducting the surveillance. When the COR finds that Contractor’s performance is unacceptable, they must record the specific reason for the unacceptable performance using a Corrective Action Report.

e. The COR must identify any scheduled inspections not accomplished during a surveillance period in the COR Status Report and note why the surveillance was not completed.

f. If scheduled monthly surveillance requirements cannot be met, the COR, PM/FSM, and CO must determine the impact of the non-surveillance, and provide this determination to the CO.

g. Based on surveillance results, the COR may increase the frequency of surveillance based on the number of unacceptable inspections or repeat customer complaints. Likewise, the COR may decrease the frequency of surveillances based on the number of acceptable inspections and/or minimal customer complaints. Changes to the QASP will be made in writing and all Parties will re-sign the revised QASP and receive a copy for their files.

3. Customer Complaints

a. Any base employee observing unacceptable services, including incomplete, not performed, or improperly performed services, should immediately contact the COR.

b. The COR must ensure complaint procedures and forms are available to all customers. The COR must receive, document, and validate all complaints, regardless of their validity.

c. If the complaint is invalid, the COR must contact the customer and explain why the complaint was invalid.

d. For all valid customer complaints, the result of the customer complaint will be documented on the appropriate documentation, memorandum, or Contractor Discrepancy Report, and uploaded with the monthly surveillance reports into SPM.

e. Repeat customer complains may warrant a Contractor Discrepancy Report. If necessary, the COR will prepare the Contractor Discrepancy Report and forward to the CO. The CO will issue the Contractor Discrepancy Report to the Contractor. The CO and COR will determine when the complaint is resolved. Once resolved, the COR notify the customer and document the customer notification on the Customer Complaint Record. A locally devised form is available in Appendix 3, Customer Complaint Record. Complaints will be tracked (Appendix 4) and if the performance threshold is exceeded, the COR must notify the CO in writing so that the appropriate action can be taken. (Note: Any customer complaint method of surveillance must be based on adequate customer complaint training. The COR will furnish written instructions, publicity, information, briefings, and use any other means to educate customers and base populace.)

4. Surveillance of Non-SS Items

a. The Government has the right to inspect and test all services called for by the contract, to the extent practicable and necessary, during the term of the contract. Therefore, COR will conduct surveillance for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR must follow the procedures in Section F of this plan, entitled, Unacceptable Performance.

Section E – Sampling and Inspection Guide

a. The Sampling and Inspection Guide is a written procedure stating how the inspection will occur and how the inspection is graded. Using the sampling guide, the COR can accept or reject the service, based on the AQL listed in the Services Summary.

Barrier System Operational Rates

8.4.

1. Is/are barriers fully operational (green), partially operational (yellow) or non-operational (red)

2. Has the contractor developed a maintenance and repair log and is said log updated/forwarded as required?

Full Preventative Maintenance

1.3.1.

1. Did the contractor conduct the initial preventative maintenance service within 30 days of contract award?

2. Did the contractor provide a total of four inspections on a quarterly basis?

Contractor Hotline

have a hotline number and has that number been provided to the

CO/COR?

2. If utilized, has the contractor logged all calls as required?

Emergency and Service Call Response

8.1.2., 8.1.3.

Has a Lead Technician responded and made the necessary repairs or made safe the barriers within the required time frames? Has the Lead Technician provided a repair plan to the COR before leaving the site? Has an estimate and schedule been provided to the government within 48 hours unless otherwise negotiated with the CO?

Section F – Unacceptable Performance

1. Unacceptable Performance When the COR deems the Contractor’s performance as unacceptable, the COR must attempt to determine the cause of the unacceptable performance. If any Government action, or lack of action, caused the unacceptable performance, the government must not amount the unacceptable performance against the Contractor. The COR must take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. When the unacceptable performance is not the result of Government action, or lack of action, COR must promptly notify the Contractor using a Performance Assessment Report. If the performance issues are critical or recurring, the COR must prepare a draft Contractor Discrepancy Report. The COR will then notify the CO and request for permission to issue Contractor Discrepancy Report to the Contractor. By initialing and dating the Contractor Discrepancy Report, the Contractor is acknowledging that he or she has been informed of the unacceptable performance, and not necessarily agreeing that the performance was unacceptable.

a. Never direct Contractor’s work, assist the Contractor in any task, advise the Contractor on how to accomplish any task, change the contract, or interpret the contract, but rather observe and report on Contractor compliance with contracted requirements.

b. If the Contractor challenges the validity of the CORs unacceptable surveillance findings, promptly report performance issues to the CO in writing. The Contractor must return all completed Contractor Discrepancy Reports to the CO, no later than the suspense date indicated on the Contractor Discrepancy Report. The Contractor Discrepancy Report will be provided to the COR and all Contractor Discrepancy Reports must be uploaded into the SPM.

2. Contracting Officer Notification for Acceptance of Nonconforming Supplies or Services.

a. Minor Finding. A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR must document the findings, and notify the CO. If the COR identifies repeat minor findings, it may be an indication that a major finding is occurring or has occurred because the Contractor has not taken proper steps to prevent recurrence.

b. Major Finding. According to FAR 46.101, means a nonconformance, other than critical, that is likely to result in failure of the supplies or services, or to materially reduce the usability of the supplies or services for their intended purpose.

If at any time COR identify a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR must document their findings and notify the CO immediately in writing.

(1) Contractor failure to meet a performance threshold.

(2) A significant morbidity or mortality involving Contractor personnel,

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

(4) Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period.

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

(6) Revocation of clinical privileges.

c. Critical Items. According to FAR 46.101, means a nonconformance that is likely to result in hazardous or unsafe conditions for individuals using, maintaining, or depending upon the supplies or services; or is likely to prevent performance of a vital agency mission. The COR must notify the Contracting Officer in writing immediately for any critical findings.

3. Remedies for Unacceptable Performance.

a. In accordance with the contract Inspection of Services Clause 52.246-4 and 52.246-5, if any of the services do not conform with the contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re-performance, the Government may -

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

b. If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may -

(1) By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

(2) Terminate the contract or task order for default.

Section G – Certification and Acceptance of Services

1. COR must certify receipt of Contractor services each month. The COR must certify the Government received the services in accordance with the terms and conditions of the contact.

Section H – Contractor’s Quality Control Plan

1. Failure of the Contractor to deliver services as identified in the contract is a result of a failure in the contractor’s Quality Control Plan.

a. As much as possible, the Government should use the information provided in the Contractor’s Quality Control Plan to develop the Government’s Quality Assurance Surveillance Program

b. The Government’s intent is for the Contractor’s Quality Control to discover and correct issues before delivery to the Government.

2. Contractor Inspection Records. Records of inspections must be kept and made available to the acquisition team throughout the contract performance period and for the period after contract completion until final settlement of any claims under this contract.

Section I – Contract Management

1. The multi-functional team must utilize the following approaches, methods, and tools to manage the contract upon award:

a. COR must conduct, document, track, and analyze Contractor performance via monthly/quarterly surveillances. The surveillance results must be maintained as Past Performance Information (PPI) and utilized to submit information into the annual Contractor Performance Assessment Report System (CPARS).

b. The Contractor must maintain and implement a quality control plan to ensure the contract services conform to the requirements of the performance work statement. COR must monitor Contractor’s performance against the Contractor’s quality control plan.

c. The multi-functional team must conduct periodic progress meetings, not less than quarterly, to review the Contractor’s performance. At these meetings the CO will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor will also notify the CO, in writing, of any work being performed, if any, that the Contractor considers over and above the requirements of the contract. Appropriate action must be taken to resolve any outstanding issues.

2. Documentation Requirements.

a. COR must conduct, document, track, and analyze Contractor performance via monthly surveillances. The surveillance results must be utilized to submit information into the annual Contractor Performance Assessment Report System (CPARS).

b. Thorough documentation of unperformed or poorly performed work is essential for tracking Contractor performance throughout the period of performance. This documentation provides the CO with Contractor status as it applies to the performance criteria. The COR will document deficient work by compiling facts describing the inspection methods and results. The COR will develop documentation to substantiate nonconformance with the terms of the contract. The documentation, together with any recommendations, will be forwarded to the CO for corrective action.

c. The CO via a COR Designation Letter delegates inspection and acceptance to the COR. The CORs are required to maintain accurate records of the Contractor’s performance and keep the PM/FSM informed of all data pertaining to Contractor status.

d. Per DODI 5000.72 Enclosure 4. All COR nominations, designations, and terminations will be conducted in JAM and be viewable in the SPM module. All other contract surveillance actions will be conducted in the SPM module (e.g., submission of COR reports, annual inspection, contract surveillance). Both modules are located in the PIEE located at https://piee.eb.mil/piee-landing.

i. As a minimum, the COR File in the SPM must contain the following:

1. COR signed Designation Letter from The Contracting Officer

2. Copies of all mandatory required training

3. Copy of the Quality Assurance Surveillance Plan (QASP)

4. Copy of the Contractor’s Quality Control Plan

5. Validated Customer complaint documents.

6. COR Status Reports (COR Status Reports)

7. Contractor Discrepancy Reports (Contractor Discrepancy Reports) – both open and closed and a log to manage Contractor Discrepancy Report numbering.

8. Surveillances checklists

9. Applicable supporting information uploaded with the ‘COR Status Reports’

10. Any other documents and/or information that the COR finds useful.

b. Contractor Performance Metrics. CORs must submit monthly metrics into SPM using the COR Status Report or other appropriate report by the 5th working day of the next month. This surveillance must document Contractor’s performance metrics of SS items, analysis of trends discovered in surveillance, Contractor Discrepancy Reports issued, and summary of Contractor’s performance.

SIGNATURE PAGE

Functional Service Manager/Contracting Officer Representative Supervisor (Organization)

Contracting Officer’s Representative

Contracting Officer

5 CONS/PKAS

Quality Assurance Program Coordinator

Appendix 1 – Monthly Surveillance Schedule

CUI

Surveillance Schedule

Contract #:

Contractor:

Primary COR:

Signature:

Surveillance Period:

Alternate COR:

Signature:

Date Submitted:

SS Reference / PWS Reference

Page 1 of 1 Form Date: 1 May 20XX

Surveillance Schedule

Contract #:

Contractor:

Primary COR:

Signature:

Surveillance Period:

Alternate COR:

Signature:

Date Submitted:

SS Reference / PWS Reference

Instructions for Completing the Surveillance Schedule

AFFAR MP 5301.602-2(d) para 1.4.2 states, “…the CO and the COR Supervisor must ensure that individuals designated as CORs are able to dedicate sufficient time to perform effective oversight on each designated contract.”

The COR must establish a surveillance schedule either through SPM or upload a local schedule to SPM. If there are any changes, please annotate the changes and reason, indicate the revised date, and annotate at the new date when the activity is to be conducted. Completed schedules must be maintained as Part of surveillance documentation in the COR contract files.

BLOCK 1: Enter contract number.

BLOCK 2: Enter contract title.

BLOCK 3: Enter name of Primary COR responsible for surveillance and COR signature.

BLOCK 4: Indicate performance period - month and year surveillance is to be accomplished.

BLOCK 5: Enter name of Alternate COR responsible for surveillance and COR signature.

BLOCK 6: Indicate the date the schedule was prepared and submitted (Must be prior to start of surveillance period).

BLOCK 7: Indicate the contract Service Summary Item and PWS Paragraph from the Performance Work Statement. Indicate who will be doing surveillance (Primary or Alternate).

BLOCKs 8 a) through 8 k) Indicate which day of the month surveillances will be performed for Service Summary Items and PWS Paragraph (i.e., 1 thru 31). At least 10-20 percent of PWS Paragraphs will be evaluated each month. The entire PWS must be surveyed throughout the Performance Period.

SIGNATURE BLOCKS: First Line Supervisor, and Contracting Officer must sign the Surveillance Schedule.

NOTE 1: If you need another page to input your PWS/SS information, please ensure the pages are numbered.

NOTE 2: Under each day in the block, indicate “P” (Primary) or “A” (Alternate) as to who will be the individual surveying those areas.

NOTE 3: Inspection schedule must be comprised of at least 10 percent (10%) of non-SS items, but no more than 20 percent (20%).

Appendix 2 – COR Status Report COR Monthly Status Report is completed on the Surveillance and Performance Management System in PIEE COR Status Report Evaluation Categories

Below listed is COR guidance for assessing the Contractor’s performance. On each COR Status Report the Contractor will be evaluated in each of the following categories if applicable for each SS item or PWS task item. The highest rating for PWS (non-SS) task items will be SATISFACTORY as these items normally will not contain a threshold.

A) Quality of Product or Service. Assess the Contractor’s conformance to contract requirements, specifications, and standards of good workmanship (e.g., specified technical, professional, environmental, or safety and health standards). List and assess any sub-elements to indicate different efforts where appropriate.

For example: Are reports/data accurate? Does the service provided meet the specifications of the contract? Does the Contractor’s work measure up to commonly accepted technical or professional standards? Assess the degree of Government direction required to solve problems that arise during performance.

B) Schedule. Assess the timeliness of the Contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

This assessment of the Contractor’s adherence to the required delivery schedule should include the Contractor’s efforts during the assessment period that contributes to or effect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation.

C) Cost Control. Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost.

For example: Does the Contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the Contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the Contractor’s budgetary internal controls adequate?

D) Business Relations. Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the Contractor’s history of reasonable and cooperative behavior (to include timely identification and resolution of issues in controversy), and customer satisfaction.

Is the Contractor oriented toward the customer? Is interaction between the Contractor and the Government satisfactory, or does it need improvement? Also, in making the assessment, include the adequacy of the Contractor’s accounting, billing, and estimating systems; and the Contractor’s management of Government Furnished Property (GFP), if a substantial amount of GFP has been provided to the Contractor under the contract.

E) Management of Key Personnel. Assess the Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

For example: How well did the Contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the Contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the Contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

COR Status Report Evaluation Criteria Ratings

For each COR Status Report, COR will assign one of the following ratings for each category (i.e., Quality of Product or Service, Schedule, Cost Control, Business Relations, Management of Key Personnel, and Other) if applicable.

EXCEPTIONAL: Far beyond what is usual in magnitude or degree; surpassing what is common or usual or expected.

This kind of performance exceeds contractual requirements resulting with much benefit to the Government. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems (if any) for which corrective actions (if any) taken by the Contractor were highly effective.

Note: To justify an Exceptional rating, the COR will identify significant event(s) and state how it was a benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

Example Service Summary

In this example, if the Contractor provides 4 Microsoft Excel classes to Government employees, an EXCEPTIONAL rating could be merited.

Rational: The Contractor exceeded the performance threshold by 2 classes, which results in much benefit to the Government.

VERY GOOD: Better than or superior to the average.

This kind of performance meets or exceeds contractual requirements resulting with some benefit to the Government. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems (if any) for which corrective actions taken by the contract were effective.

Note: To justify a Very Good rating, the COR will should identify the significant event and state how it was a benefit to the Government. Also, there should have been no significant weaknesses identified.

Example Service Summary

In this example, if the Contractor provides 3 Microsoft Excel classes to Government employees, a VERY GOOD rating could be merited.

Rational: The Contractor exceeded the performance threshold by 1 class, which results in some benefit to the Government.

SATISFACTORY: Performance meets the requirements.

This kind of performance meets only the minimum contractual requirements. The contractual performance of the element or sub-element could contain some minor problems for which corrective actions taken by the Contractor appear or was satisfactory.

Note: To justify a Satisfactory rating, there should have been only minor problems, or major problems the Contractor recovered from without impact to the contract. Also, there should have been NO significant weaknesses identified. Per DoD policy, a fundamental principle of assigning ratings is that Contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract.

Example Service Summary

In this example, if the Contractor provides 2 Microsoft Excel classes to Government employees, a SATISFACTORY rating could be merited.

Rational: The Contractor met the minimum requirements of the performance threshold.

MARGINAL: Just barely adequate or within a lower limit.

This kind of performance does not meet some of the contractual requirements. The contractual performance of the element or sub-element being assessed 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.

Note: To justify Marginal performance, the COR will identify significant event(s) in which the Contractor had trouble overcoming and state how it impacted the Government.

Example Service Summary

In this example, if the Contractor provides 1 Microsoft Excel Class to Government Employees, a MARGINAL rating could be merited.

Rational: The Contractor missed the performance threshold by 1 class, which does not benefit the Government nor meets the terms of the example SS.

UNSATISFACTORY: Not meeting requirement(s) or the action of not fulfilling a service or need, not adequate recompense (compensation for loss).

This kind of performance does not meet 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.

Note: To justify and Unsatisfactory rating, the COR will identify a significant event(s) in which the Contractor had trouble overcoming and state how it impacted to Government. However, a singular problem could be of such serious magnitude that it alone constitutes an Unsatisfactory rating.

Example Service Summary

In this example, if the Contractor provides 0 Microsoft Excel Class to Government Employees, an UNSATISFACTORY rating could be merited.

Rational: The Contractor missed the performance threshold by 2 classes, which does not benefit the Government nor meets the terms of the example SS.

COR Status Report, Assigning Ratings

Rating the Criteria: For Contractor performance rating purposes, the following rating criteria will be used “Exceptional” = 100, “Very Good” = 90, “Satisfactory” = 80, “Marginal” = 70, or “Unsatisfactory” = 60%.”

Each COR Status Report will contain a rating for each area previously mentioned and will be tallied at the end of each month. The Contractor’s performance rating will be based on monthly and annual means (averages) from each COR Status Report report as displayed in the examples below.

Example Rating for 1 (One) Month (e.g., January)

Note While the average was “Satisfactory”, 80.5%, there can be no significant weakness with the “Satisfactory” rating. If the contractor receives an average monthly performance rating of “Unsatisfactory” in at least category, the overall rating will not exceed “Marginal “.

Each annual rating will consist of tallied monthly ratings, which will be used to compute the annual mean (average) as displayed in the example below.

Example Annual Rating

The annual mean for each category will be the measured against the following rating scale which will be used for the Contractor Performance Assessment Reporting System (CPARS) as indicated below:

Final Rating Scale

*Note: The rating period will start at the beginning of each Option Year and end at the completion of each Option Year. In some instances, the annual mean (average) may not include a full 12-month reporting period.

When reporting the Contractor’s performance in reference to PWS task items (Non-Service Summary Items), these items will be referenced in the category entitled “Other Areas” of the CPARS report. All PWS task items that are not referenced in a Service Summary (SS) will be addressed in this category separately. Computing the CPAR rating for PWS task items will follow the same schematic of Service Summary items [i.e., computing the means (averages)]. However, because PWS task items do not contain thresholds, the highest rating on the COR Status Report for these types of inspections will be SATISFACTORY. To aid in ruling out subjective ratings, the Contractor will be afforded the opportunity to contest such ratings during MFT meetings.

Appendix 3 – Sample Customer Compliant Form

Appendix 4 – Corrective Action Log

Control #: The control number will be made up of the first two letters of the office symbol, the last two digits of the calendar year, and a three-digit number starting with 001 and progressing upward throughout the calendar year (e.g., CE08-001).

Appendix 5 – Corrective Action Report

Appendix 6 – Contractor Performance Assessment Reporting (CPAR) Evaluation Ratings Definitions17