Attch 8 Performance Plan PP Custodial 19 Jun 08.doc

PERFORMANCE PLAN

FOR

FA2517-07-R-5001

Custodial Services

AT

Peterson AFB and Cheyenne Mountain AFS Revision 1, Amendment 0001 23 Jun 08 The following members of the MFT have signed this plan to represent all MFT members:

_____________________Date:______

_____________________Date:______

Quality Assurance Director

Contracting Officer 21st SW/PMOQ

21st CONS/LGCA

_____________________Date:______

Functional Director

21 CES/CC

Table of Contents

Subject Paragraph Cover Page Table of Contents

OVERVIEW

Objective 1.1 Result 1.2 Contract Type 1.3

DUTIES AND RESPONSIBILITIES

Multi Functional Team (MFT) 2.1 Quality Assurance Personnel (QAP) 2.2 Contracting Officer (CO) 2.3 Quality Assurance Director (QAD) 2.4 Quality Assurance Program Coordinator (QAPC) 2.5 Functional Director (FD) 2.6 Senior Quality Assurance Evaluator (SQAE) 2.7 Quality Assurance Evaluator (QAE) 2.8 Quality Assurance Specialist (QAS) 2.9

PERFORMANCE ASSESSMENT

Purpose 3.1 Strategy 3.2 Assessment Methods 3.3 Performance Objectives and Assessment Items 3.3.1 Types of Deficiencies 3.3.2 Trending Performance Assessment Tools 3.4 Use of Assessment Reports 3.4.1 Performance Assessment Report (PAR)

3.4.2 Performance Assessment Folder 3.4.3 Performance Assessment Phases 3.5

Performance Plan Maintenance 3.6 QAE Staff Assistance Visit (SAV) 3.7 Special Audits 3.8 Cusomer Feedback 3.9

Facilities Managers Training Class 3.9.1

Customer Feedback 3.9.2

PERFORMANCE MANAGEMENT

Purpose 4.1 Approach 4.2 Methods 4.3 Performance Management Tools 4.4 MFT Meetings 4.4.1 Financial Planning 4.4.2 Market Research and Best Practices 4.4.3

PERFORMANCE REPORTING

Contractor Performance Assessment Report (CPAR) 5.1

Management and Oversight of Acquisition Services Process (MOASP) 5.2 Functional Program Management Review (FPMR) 5.3

Certificate of Service (COS) 5.4

WIDE AREA WORKFLOW (WAWF) SERVICES ACCEPTANCE

DISPOSITION OF RECORDS

Attachments

A1 - Performance Assessment Report (PAR) A2 - Certificate of Service (COS) Contract Performance Assessment Structure

1. OVERVIEW

1.1 Objective. Provide all management, supplies, equipment, transportation, and labor necessary to ensure non-personal custodial services are performed at Peterson Air Force Base (PAFB) and Cheyenne Mountain AFS (CMAFS) Colorado, in a manner that will maintain a satisfactory facility condition, present a clean, neat and professional appearance.

1.2 Result. To ensure contract requirements are met on schedule during contract lifecycle. This provides the opportunity to reduce Government Performance Assessment and also provides an avenue to change the government’s role from “oversight” to “insight” when appropriate. This plan addresses Performance Assessment and Performance Management.

1.3 Contract Type: This is a Fixed Price, Indefinite Delivery, Indefinite Quantity type contract.

· Inspection of Services Clause- Fixed Price 52.246-4; Aug 1996

2 DUTIES AND RESPONSIBILITIES

2.1 Multi-Functional Team (MFT)

2.1.1 Responsible for execution of the service acquisition throughout the life of the contract requirement. This team includes representatives of the technical and procurement communities, stakeholders of the service acquisition and the contractor who provides the services. Primary MFT members for this contract are the Functional Director (FD), Contracting Officer (CO), Contracting Specialist (CS), Quality Assurance Specialist (QAS), Senior Quality Assurance Evaluator (SQAE), Quality Assurance Evaluators (QAE), the contractor performing the services and the Financial Analyst. This team may consist of various sub-group(s) responsible for routine contract actions. Member participation is contingent upon business requirements. Although not a primary member of the MFT, the Quality Assurance Director (QAD) is a quality stakeholder on all wing service contracts.

2.1.2 General duties and responsibilities of the MFT members include, but are not limited to:

2.1.2.1 Manage contract performance and assessment IAW this plan.

2.1.2.2 Develop and foster partnerships for the common goal of continuous improvement. Maintain effective communications with the contractor for the overall success of the contract.

2.1.2.3 Identify opportunities to improve performance throughout the life of the contract. This includes benchmarking against industry, identifying initiatives, assessing risk associated with these initiatives, using this plan for implementing initiatives and monitoring success of implementation.

2.1.2.4 Support senior leadership by providing meaningful data reporting, briefings and early warning of significant variances in cost, schedule or performance.

2.1.2.5 Develop Performance Objectives (PO) and Assessment Items (AI) that identify mission critical or operationally vital Performance Work Statement (PWS) requirements that require periodic evaluation by Quality Assurance Personnel (QAP).

2.1.2.6 Develop, implement, and maintain this plan. Maintenance of this plan includes making changes that are needed in assessment and management to ensure its continued effectiveness. Signatures on the cover sheet represent all MFT members. The MFT will review this plan as needed or annually at a minimum and affect changes as necessary to maintain plan effectiveness.

2.2 Quality Assurance Personnel (QAP)

2.2.1 The term QAP includes the SQAE, QAE(s), QAD, QAS and QAPC.

2.3 Contracting Officer (CO)

2.3.1 Ensures performance of all necessary actions for effective contracting. Ensures compliance with the terms of the contract and safeguarding the interests of the United States. Ensures contractors receive impartial, fair, and equitable treatment. Considers the advice of the other MFT members. Resolves disputes or conflicts in performance of PWS requirements.

2.3.2 Delegates, in writing, authority for inspection and/or acceptance IAW terms of the contract. Informs the contractor of the names, duties, and limitations of authority for all QAP assigned to the contract.

2.3.3 Conducts Phase 2 training for QAP prior to performance of QAP duties.

2.3.4 Inputs contract registration data into the Contractor Performance Assessment Report System (CPARS) database within 30 days of contract award. Performs within the CPAR system as the Assessing Official (AO).

2.3.5 Prepares and submits Management and Oversight of Acquisition of Services Processes (MOASP) reporting.

2.3.6 Serves as MFT Lead in the absence of the Program Manager.

2.3.7 Recommends improvements to the PWS and this plan.

2.4 Quality Assurance Director (QAD)

2.4.1 Serves as Chief of the Quality Assurance Branch, also known as the Centralized Performance Management Office (CPMO). Manages the 21st Space Wing’s Performance Management Assessment Program including Performance Plan development, implementation, and performance assessment activities.

2.4.2 Functions as the primary focal point for all quality related issues or concerns.

2.4.3 Selects and ensures implementation of quality auditing techniques and procedures for contract performance assessment evaluation teams. Ensures maintenance of contractor performance documentation.

2.4.4 Advises MFT and their customers of the appropriate methods and measures of performance assessment for contracted services.

2.4.5 Ensures QAP are sufficiently trained in their quality and performance assessment duties.

2.4.6 Assists the acquisition team by planning, establishing and managing quality requirements throughout the acquisition process.

2.4.7 Stays abreast of changing philosophies, techniques and procedures for quality assurance and informs QAPs and MFTs of the changes.

2.4.8. Oversees performance plan development, implementation, and performance assessment for assigned contracts.

2.4.9 Conducts QAP Staff Assistance Visits (SAV) as needed.

2.5 Quality Assurance Program Coordinator (QAPC)

2.5.1 Provides Phase 1 and FD training to QAP prior to their conducting performance assessment duties. Coordinates follow-on Phase 2 training with the CO.

2.5.2 Develops and maintains initial and refresher Phase 1 training.

2.5.3 Conducts QAE SAVs as needed.

2.5.4 Is the Wing CPAR focal point with all associated responsibilities and duties.

2.6 Functional Director (FD)

2.6.1 Has overall responsibility for performance assessment, documentation, and reporting the contractor’s performance to ensure the Air Force receives the services being contracted.

2.6.2 Assigns primary and alternate QAEs. Forwards written assignment letters to the CO.

2.6.3 Ensures QAEs receive Phase 1 and 2 training prior to conducting performance assessment duties.

2.6.4 Reviews and provides recommendations for the monthly Certificate of Service (COS) from QAEs.

2.6.5 Ensures functional experts are assigned to the MFT.

2.6.6 Issues PAR with Finding and maintains PAR with Finding control log. PAR with Finding issue authority may be delegated to QAPs.

2.6.7 Forwards QAS prepared MQAE Audit Reports up chain of command as appropriate.

2.6.8 Evaluates QAEs as needed to ensure assessment, documentation and reporting are performed IAW this plan.

2.7 Senior Quality Assurance Evaluator (SQAE)

2.7.1 Normally the senior QAE on a contract when multiple QAEs are assigned. Serves as the focal point for QAE performance assessment activities IAW this plan on behalf of the FD and notifies the MFT of significant performance issues and deficiencies.

2.7.2 Consolidates QAE inputs from PARs and other documentation in to the Certificate of Service (COS) and forwards to the FD monthly IAW COS generation process contained in Attachment 2 of this plan.

2.7.3 Ensures performance assessments are executed and documented IAW this plan.

2.7.4 Assists the FD in ensuring QAEs have received Phase 1 and 2 training prior to performing quality assessment duties.

2.7.5 Recommends improvements to the PWS and this plan.

2.7.6 Initiates PAR with Finding IAW this plan. Evaluates adequacy of corrective actions, correction of the root cause and actions taken to prevent recurrence. Performs follow up assessments as needed.

2.7.7 Participates in MFT meetings throughout the life of the contract.

2.8 Quality Assurance Evaluator (QAE)

2.8.1 Assesses, documents, and reports contractor’s performance IAW this plan. Notifies the SQAE and QAS of performance deficiencies. Prepares PARs IAW this plan.

2.8.1.1 Evaluates the contractor’s adequacy of corrective actions, correction of the cause and actions taken to prevent recurrence.

2.8.2 Participates in MFT meetings and recommends improvements to the PWS and this plan.

2.8.3 Submits monthly performance assessment documentation to the SQAE for inclusion in the COS.

2.8.4 Performs as the Assessing Official Representative (AOR) for CPAR narratives and ratings.

2.9 Quality Assurance Specialist (QAS)

2.9.1 Assesses, documents and reports contractor’s performance IAW this plan.

2.9.2 Assists QAEs by reviewing PARs with Findings prior to issuance of the PAR to the contractor. Maintains a PAR with Findings log that includes all PARs with Findings on the contract. This log is independent of any FD control number logs.

2.9.3 Prepares and issues PARs with Finding IAW this plan independently of FD staff. Evaluates adequacy of corrective actions, correction of the cause and actions taken to prevent recurrence. Performs follow up assessment(s) as needed.

2.9.4 Drafts, maintains, and coordinates review of this plan with the MFT. Reviews this plan annually at a minimum and affects changes to maintain plan effectiveness. Participates in MFT meetings and recommends changes to the PWS.

2.9.5 Performs SAV for QAEs IAW this plan and provides written results to the FD, CO and QAD.

2.9.6 Advises QAP in resolving issues that could reasonably impact performance standards. Advises QAPC of training requirements.

2.9.7 Prepares and briefs Functional Program Management Review (FPMR) Performance data.

2.9.8 Performs as the Assessing Official Representative (AOR) for CPAR narratives and ratings for the contractor quality system or program.

3 PERFORMANCE ASSESSMENT

3.1 Purpose: Performance Assessment detailed in this plan is based on performance requirements of the PWS. The objective of this plan is to rely on the Contractor’s Quality System to ensure requirements are met and sufficient periodic validation by QAPs is accomplished. This plan identifies the strategy, methods, and tools the MFT will use to ensure it receives the services as specified in the PWS.

3.2 Strategy: To gain confidence in the contractor’s ability to provide satisfactory services through periodic QAP validation and sufficient validation and analysis of contractor provided performance reports. The level of assessment is adjusted to maintain confidence in the contractor’s performance.

3.3 Assessment Methods

3.3.1 Performance Objectives (PO) and Assessment Items (AI): The POs and AIs listed in Tables 1 and 2, respectively, identify the minimum performance assessment requirements that must be accomplished on a periodic basis.

3.3.1.1 POs listed in Table 1 of this plan mirror the Services Summary (SS) in the PWS. AIs may also be developed by the MFT and included in Table 2 of this plan. AIs are developed to reasonably ensure compliance in functional areas that are not in the SS. Each PO or AI has a corresponding performance threshold which is the minimum acceptable performance level and the PWS reference paragraph. Each PO and AI also contains a method of assessment for the QAP to use, the minimum frequency at which to accomplish the assessments and the QAP responsible to perform the assessment.

3.3.1.2 The government has the right to assess all PWS requirements of the contract to the extent practicable at all times and places during the term of the contract. The Government shall perform assessments in a manner that will not unduly delay the contractor's workflow. Assessment of POs or AIs must be documented and reported by QAP IAW this plan. When PWS requirements not identified as POs or AIs are assessed, they must also be documented and reported IAW this plan.

Table 1 PERFORAMANCE OBJECTIVES

CMAFS-N/A

Customer Complaint

CMAFS – No more than 2 validated customer complaints per month.

Customer Complaint

CMAFS – No more than 2 validated customer complaints per month.

Customer Complaint

PO#4. Perform Emergency or Special Event Cleaning

CMAFS – No more than 1 validated customer complaint per event.

Customer Complaint

CMAFS – No more than 2 validated customer complaints per event.

Customer Complaint

CMAFS- No more than 2 validated customer complaints per month.

Customer Complaint

Table 2 ASSESSMENT ITEMS

1. Interview Contractor Quality Personnel and review sufficient inspection records to ensure the QCP encompasses all functions and requirements of the contract, satisfies the requirements in the Inspection of Services Clause, and keeps the Contractor’s management staff informed of all issues affecting quality.

2. Review inspection records for the number and type of observations made, the number and type of deficiencies found and the nature of corrective actions taken to prevent recurrence.

3. Review records of inspections and supporting operation of the QC program.

4. Review deficiency responses for timely identification of deficiency and timely, effective actions to correct.

5. Review contractor audit, inspection, and operating instructions/procedures to ensure contract requirements encompass aspects of the contract. The instructions will include specific criteria for acceptance/rejection of services and that Government representatives are notified of changes to inspection instructions.

3.3.2 Types of Deficiencies

3.3.2.1 Contractor Identified Deficiencies (CID)

3.3.2.1.1 CID(s) are deficiencies detected and identified by the contractor. When CIDs are reviewed by QAP, the QAP will take the following actions:

3.3.2.1.2 Review corrective actions taken by the contractor to resolve the deficiency.

3.3.2.1.3 Determine whether the deficiency has been corrected. If the deficiency has been resolved, review the corrective action taken and any applicable procedures the contractor has established to prevent recurrence of the deficiency.

3.3.2.1.4 If a CID has not been resolved and the contractor has established an estimated completion date (ECD) for resolution of the deficiency, the QAP will monitor the contractor’s efforts in resolving the deficiency. If the QAP determines the ECD is excessive based on the nature of the deficiency, the QAS will be notified. The QAS will assist in the determination of whether the contractor’s course of action is acceptable or if a Government Identified Deficiency (GID) should be initiated.

3.3.2.2 Government Identified Deficiency (GID): A GID is a government-identified contractual requirement deficiency. A PAR with Finding will be used to document the deficiency and request corrective action from the contractor. Before a PAR with Finding is prepared, the contractor is given the opportunity to show whether the deficiency has already been identified and is in the process of being corrected. If documentation exists which substantiates the contractor has identified the deficiency and timely corrective action is being taken to correct the deficiency, the deficiency may be excused from PAR with Finding identification pending concurrence of the QAS.

3.3.3 Trending: The QAE, in conjunction with the QAS, will analyze performance assessment data for performance trends. This trending data, whether positive or negative, will be used in subsequent reporting of contract performance.

3.4 Performance Assessment Tools

3.4.1 Use of Assessment Reports. Assessment reports, as stated in PWS, paragraph 4.5.1, will be used to track contractor progress in meeting PWS requirements. The QAP must validate the accuracy of those contractor provided reports to a degree that establishes confidence in the reporting of the contractor. The QAP must validate all reports.

3.4.2 Performance Assessment Report (PAR) The tool used for official government documentation of assessments of the POs and AIs contained in this plan as well as any other PWS requirements assessed. PAR Section I is used to document assessment results and PAR Section II is used only to document Findings (deficiencies) found during the assessment documented in Section I.

3.4.2.1 Attachment 1 of this plan contains the PAR as a word document and provides full instructions for its use. PAR generation is also included in the roles and responsibilities sections of this plan.

3.4.2.2 The QAP will immediately inform the contractor when a Finding has been discovered and given the chance for discussion prior to documenting a PAR with Finding. There are two issuing authorities for a PAR with Finding, FD and the QAS. The FD may delegate this responsibility to the SQAE or the QAE.

3.4.2.3 The QAP will forward initial, Interim and final copies of PARs with Findings to the QAS.

3.4.2.4 QAPs will refer contractor-disputed PAR with Findings to the QAS for resolution and then, if necessary, the PAR will be routed to the CO for contract interpretation.

3.4.3 Performance Assessment Folders: Developed and maintained by QAPs. Folders may be maintained in hard copy, electronic format (preferred method), or any combination thereof, provided there is adequate backup of all soft data to prevent loss. Multiple QAEs working on one contract should combine folders to avoid duplicate documentation. Cross Reference Sheets should be used to identify the location of shared or electronic files. Directory paths and file names should be clearly identified.

3.4.3.1 Performance Assessment Folder Sections: Folders must contain the following six sections and may contain other items the folder owner finds necessary:

Section 1: Contract Documents including PWS.

Section 2: Quality Documents including this Performance Plan and the Contractor’s Quality Program Plan Section 3: Activity Log: A chronological log of actions taken in the performance of QAP duties. The purpose of this log is to provide a brief synopsis of contract inspection activities, meetings, and conversations with the contractor regarding PWS performance. Documentation supporting activity log entries should be maintained in the records section of the Performance Assessment Folder.

Section 4: Assignment Letter/Inspection Authority Letter/Training Certificates This section must include the folder owner’s inspection authority letter from the CO and the assignment letter from the FD as well as Phase I and II training certification.

Section 5: Records Contains documentation associated with performance management and assessment such as PARs, PARs with Findings, correspondence, letters of interpretation from the CO/CS, documents supporting the Activity Log, COS, etc… Section 6: Other Items: Any other items deemed necessary such as access letters, publications, or other information needing to be readily available.

3.5 Performance Assessment Phases: Performance Assessment is accomplished in three phases:

3.5.1 Phase 1: QAP Assessment: QAP conducts assessments and documents on PARs IAW this plan.

3.5.2 Phase 2: Contractor Assessment The contractor assesses their own performance and causes of corrective actions for deficiencies, strengths and weaknesses, and trend analysis.

3.5.3 Phase 3: Quality Audit: The QAS performs audits of the contractor’s quality program IAW this plan. Overall audit results will be included in the monthly COS for the month in which the audits were conducted. For audit documentation, a narrative audit report will be generated IAW the latest QAD-approved report format. The QAS will route a draft and final audit report to the FD. It is the responsibility of the FD to provide the reports to their Group CCs or Deputies as applicable.

3.5.3.2 Monthly, the QAS reviews data reported in the COS to validate contractor compliance with PWS requirements.

3.6 Performance Plan Maintenance: QAPs will remain aware of this plan’s effectiveness and recommend changes to maintain that effectiveness. This plan will also undergo a formal annual review by the QAP to assess and maintain currency and continued effectiveness. The process for recommending improvements to this plan consists of the following: MFT Meetings and written communications such as e-mail, etc. to the MFT and QAS. The QAS will adjust the plan based on MFT inputs.

3.7 QAE Staff Assistance Visit (SAV): SAVs will be conducted semi-annually to determine that assessment and documentation is being accomplished IAW this plan. Written SAV results will be provided to the FD, CO and the QAD. The QAS, QAD or the QAPC may conduct SAVs.

3.8 Special Audits: Special Audits may be requested by the FD to the QAD for suspected functional areas deficient with PWS requirements or when technical expertise is not available at the site of contract performance.

3.9 Cusomer Feedback: Customer feedback will be used as a method of performance assessment. Customer feedback measures will be established to enable customers to provide positive as well as a negative feedback.

3.9.1 Facility managers will be trained in proper procedures for customer feedback reporting in the mandatory Facilities Managers Training Class. The primary methods of feedback will be electronic mail and telephone communication. The QAE will provide the facility mangers with a copy of the training schedule.

3.9.2 The QAE will establish a monthly log to annotate all customer feedback. All feedback will be included in the monthly COS. All positive feedback will be addressed and the QAE will determine if it can be used in the monthly COS or annual CPAR. All negative feedback will be validated IAW the Service Summary in the PWS. All invalid negative feedback will addressed with the customer as to reason(s) why. Valid complaints will be coordinated with the contractor’s representative to allow opportunity for investigation. If necessary, QAP should prepare a PAR IAW Para 3.4.

4 PERFORMANCE MANAGEMENT

4.1 Purpose: Performance Management detailed in this plan focuses on the result the MFT is striving to achieve in managing this acquisition to ensure contract requirements are met on schedule, within budget and with services rendered IAW the PWS. The approach, methods, and tools the government will use are detailed in this section.

4.2 Approach: A multi-tiered approach includes the day-to-day management performed by the MFT and periodic performance, cost, budget and schedule reviews for senior leadership.

4.3 Methods: The MFT manages contract performance by utilizing Performance Management and Assessment tools to ensure the acquisition meets required schedules and the budget during the lifecycle.

4.4 Performance Management Tools

4.4.1 MFT Meetings: The MFT conducts meetings as required at any time. Only MFT members with current agenda items are required to attend but all members of the MFT may attend meetings, including the contractor. The contractor will be excluded only if there are discussion topics which are for the “government only”. Discussion topics should include any items affecting the acquisition or the contract. Minutes of meetings will be written and distributed by the MFT chair (either the CO or PM) to all members of the MFT, including the contractor. The MFT chair will exclude the contractor from “government only” meeting minutes.

4.4.2 Market Research and Best Practices: Market research is a continuous effort performed throughout the acquisition/contract life cycle. This research supplies information to the MFT about commercial technology and industrial capabilities. It will be used to identify opportunities to improve performance and the improvements should be incorporated where appropriate.

5 PERFORMANCE REPORTING

5.1 Contractor Performance Assessment Report (CPAR): The CPAR is an annual assessment of contractor performance and is based on objective facts supported by performance assessment and management data. The reports are used to provide past performance information to acquisition professionals for use in future acquisitions. Performance documentation is entered into an electronic performance report and is mandatory for each contract that has a total contract value exceeding $1 Million. The electronic record is accessed and maintained in the CPARS Navy electronic database via the website. The MFT will complete a report annually through the life of the contract.

5.1.1 The Wing CPAR Focal Point, who is also the QAPC, will provide the QAE and QAS with Assessing Official Representative (AOR) access and provide a USER ID and Password for the CPARS website. At this level, the QAE and QAS will have the AOR access required to enter performance documentation and ratings in the areas of Quality of Product, (this contract if fixed price)Schedule, Business Relations and Management. They provide these performance narratives and associated ratings at the end of each performance period. When complete, the report is electronically forwarded to the Assessing Official (AO).

5.1.2 The Contracting Officer will be given access as the AO for the contract by the Wing CPAR Focal Point by providing a USER ID and Password. When the report has been received electronically from the AOR, the AO will review the report, narratives and ratings. If the ratings are not supported by the narrative, the report is electronically sent back to the AORs for further justification. When the ratings and narratives are considered satisfactory, the AO will forward the report to the contractor for a 30 day review period.

5.1.3 The Wing Focal Point will provide the contractor with access by providing a USER ID and Password. The contractor will review and provide comments and return the report to the AO. If the contractor accepts the report, the AO will close out the report in CPARS. If the contractor disputes the report, the AO must forward to the Reviewing Official (RO) for resolution.

5.1.4 The Wing Focal Point will grant the RO access by providing a USER ID and Password. The RO will review the contractor dispute with the AO and AOR that wrote the report. The RO will make the decision to either change the report or leave the report as written and close it out. The report will not go back to the contractor for any further reviews.

5.2 Management and Oversight of Acquisition Services Processes (MOASP) The Air Force’s defined approach to the management of the procurement of services to include management structure, responsibilities of the designated official (DO), review thresholds and advance approval of non-performance based contracts. The MOASP applies to service acquisitions over the simplified acquisition threshold. The MFT prepares and submits the MOASP 30 days following contract award and annually thereafter IAW reporting instructions from higher headquarters.

5.3 Certificate of Service (COS): The FD or the SQAE report results of performance assessments on a monthly basis via the COS to the CO (Attachment 2). All performance data is documented in the COS, including results of quality audits and other inspection agency audits/inspections accomplished within that reporting period. The COS is used by the QAP and QAE for acceptance of services and uses WAWF as the form of payment. Some COs will use WAWF themselves or allow the QAP to use.

6 WIDE AREA WORKFLOW (WAWF) SERVICES ACCEPTANCE: The web-based system for electronic invoicing, receipt and acceptance. WAWF combines the three documents required to pay a vendor – the contract, the invoice and the receiving report. Authorized DoD users are notified of pending actions via e-mail and presented with on-line documents required to accept receipt of services and pay the contractor.

6.1 The QAEs identified in the roles and responsibilities of this plan for acceptance of services and payment for the services need to receive WAWF training prior to system use.

7 DISPOSITION OF RECORDS: The contract quality assurance assessment records will be maintained in the performance assessment folder, other designated records locations, or the contract file for the life of the contract or as specified by the records disposition schedule. The CO may specify a periodic transfer of these records to the contracting office or at the conclusion of the contract for contract file inclusion. The QAP must contact the CO for the final disposition instructions upon contract completion.

Attachment 1 Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

For Check Blocks, enable and lock Forms Toolbar

Section I. Use for Assessment Documentation

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FINDING CATEGORY

FORMCHECKBOX

No Finding

FORMCHECKBOX

Minor

FORMCHECKBOX

Major

5. CONTRACT REQUIREMENT

6. PWS REFERENCE

7. AREA RATING

FORMCHECKBOX

Satisfactory

FORMCHECKBOX

Marginal

FORMCHECKBOX

Unsatisfactory

8. DETAILED PERFORMANCE ASSESSMENT—DESCRIBE CONTRACTOR PERFORMANCE

9. ASSESSING QAP GRADE/NAME/SIGNATURE

10. ASSESSMENT DATE

Section II. Use for Finding Documentation

11. CONTROL NUMBER

12. ISSUING AUTHORITY GRADE/NAME/SIGNATURE

13. SUSPENSE DATE

14. BRIEF DESCRIPTION OF THE FINDING (Include PWS reference narrative)

15. FINDING IMPACT

16. CONTRACTOR RESPONSE: Contractor must 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 13. If date was not entered in Block 13, the Contractor is not required to provide a response.

17. QAP RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE:

1 18. CONTRACTOR

RESPONSE

FORMCHECKBOX

Accepted

FORMCHECKBOX

Rejected

19. EVALUATING QAP GRADE/NAME/SIGNATURE

20. FINDING CLOSE DATE

PERFORMANCE ASSESSMENT REPORT (CONTINUATION SHEET)

ENTER CONTROL NUMBER (Same as Block 11) if applicable

Attachment 1 Performance Assessment Report (PAR) Instructions

Purpose: The PAR encompasses the requirements of assessment reporting as well as deficiency identification, correction and actions taken by the contractor to prevent recurrence.

Scope: The PAR is used by all Quality Assurance Personnel in the documentation of assessment of PWS requirements and any deficiencies identified during those assessments.

Section I: Tracks and documents detailed assessments of contractor performance based upon the requirements of the SOW. As a minimum, assessments of Performance Objectives (PO) and Assessment Items (AI) from the Performance Plan are documented in this section.

Section II: Used to document findings, which are deficiencies that are identified during an assessment. Section II is used to notify the contractor of the finding and request corrective action.

Section I PERFORMANCE DESCRIPTION Block 1, CONTRACTOR NAME: Enter name.

Block 2, CONTRACT NUMBER: Enter number.

Block 3, TYPE OF SERVICES: Enter Type of Services.

Block 4, FINDING CATEGORY: Check one block only. Categorize Deficiencies as follows:

No Finding: A No Finding is used to document verbal or e-mail discussions with the contractor. These issues may concern potential deficiencies, risks needing attention or recommended improvement areas. As needed, contact the QAS for guidance.

Major Finding: A conclusion that identifies a condition that has a significant adverse effect on the quality of the activity under review such as:

1. Failure to meet a Performance Threshold.

2. Significant mission degradation in any Contractor operated function.

3. A situation that is likely to result in hazardous or unsafe conditions for individuals (or any other government resource) coming into contact with the work.

4. Failure to provide adequate corrective action to prevent reoccurrence of government identified findings.

5. Failure of the contractor to provide corrective action to self identified deficiencies within a reasonable time frame dependent on deficiency complexity.

6. Any failure to adhere to security regulations resulting in a security incident.

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 has occurred because the Contractor’s quality system has not acted to prevent recurrence. In this case, the Minor Finding may be elevated to the level of a Major Finding and a new PAR initiated.

Block 5, CONTRACT REQUIREMENT: Identify contract requirement, i.e., Civil Engineering.

Block 6, PWS REFERENCE: If the requirement being assessed is a PO or AI from the Performance Plan, enter the PO or AI number. A PWS reference requirement will need to be entered for items that are not listed as POs or AIs in the Performance Plan.

Block 7, AREA RATINGS: Check one block only. There are three possible area ratings as follows:

AREAS RATED SATISFACTORY: The contractor has complied with the requirements of the contract; deficiencies, if any, were minor, re-performable, and easily correctable; all required tasks have been completed within the specified standards. This is the highest rating a contractor can receive during a performance assessment audit.)

AREAS RATED MARGINAL: The contractor has met most of the requirements of the contract but sufficient problems exist, or an adverse trend was identified.

AREAS RATED UNSATISFACTORY: The contractor’s performance has not met the standards of contract requirements or could cause mission impact or be a peril to life or property.

Block 8, DETAILED PERFORMANCE ASSESSMENT — DESCRIBE CONTRACTOR PERFORMANCE: Enter the particular details and results of the assessment. Detailed results of assessments are required to report and manage contract performance. Avoid Pass/Fail descriptions of contract performance whenever possible.

Block 9, ASSESSING QAP: Enter grade/name.

Block 10, ASSESSMENT DATE: Enter the date of the assessment, normally the day the PAR is completed. Performance Assessment should be documented as contract requirements are assessed.

Section II FINDING DESCRIPTION

Block 11, CONTROL NUMBER: All findings of either category are tracked with a Control Number. The control number will be made up of the first two or three letters of the name of the site or contract, a dash, the last two digits of the fiscal year, a dash, and a three digit number starting with 001 and progressing upward through the fiscal year. Example, PE-05-001 denotes Peterson, FY05, and the 1st PAR finding of FY05.

If the QAS or the Quality Branch identifies a finding on a PAR, the control number will be provided by the QAS. The control number is in the same format with the addition of a “Q” designator inserted after the last two digits of the fiscal year. For example, PE-05Q-001.

Block 12, ISSUING AUTHORITY GRADE/ NAME: Enter the Grade/Name. There are two issuing authorities for a PAR with Finding. These are the FC/FD and the QAS. The FC/FD may delegate this responsibility down to the SQAE or the QAE.

Block 13, RESPONSE SUSPENSE DATE: Enter the date the response is due from the contractor for the cited deficiency. Normally, this is two calendar weeks unless extenuating circumstances exist. The response suspense date is for initial response from the contractor and not necessarily the complete corrective action plan.

Block 14, BRIEF DESCRIPTION OF THE FINDING (Include PWS reference narrative) (IF MAJOR OR MINOR FINDING BOX WAS CHECKED IN BLOCK 4): Enter a brief description of the finding if a Major or Minor finding block was checked in Block 4. Clearly and briefly, state the details of the finding. Most finding details will not be more than a sentence. Also include the PWS reference narrative, e.g. PWS paragraph 3.4 reads in part: The contractor shall maintain an MSDS in the work area for all hazardous materials used within the area.

Block 15, FINDING IMPACT: Enter the impact that the finding has, or could reasonably have, on mission accomplishment.

Block 16, CONTRACTOR RESPONSE: Contractor must 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 13. If date was not entered in Block 13, the Contractor is not required to provide a response.

Block 17, QAP RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE: After the Contractors response is received and evaluated by QAP, QAP enters response based on whether the contractor’s actions were sufficient to correct the cited deficiency and prevent it from reoccurring. If the response is being rejected, the QAP must fully explain the reason behind the rejection.

Block 18, CONTRACTOR RESPONSE ACCEPTED/REJECTED: Check the appropriate check block using forms tool bar to check and lock the selection.

Block 19, EVALUATING QAP GRADE/NAME: Enter grade and name of QAP evaluating the contractor’s response.

Block 20, FINDING CLOSE DATE: Enter date of closure if the Contractor Response was acceptable to correct the cited deficiency and prevent it from reoccurring.

PAR Continuation sheet: Use the PAR continuation sheet and number by PAR block items that do not fit in the PAR. When section I of the PAR is used to document recurring assessments, the PAR continuation sheet should be used to track these items for an entire assessment period, not to exceed one fiscal year. For example, if the performance plan requires the QAP to assess a certain PWS requirement every 30 days, a table of those checks could be developed and inserted into the continuation sheet. This allows the QAP to have only one PAR per year generated for each recurring assessment requirement. If a deficiency is identified, complete a separate PAR for that particular finding. For Example:

PWS Para #

Same as above

Attachment 2 Certificate of Service (COS) COS Generation Process

1. QAE submits a draft COS (IN A WORD FORMAT) to the FD.

NOTE: Draft COSs are not provided to any contractor personnel.

2. The FD reviews the COS. Validated issues will be presented to the CO for assistance as needed.

3. QAE will track negative issues, and positive comments for input to the CPARS. QAE sends a copy of the monthly COS via e-mail to the CO for filing.

4. QAE does trend analysis and comments if necessary then files it in the Performance Assessment Folder.

6. QAE sends the final COS to the contractor.

DATE

MEMORANDUM FOR: (CO)

FROM: Host Unit

SUBJECT: Contract Number, Certificate of Service (COS) for Month and Year SECTION I: Performance Ratings for Each Evaluation Area and Significant Items Related to Performance. There are two elements in this section.

Element A: Overall Performance Rating:

Performance Assessment by Functional Area (SOW Chapter): Only three ratings may be used in this section: Satisfactory, Marginal, or Unsatisfactory. Include supporting data in Section II, Elements A & B. This section certifies overall performance for the rating period.

Satisfactory

Element B: Performance Assessment by Service Delivery Summary (SDS) or Service Summary (SS):

Performance Assessment By SDS or SS Metric.

CMAFS-N/A

Insert Assessment Result

CMAFS – No more than 2 validated customer complaints per month.

Example:

Insert Assessment Result

CMAFS – No more than 2 validated customer complaints per month.

PO#4. Perform Emergency or Special Event Cleaning

PAFB - No validated customer complaints per event.

CMAFS – No more than 1validated customer complaint per event.

CMAFS – No more than 2 validated customer complaints per event.

CMAFS- No more than 2 validated customer complaints per month.

SECTION II: Strengths and Weaknesses

(Each evaluation area will be documented for further performance reporting. The applicable MFT will determine how this information is captured in this section).

Element A: Strengths Observed During QAE Assessment

(Comments will be accompanied by a brief description of the impact and benefit that the government has received over and beyond the requirements of the PWS.)

Element B: Weaknesses Observed During QAE Assessment. Weaknesses may include non-compliance of PWS requirement(s), area(s) of concern, recommended improvement area(s); etc. Weaknesses will be accompanied by the nature of the impact to the Government. Weaknesses that involve non-compliance of PWS requirements that were not already identified and documented by the contractor’s quality system must be documented on a Performance Assessment Report (PAR) detailing the non-compliance. The PAR will contain a suspense date giving the contractor the opportunity to respond.

1. PAR(s) with Finding initiated during the period: If none state “None”

2. PAR(s) with Finding remaining open from previous period with action pending: If none state “None”

3. PAR(s) with Finding Closed during the period: If none state “None” SECTION III: Additional Comments:

Any information pertaining to performance to include Commanders comments, if desired. Comments or bullets outlining any additional performance data such as external inspections (ESOHCAMP, ATSEP, IG, AFAA, EPA, etc); special projects, SECTION IV: QAE Listing and SOW Functional Area:

Rank/ Name

Example:

TSgt John Smith Example:

Security Forces QAE

This block is only used for GSU’s

//SIGNED//jnk//Date

James Knox Polk, Col, USAF

Functional Commander

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FA2517-07-R-5001 Amendment 0001