RFP Attch 2 Perf Plan 20 Dec 10.doc

PERFORMANCE PLAN

FOR

GROUNDS MAINTENANCE

FACILITIES SUPPORT AND SERVICES –

BASE MAINTENANCE

AT

Peterson AFB, CO.

The following members of the MFT have signed this plan to represent all MFT members:

_____________________Date:______

_____________________Date:______

Quality Assurance Specialist

Contracting Officer 21st MXG/PMDQ

21st CONS/LGCA

_____________________Date:______ _____________________Date:______

Functional Commander/Functional Director Program Manager

21st CES/CEOE

21st MXG/PMDO

CHANGE CONTROL SUMMARY

Table of Contents

Subject

Cover Page Change Control Summary Table of Contents Contract Performance Assessment Structure

1 OVERVIEW

1.1 Objective

1.2 Result

2 DUTIES AND RESPONSIBILITIES

2.1 Multi Functional Team (MFT)

2.2 Quality Assurance Personnel (QAP)

2.3 Contracting Officer (CO)

2.4 Chief of Quality Assurance (CQA)

2.5 Quality Assurance Program Coordinator (QAPC)

2.6 Functional Director (FD)

2.7 Quality Assurance Evaluator (QAE)

2.8 Quality Assurance Specialist (QAS)

3 PERFORMANCE ASSESSMENT

3.1 Purpose

3.2 Strategy

3.3 Assessment Methods

3.3.1 Performance Objectives and Assessment Items

3.3.2 Types of Deficiencies

3.4 Performance Assessment Tools

3.4.1 Use of Metrics

3.4.2 Performance Assessment Report (PAR)

3.4.3 Performance Assessment Folder

3.4.4 Customer Feedback

3.4.5 Trending

3.5 Performance Assessment Phases

3.6 Performance Plan Maintenance

3.7 QAE Staff Assistance Visit (SAV)

3.8 Special Audits

4 PERFORMANCE MANAGEMENT

4.1 Purpose

4.2 Approach

4.3 Methods

4.4 Performance Management Tools

4.4.2 MFT Meetings

4.4.3 Market Research and Benchmarking

5 PERFORMANCE REPORTING

5.1 Contractor Performance Assessment Report (CPAR)

5.2 Certificate of Service (COS)

6 WIDE AREA WORKFLOW (WAWF) SERVICES ACCEPTANCE

7 DISPOSITION OF RECORDS

Attachments

A1 - Performance Assessment Report (PAR) A2 - Certificate of Service (COS) Performance Assessment Structure. The goal of this plan is 100% of the PWS chapters sampled and validated over a 12-18 months period depending on the contract, available QAEs and past performance.

PO 1 MAINTAIN IMPROVED GROUNDS

a. Mow

b. Edge

c. Trim

d. Irrigation Systems

e. Leaf Removal

f. Fertilization

g. Pest Control

h. Lawn Renovation

i. Prune Shrubs 1.1, inclusive

PO 2 Maintain Semi-Improved Grounds

a. Mow Non-Airfield semi-improved areas

b. Trim Non-Airfield semi-improved areas

c. Mow Airfield semi-improved areas

d. Trim Airfield semi-improved areas

e. Mow Taxiway, Runway Edge Lights and Signs 1.2, inclusive

PO 3

Maintain Un-Improved Grounds 1.3, inclusive

1. OVERVIEW

1.1 Objective

Provide all personnel, equipment, supervision, transportation, materials, supplies and other items and services necessary to perform grounds maintenance at Peterson Air Force Base,(PAFB) in a manner that will promote the growth of healthy grass, trees, shrubs, and plants and present a 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.

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), Quality Assurance Evaluator (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 contract issues that require particular MFT member’s participation.

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 performance metrics, 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) The term QAP includes the QAE(s), CQA, QAS and QAPC. The duties for each of these are listed separately in this section of this plan.

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 and provides a copy of the Phase II certification to the QAPC.

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 and chairs MFT meetings.

2.3.7 Recommends improvements to the PWS and this plan.

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

2.3.9 Assists as required with the evaluation of the contractor’s Quality Control Plans.

2.3.10 Supports the MFT in the development of contract requirements specifically ensuring that requirements are clearly stated and enforceable.

2.3.11 Provides Phase 2 training for QAP before they perform quality duties.

2.5 Chief of Quality Assurance (CQA)

2.5.1 Is the Chief of the Quality Assurance Branch. Manages the 21st Space Wing’s Performance Management Assessment Program including Performance Plan development, implementation, and performance assessment activities.

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

2.5.3 Selects and ensures implementation of quality auditing techniques and procedures for contract performance assessment evaluation teams. Ensures contractor performance is adequately documented.

2.5.4 Advises MFT and its customers of the appropriate methods and measures of performance assessment for contracted services.

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

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

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

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

2.6 Quality Assurance Program Coordinator (QAPC)

2.6.1 Provides Phase 1 training and maintains documentation for all QAP prior to performing performance assessment duties and as part of Phase 1 Training, documents the QAP acknowledgement of their requirement to:

2.6.1.1 Evaluate and document contractor performance IAW the performance plan.

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

2.6.1.3 Maintain surveillance documentation.

2.6.2 Conduct Staff Assistance Visits (SAV) for all QAP performing contract surveillance as required.

2.6.3 Provides training to FC/FD. FC/FD must receive training within 30 days of their commencement of duties.

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

2.6.5 Provides refresher training annually to ensure QAP are up to date with all required changes.

2.6.6 Provides the QAE and QAS with Assessing Official Representative (AOR) access to CPARs.

2.6.7 Provides the Program Manager or Contracting Officer with Assessing Official (AO) access to CPARS and the contract.

2.6.8 Provides the contractor with access to CPARS and the contract.

2.6.9 Provides the Reviewing Official (RO) access to CPARS.

2.6.10 Assesses narratives and ratings for CPARS if requested and provides help and advice to the CPARS representatives.

2.7 Functional Director (FD)

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

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

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

2.7.4 Prepares and submits a monthly Certificate of Service (COS) to the QAS containing performance data from QAP or any other sources to enable contractor payment and document reporting data.

2.7.5 Ensures functional experts are assigned to the MFT.

2.7.7 Issues PAR with Finding IAW this plan as needed and maintains a PAR with Finding control log. PAR with Finding issue authority may be delegated to QAPs.

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

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

2.8 Quality Assurance Evaluator (QAE)

2.8.1 Assesses, documents, and reports contractor’s performance IAW this plan. Notifies the MFT of significant performance deficiencies. Notifies the QAS of all performance deficiencies and allows the QAS to assist in writing Performance Assessment Reports (PAR) with Finding prior to issuance to the contractor.

2.8.1.1 Evaluates the contractor for 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 Uses monthly performance assessment documentation to formulate a monthly COS. Prepares the monthly COS IAW this plan.

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

2.10 Quality Assurance Specialist (QAS)

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

2.10.2 Plans and coordinates audit details, establishes a written audit schedule and provides the written schedule to the FD and MFT 30 days prior to the audit. Audits the contractor’s quality system IAW this plan and PWS requirements.

2.10.2.1 Ensures contractor quality system audit reports are IAW CQA approved format and contain sufficient detail to apprise the MFT of contractor performance IAW PWS requirements. Maintains an assessment folder IAW this plan and reports audit results to MFT when the audit report is final.

2.10.3 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.

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

2.10.5 Drafts, maintains, coordinates and controls review and revision of this plan with the MFT. Reviews this plan annually at minimum and makes changes to maintain its effectiveness. Recommends changes to the PWS as needed.

2.10.6 Performs SAVs for QAPs and provides written results to the FD, CO and CQA. Assists QAPs to resolve issues of possible impact to performance standards and advises QAPC of any needed QAP training requirements.

2.10.7 Prepares and briefs leadership of contract performance.

2.10.8 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. To detail and outline how assessment of contractor performance will be accomplished based on PWS requirements. The objective is to rely to the maximum extent on the Contractor’s Quality System to ensure requirements are met with sufficient periodic validation by QAPs. This plan identifies the strategy, methods and tools for effective assessment coverage, based on available resources and mission impact, the government will use to ensure that services are received IAW the PWS.

3.2 Strategy Assess the contractor in order to validate delivery of satisfactory services and gain confidence in the contractor’s ability to do so. Adjust the level of assessment as needed to maintain that confidence.

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 with reasonable care taken not to unduly delay the contractor's workflow. Assessment of POs or AIs must be conducted, documented and reported by QAP IAW this plan. Any other PWS requirements assessed must also be documented and reported IAW this plan.

Table 1 Performance Objectives Frequency:

Monthly Evaluator:

QAE

PO 1 Maintain Improved Grounds

a. Mow

b. Edge

c. Trim

d. Irrigation Systems

e. Leaf Removal

f. Fertilization

g. Pest Control

h. Lawn Renovation

i. Prune Shrubs

Threshold:

No more than 5 valid defects total per month.

Re-performance Within 8 normal duty hours of notification.

PWS Para 1.1 Inclusive

Assessment Method: QAE will monitor the base and ensure that work is being accomplished IAW PWS requirements. Work will be monitored to ensure that each base area is sampled periodically to ensure no areas are neglected. The QAE will notify the contractor when grounds are not maintained IAW PWS requirements and monitor the correction of the non-conforming work to ensure the re-performance fell within allowable timeframe. If re-performance did not fall within allowable timeframe, QAE will issue a PAR with finding for the re-performance issue. QAE will count each valid defect regardless of whether the work was re-performed and issue a PAR with Finding if the threshold is exceeded. Use PARs to document assessment results and file in assessment folder.

Frequency:

Monthly Evaluator:

QAE

PO 2 Maintain Semi-Improved Grounds

a. Mow Non-Airfield semi-improved areas

b. Trim Non-Airfield semi-improved areas

c. Mow Airfield semi-improved areas

d. Trim Airfield semi-improved areas

e. Mow Taxiway, Runway Edge Lights and Signs

No more than 5 valid defects total per month.

Re-performance within 8 normal duty hours of notification.

PWS Para 1.2, inclusive

Assessment Method QAE will monitor the base and ensure that work is being accomplished IAW PWS requirements. Work will be monitored to ensure that each base area is sampled periodically to ensure no areas are neglected. The QAE will notify the contractor when grounds are not maintained IAW PWS requirements and monitor the correction of the non-conforming work to ensure the re-performance fell within allowable timeframe. If re-performance did not fall within allowable timeframe, QAE will issue a PAR with finding for the re-performance issue. QAE will count each valid defect regardless of whether the work was re-performed and issue a PAR with Finding if the threshold is exceeded. Use PARs to document assessment results and file in assessment folder.

Frequency:

Monthly

Evaluator:

QAE

PO 3 Maintain Un-Improved Grounds

Threshold: No more than 5 defects per month PWS Re-performance Within 1 day of notification or a mutually acceptable timeframe to the CO or QAE and contractor.

PWS Para 1.3, inclusive

Assessment Method: QAE will monitor the base and ensure that work is being accomplished IAW PWS requirements. Work will be monitored to ensure that each base area is sampled periodically to ensure no areas are neglected. The QAE will notify the contractor when grounds are not maintained IAW PWS requirements and monitor the correction of the non-conforming work to ensure the re-performance fell within allowable timeframe. If re-performance did not fall within allowable timeframe, QAE will issue a PAR with finding for the re-performance issue. QAE will count each valid defect regardless of whether the work was re-performed and issue a PAR with Finding if the threshold is exceeded. Use PARs to document assessment results and file in assessment folder.

Frequency:

Monthly Evaluator:

QAE

PO 4 Maintain Vegetative Beds, Inert Beds and Related Areas

Threshold: No more than 3 valid defects total per month.

Re-performance within 4 normal duty hours of notification.

PWS Para 1.4

Assessment Method: QAE will monitor the base and ensure that work is being accomplished IAW PWS requirements. Work will be monitored to ensure that each base area is sampled periodically to ensure no areas are neglected. The QAE will notify the contractor when grounds are not maintained IAW PWS requirements and monitor the correction of the non-conforming work to ensure the re-performance fell within allowable timeframe. If re-performance did not fall within allowable timeframe, QAE will issue a PAR with finding for the re-performance issue. QAE will count each valid defect regardless of whether the work was re-performed and issue a PAR with Finding if the threshold is exceeded. Use PARs to document assessment results and file in assessment folder.

Frequency:

Monthly Evaluator:

QAE

PO 5 Debris, Trash and Litter Policing

Threshold: No more than 3 valid defects total per month.

Re-performance within 4 normal duty hours of notification.

PWS Para 1.1, inclusive

Assessment Method: QAE will monitor the base and ensure that work is being accomplished IAW PWS requirements. Work will be monitored to ensure that each base area is sampled periodically to ensure no areas are neglected. The QAE will review the contractors records to determine if non-conforming areas were recently serviced before validating that litter found was a result of contractor non-performance. The QAE will notify the contractor when grounds are not maintained IAW PWS requirements and monitor the correction of the non-conforming work to ensure the re-performance fell within allowable timeframe. If re-performance did not fall within allowable timeframe, QAE will issue a PAR with finding for the re-performance issue. QAE will count each valid defect regardless of whether the work was re-performed and issue a PAR with Finding if the threshold is exceeded. Use PARs to document assessment results and file in assessment folder.

Frequency:

Monthly Evaluator:

QAE

PO 6 Tree Pruning

Threshold: No more than 3 valid defects total per month.

Re-performance within 4 normal duty hours of notification.

PWS Para 1.7, inclusive

Assessment Method: QAE will monitor the base and ensure that work is being accomplished IAW PWS requirements. Work will be monitored to ensure that each base area is sampled periodically to ensure no areas are neglected. The QAE will notify the contractor when grounds are not maintained IAW PWS requirements and monitor the correction of the non-conforming work to ensure the re-performance fell within allowable timeframe. If re-performance did not fall within allowable timeframe, QAE will issue a PAR with finding for the re-performance issue. QAE will count each valid defect regardless of whether the work was re-performed and issue a PAR with Finding if the threshold is exceeded. Use PARs to document assessment results and file in assessment folder.

Table 2 Assessment Items Frequency:

Semiannually Evaluator:

QAS

PO 7 Quality Control Program

Performance Threshold:

a. Procedures developed to identify, prevent, and ensure non-recurrence of defective services are complete and have been implemented effectively enough that no more than three Major deficiencies or five Minor deficiencies, as defined on the PAR, were identified by the QAE in the past six months.

b. The cause of contractor and government identified deficiencies were isolated and eliminated effectively enough to ensure non-recurrence of these deficiencies.

c. The contractor’s inspection instructions, auditing, and testing encompass all aspects of the contract.

d. The QA records shall indicate the nature and number of observations made, the number and type of deficiencies found, and the nature of corrective action taken as appropriate.

Performance Threshold: No more than 3 valid defects total per audit. Periodic Validation

3.3.2 Types of Deficiencies

3.3.2.1 Contractor Identified Deficiencies (CID)

3.3.2.1.1 CIDs 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.

3.4 Performance Assessment Tools

3.4.1 Use of Metrics. Metrics will be used to track contractor progress in meeting PWS requirements. Metrics may be contractor or government generated. When contractor generated metrics are used, the QAP must validate the accuracy of those metrics to a degree that establishes confidence in the metrics reporting of the contractor.

3.4.2 Performance Assessment Report (PAR) QAP must document performance assessment results as assessment is accomplished including positive assessment results and customer feedback. The PAR must be used to record assessments of the POs and AIs contained in this plan and any additional PWS requirements that are not identified in this plan. PAR Section I may be 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 including full instructions for its use.

3.4.2.2 When a Finding is discovered by QAP, the contractor will immediately be informed and given opportunity for discussion prior to issuing a PAR with Finding. There are only two issuing authorities for PARs with Findings, the FD and QAS. The FD may delegate this responsibility to the QAE. If any other members of the MFT believe that deficiencies exist that should be documented on a PAR with Finding, those members will need to contact one of these issuing authorities for generating the PAR with Finding.

3.4.2.3 QAE staff must consult the QAS for assistance in generating PARs with Findings prior to issue. QAE staff must forward a copy of their issued PARs with Findings to the QAS and advise the QAS when contractor responses are received prior to accepting the responses as satisfactory.

3.4.2.4 QAEs will immediately 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 QAEs and the QAS. 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. QAEs will maintained one combined folder to avoid duplicate documentation and enable knowledge sharing. 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, be clearly marked as assessment folders and may contain other items the folder owner finds necessary:

Section 1: Contract Documents including PWS and associated contract modifications.

Section 2: Quality Documents including this Performance Plan and the Contractor’s Quality control 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. All QAEs sharing the assessment folder will include these items in the folder providing evidence of appointment, delegation and training.

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 items deemed necessary by the folder owner(s) such as access letters, publications, or other information needing to be readily available.

3.4.4 Customer Feedback Customer feedback will be used as a method of performance assessment. Customer feedback measures must be established to enable customers to provide positive as well as negative feedback. QAEs must take steps to ensure customers understand what service is being provided and how to provide feedback.

3.4.4.1 Negative Customer Feedback QAEs will validate negative customer feedback IAW with PWS requirements.

3.4.4.1 .1 For invalid negative feedback received, QAEs will inform the customer of the reason(s) why the negative feedback was determined to be invalid.

3.4.4.1.2 For valid negative comments received, QAEs will notify the contractor’s representative to allow opportunity for investigation. If warranted, the QAE should prepare a PAR with Finding. The QAE will inform the customer who provided the negative feedback of the status.

3.4.4.2 Positive Customer Feedback QAEs will include positive feedback in reporting as applicable such as the annual CPAR, COS, etc.

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

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

3.5.1 Phase 1: QAP Assessment Assessments are conducted and documented on PARs IAW this plan.

3.5.2 Phase 2: Contractor Self Assessment The contractor assesses their own performance IAW their contractor quality plan.

3.5.3 Phase 3: Quality System Audit The QAS performs audits of the contractor’s quality program IAW this plan. 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 and reviewed IAW the latest CQA report format and the auditpostaudit_PMDQ and AuditReportSAVOther_PMDQ processes. It is the responsibility of the FD to provide the final audit reports to their Group CCs or Deputies as applicable.

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

3.6 Performance Plan Maintenance QAPs should remain aware of this plan’s effectiveness and when the plan or parts of the plan are no longer useful or effective, it is their responsibility to recommend changes. This plan will also undergo a formal annual review 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 when appropriate.

3.7 QAE Staff Assistance Visit (SAV) QAE SAVs will be conducted 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 CQA. The QAS, CQA or the QAPC may conduct SAVs.

3.8 Special Audits Special Audits may be requested by the FD for suspected functional areas deficient with PWS requirements.

4 PERFORMANCE MANAGEMENT

4.1 Purpose To manage the acquisition ensuring contract requirements are met IAW the PWS and that continuous improvement is achieved whenever possible.

4.2 Approach Use of performance data or any other applicable indicators to continuously improve effectiveness of contract management.

4.3 Methods The MFT utilizes Performance Management and Assessment tools to ensure the acquisition meets contract requirements.

4.4 Performance Management Tools

4.4.1 MFT Meetings The MFT meets as needed to ensure effective management of the contract. Discussion is held and courses of action determined for any issues affecting the contract.

4.4.2 Market Research and Benchmarking Market research is a continuous effort performed throughout the acquisition/contract life cycle. This research keeps the MFT informed of current commercial technologies and industrial capabilities. Results should be considered for use in improved performance. Benchmarking should be used to achieve best practices by comparing cost, time or quality of the acquisition to other similar acquisitions.

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. It serves as the contractor’s annual performance report card and is used to provide past performance information for consideration in acquisition efforts.

5.2 Certificate of Service (COS) The FD and staff report results of performance assessments on a monthly basis via the COS. The COS is a performance tool included in Attachment 2 of this plan. All applicable performance data including other inspection agencies is included in the COS. The COS generation process is also provided in Attachment 2 of this plan outlining how and when the COS will be generated.

6 WIDE AREA WORKFLOW (WAWF) The web-based system used by the contractor to invoice for services payment and used by the government to accept receipt of services and pay the contractor.

7 DISPOSITION OF RECORDS Contract quality assurance assessment records will be maintained for the life of the contract. The CO may direct a transfer of these records to the contracting office or specify other disposition instructions at contract end. QAP should contact the CO for the final disposition instructions but at no time will any assessment records be disposed of by QAP.

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

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: Used to indicate that no deficiencies were discovered during assessment.

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 FD and the QAS. The 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 para 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

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.

5. QAE sends the final COS to the contractor.

Draft 20 Dec 10

QAS Wayne L. Higley

Wayne.higley@peterson.af.mil 554-2884