Grissom_ISWM_FY17_QASP_9_JAN_2017.doc

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

INTEGRATED SOLID WASTE MANAGMENT SERVICES

Grissom Air Reserve Base

January 2017

Section 1 - Purpose

This Quality Assurance Surveillance Plan (QASP) is a document used to determine if the Contractor’s performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process, including (A) what will be monitored, (B) how monitoring will be done and results documented, and (C) who will monitor. The Contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan.

The QASP provides a structure for Government surveillance of the Contractor’s performance to ensure that it meets contract standards. This QASP will be used by the Multifunctional Team (MFT), especially the Contracting Officer Representatives (CORs), to ensure Contractor compliance and progress at meeting mission objectives on the Integrated Solid Waste Management service contract.

Section 2 - Authority

The authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation (FAR), Inspection of Services clauses, which address inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is executed by the Contracting Officer (CO) or the COR, as delegated by the CO. This QASP adheres to Performance-Based Services Acquisition (PBSA) guidelines and Air Force FAR Mandatory Procedures MP5346.103, Contracting Officer Responsibilities, The Quality Assurance Program.

Section 3 - Objectives This QASP is designed to provide the Multifunctional Team (MFT) a vehicle to ensure delivery of Integrated Solid Waste Management services within cost and on schedule. The QASP also provides the CORs an effective systematic surveillance method for each item listed in the Performance Work Statement (PWS), specifically on the Service Summary (SS).

It is the Government’s responsibility to be objective, fair and consistent in their assessment of the Contractor’s performance. Communication and assessment actions stated in the QASP seek to ensure Grissom Air Reserve Base is provided with Integrated Solid Waste Management services that are acceptable and timely, and conducted in a manner that will achieve required objectives, cost savings and efficiencies.

Section 4 - Multifunctional Team (MFT) Members

a) Services Designated Official (SDO)

Larry H. Shaw/ Col

b) Functional Commander (FC)

David Hughes/GS13

c) COR Supervisor

Mark Waite/GS12

d) Primary COR

Tommy Patton/GS09

e) Alternate COR

John Somsel/GS09

f) Contracting Officer (CO)

Byron L Gilbert/GS11

g) Quality Assurance Program Coordinator (QAPC)

Cynthia Stephen/GS11

h) Contractor Program Manager/Project Manager

TBD

Section 5 - Roles and Responsibilities of the MFT The MFT is composed of stakeholders who are responsible for the acquisition throughout the life of the requirement. The roles of the team members are identified and described below.

A. Services Designated Official (SDO). The SDO is the individual authorized to exercise responsibility for management and oversight of the acquisition of all contract services within the SDO’s portfolio. Integrated Solid Waste Management is a services contract in the 434 ARW/CC portfolio. The SDO roles and responsibilities for this acquisition include:

1. Ensures services are being obtained at the most cost effective and efficient means and in accordance with Air Force policy.

2. Ensures an adequately planned and resourced management approach to monitor Contractor performance is available for quality assurance surveillance and tracking.

3. Reviews and signs the subject QASP to ensure the plan contains effective monitoring for successful Contractor performance.

4. Reviews an initial evaluation of Contractor performance by the MFT within thirty (30) days after the Contractor has assumed full performance responsibility in accordance with Section 9 below. The SDO may waive the initial evaluation under a successor contract award to the prior incumbent or when the Contractor has otherwise demonstrated full compliance with the contract start-up requirements.

5. Schedules the Midyear and Annual Portfolio Execution Reviews.

6. Conducts/hosts a Midyear Portfolio Execution Review to assess the progress of the contract against approved cost, schedule and performance metrics in accordance with Section 10 below.

7. Conducts/hosts an Annual Portfolio Execution Review to assess the progress of the contract against approved cost, schedule and performance metrics in accordance with Section 11 below.

8. Conducts an annual assessment of the health of the acquisition and management of services contracts in the 434 ARW/CC portfolio and review any risk mitigation actions, as appropriate in accordance with Section 11 below. (Combined with the Annual Portfolio Execution Review.

9. Notifies the CO of any actual or potential personal conflicts of interest.

B. Functional Commander. The FC is the Division Chief responsible for the requirement who serves as the senior technical member of the MFT. The roles and responsibilities of the FC for this acquisition include:

1. Provides adequate resources, as requested by the COR Supervisor, to ensure proper monitoring of Contractor’s performance.

2. Assists in the pre-award acquisition planning with other MFT members.

3. Assists in the pre-award Contractor selection process with other MFT members.

4. Attends MFT meetings periodically or at the request of the COR Supervisor – Government only and Contractor attended.

5. Receives COR management training from the QAPC on the contract requirements associated with the quality assurance program.

6. Reviews and coordinates on the initial evaluation of Contractor’s performance in accordance with Section 9 below or the request for SDO waiver.

7. Reviews and finalizes SDO’s Midyear and Annual Portfolio Execution Review briefing.

8. Presents the Midyear Portfolio Execution Review briefing to the SDO.

9. Presents the Annual Portfolio Execution Review briefing to the SDO.

10. Prepares the annual assessment of the health of the acquisition and management of the contract services for the SDO as part of the Annual Portfolio Execution Review.

11. Serves as the Assessing Official in Contractor’s annual performance assessment in accordance with the DoD Contractor Performance Assessment and Reporting System (CPARS) Policy Guide.

12. Notifies the CO of any actual or potential personal conflicts of interest.

13. Identifies and prevents unethical conduct and instances of fraud/waste/abuse.

C. Contracting Officer Representative (COR) Supervisor. The COR Supervisor is responsible for day-to-day management of the COR and serves as an integral member of the MFT. The roles and responsibilities of the COR Supervisor for this acquisition includes:

1. Nominates to the CO a primary and alternate COR with proper training, experience and other qualifications, as required by the DoD standards for certification of CORs in accordance with OUSD (AT&L) Memo, dated 29 Mar 2010.

2. Requests additional resources from the FC, if needed to ensure proper monitoring of Contractor performance.

3. Ensures CORs meet the COR certification standards before performing COR duties.

4. Receives COR management training from the QAPC on the contract requirements associated with the quality assurance program.

5. Assists in the pre-award acquisition planning with other MFT members.

6. Assists in the pre-award Contractor selection process with other MFT members.

7. Attends MFT meetings periodically or as requested by the COR – Government only and Contractor attended.

8. Reviews the COR surveillance file, on a regular basis, but no less than twice per quarter, to ensure Contractor performance is compatible with contract requirement and mission objectives.

9. Reviews the monthly COR Performance Assessment Report for completeness.

10. Reviews and coordinates on the initial evaluation of Contractor performance in accordance with Section 9 below or reviews and coordinates on the recommendation request for SDO waiver.

11. Prepares the SDO’s Midterm Portfolio Execution Review briefing using the CO and COR inputs.

12. Prepares the SDO’s Annual Portfolio Execution Review briefing using the CO and COR inputs. Transmits briefing to FC for review and finalizing for presentation.

13. Serves as the Assessing Official Representative in Contractor’s annual performance assessment in accordance with the DoD Contractor Performance Assessment and Reporting System (CPARS) Policy Guide.

14. Addresses the COR’s performance in annual personnel performance appraisals with input solicited from the CO.

15. Participates in the annual assessment of the health of the acquisition and management of services contracts as determined by the FC and/or SDO.

16. Acknowledges termination of COR appointment for cause or departure in writing to the CO. Nominates a successor COR to the CO. Ensures COR surveillance file is up-to-date and made available to the CO and a successor COR.

17. Notify the CO of any actual or potential personal conflicts of interest.

18. Identifies and prevents unethical conduct and instances of fraud/waste/abuse.

D. Contracting Officer Representative (COR). The COR serves as the continuous technical oversight of the Contractor’s performance. The COR conducts the surveillance process using the QASP. COR roles and responsibilities are non-delegable; only the CO can delegate. The roles and responsibilities of the COR for this acquisition include:

1. Completes COR training in accordance with DOD certification standards as stated in the COR Designation memorandum.

2. Assists in the pre-award acquisition planning with other MFT members.

3. Assists in the pre-award Contractor selection process with other MFT members.

4. Establishes and maintains a COR surveillance file with all required documentation.

5. Conducts inspections and assesses performance in accordance with Section 6 and 7 below.

6. Performs follow-up on customer complaints and reports on trends to the CO.

7. Maintains written detailed records of performance assessments via an Assessment Log, routine and monthly COR Performance Assessment Reports (PARs) and Corrective Action Reports (CARs), as part of the COR surveillance file.

8. Reviews and monitors contract expenditures and approves payments.

9. Reviews and monitors contract schedule compliance.

10. Inspects, accepts or rejects deliverables during contract performance and at close-out.

11. Monitors the control/disposition of Government furnished assets.

12. Attends all MFT meetings to discuss performance, cost and schedule.

13. Documents each occurrence of Contractor performance deficiencies and reviews with the CO.

14. Prepares routine and monthly COR Performance Assessment Reports (PARs) in accordance with Sections 7 and 8 and sends to the CO and COR Supervisor.

15. Recommends revisions of the PWS, QASP or any other contract terms and conditions to the CO with supporting documentation.

16. Remains abreast of changes to terms and conditions of the contract resulting from contract modifications.

17. Assists the CO with incorporating contract changes once approved by the MFT members.

18. Conducts and reports on the initial evaluation of Contractor performance in accordance with Section 9 below or prepares the recommendation request for SDO waiver. Obtain CO inputs as part of the evaluation and recommendation, if applicable.

19. Prepares COR inputs for preparation of the SDO’s Midyear Portfolio Execution Review briefing.

20. Prepares COR inputs for preparation of the SDO’s Annual Portfolio Execution Review briefing.

21. Prepares the rating and supporting documentation for the Contractor’s annual performance assessment in accordance with the DoD Contractor Performance Assessment and Reporting System (CPARS) Policy Guide. The COR is responsible for the technical, management and cost assessment of the Contractor’s performance as it relates to the non-contracting area of expertise. The COR documentation is provided to the Assessing Official’s Representative, also known as the COR’s Supervisor, for the overall assessment.

22. Participates in the annual assessment of the health of the acquisition and management of services contracts as determined by the FC and/or SDO.

23. Acknowledges termination of COR appointment for cause or departure in writing to the CO. Ensures COR surveillance file is up-to-date and made available to the CO, COR Supervisor and/or a successor COR.

24. Notify the CO of any actual or potential personal conflicts of interest.

25. Identifies and prevents unethical conduct and instances of fraud/waste/abuse.

E. Contracting Officer (CO). The CO is the only member of the MFT to make contractual commitments or authorize contract changes that impact quality, quantity, price or schedule. The CO’s roles and responsibilities for this acquisition include:

1. Ensures compliance with the contract terms and conditions.

2. Protects the Government’s best interest in the contractual relationship.

3. Ensures the Contractor receives impartial, fair and equitable treatment under the contract.

4. Assists in the pre-award acquisition planning with other MFT members.

5. Assists in the pre-award Contractor selection process with other MFT members.

6. Appoints the CORs, in writing, via Designation memorandum in accordance with MP5301.602-2(d).

7. Advises the MFT in development of the QASP.

8. Provides contract-specific training to CORs and any other MFT members, if needed.

9. Validates performance deficiencies identified by the COR.

10. Assists the COR with processing PARs and CARs in accordance with Sections 6 and 7 below. CO is the Issuing Authority for CARs.

11. Initiates and attends quarterly face-to-face meeting with the COR to discuss Contractor performance, cost and schedule. Documents the contract file with summary of discussion and open action items.

12. Attends all MFT meetings to discuss performance, cost and/or schedule.

13. Conducts annual review of COR surveillance files with the COR and QAPC.

14. Reviews the COR’s monthly Performance Assessment Report for completeness. If report is inadequate, the CO shall provide a written assessment and discuss with the COR.

15. Terminates COR appointment for cause or departure with acknowledgment of receipt from the COR, COR Supervisor and QAPC. Ensures a successor COR is nominated by the COR Supervisor.

16. Incorporates contract changes approved by the MFT members.

17. Prepares and provides input for the initial evaluation of Contractor’s performance in accordance with Section 9 below or prepares the CO input for the recommendation request for SDO waiver. CO inputs are provided to the COR for consolidation.

18. Prepares CO inputs for preparation of the SDO’s Midyear Portfolio Execution Review briefing.

19. Prepares CO inputs for preparation of the SDO’s Annual Portfolio Execution Review briefing.

20. Prepares the rating and supporting documentation for the Contractor’s annual performance assessment in accordance with the DoD Contractor Performance Assessment and Reporting System (CPARS) Policy Guide. The CO is responsible for the management and cost assessment of the Contractor’s performance as it relates to the contracting area of expertise. The CO documentation is provided to the Assessing Official’s Representative, also known as the COR’s Supervisor, for inclusion in the overall assessment.

21. Participates in the annual assessment of the health of the acquisition and management of services contracts as determined by the FC and/or SDO.

22. Provides an assessment on COR performance to the COR Supervisor for the annual appraisal and as otherwise requested.

23. Identifies and prevents unethical conduct and instances of fraud/waste/abuse.

F. Quality Assurance Program Coordinator (QAPC). The QAPC serves has the focal point for the quality assurance program for the organization assuring that all contracts incorporate appropriate quality controls, measures and surveillance; and the various MFTs have the knowledge and training needed to accomplish assigned tasks. A QAPC is required to successfully complete the QAPC course conducted by AETC prior to conducting any MFT training. The roles and responsibilities of the QAPC for this acquisition include:

1. Trains CORs and COR management (e.g. COR Supervisor, Functional Commanders) on the contracting requirements associated with the quality assurance program in accordance with MP5301.602-2(d) and any MAJCOM/DRU procedures.

2. Supports the MFT in the development of contract quality assurance requirements, e.g. performance objectives, thresholds and surveillance methods, specifically ensuring that requirements are clearly stated, enforceable and are consistent between the PWS and QASP.

3. Assists the CO in providing refresher training in accordance with MP5301.602-2(d) and OUSD (AT&L) Memorandum, March 29, 2010, DoD Standard for Certification of Contracting Officer’s Representatives (COR) for Service Acquisitions.

4. Assists the MFT during market research efforts in determining commercial quality assurance practices.

5. Assists with the evaluation of Contractor Quality Control Plans.

6. Maintains the organization’s COR management system database, e.g. DoD Contracting Officer Representative Tracking Tool.

G. Contractor. The Contractor is required to perform the contract services in accordance with the PWS and their Quality Control Plan. The QCP must include, at a minimum, the Services Summary elements of the PWS and QASP. The Contractor will:

1. Provide an acceptable Quality Control Plan

2. Submit reports/deliverables, as required, in the PWS

3. Attend MFT meetings, as requested

4. Respond to CARs generated by COR H. General Requirements. In addition to specific responsibilities of each MFT member, the general MFT responsibilities are:

1. Foster partnerships with the Contractor to ensure exchanges of information among the service industry and other business experts occur. Ensure the key stakeholders participate in developing, implementing, and executing the acquisition strategy.

2. Develop, implement, and manage milestones to ensure the acquisition supports mission requirements within the approved funding baseline.

3. Develop, implement, and execute performance measurement and management in accordance with the QASP.

4. Ensure the requiring office and Contractor understands any unique programs impacting an acquisition, e.g., safety, security, environmental, etc.

5. Recommend changes to this QASP.

Section 6 - Performance Requirements and Method of Surveillance The goal of the QASP is to ensure that Contractor’s performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the other members of the MFT, including the Contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of Contractor’s performance against contract requirements. The COR uses the methods contained in this QASP to ensure the Contractor is in compliance with the contract requirements. The COR is responsible for a wide range of surveillance requirements that effectively measure and evaluate the Contractor’s performance. Additionally, this QASP is based on the premise that the Contractor, not the Government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

Surveillance Matrix The following is a list of the Performance Elements in the contract’s Services Summary section. Each Performance Element includes a Government-determined Performance Objective, Performance Threshold and Method of Surveillance. The COR inspects and validates successful achievement of each Performance Element. Inspection of each element is documented in the COR surveillance file.

Performance Objectives define the desired outcomes. Performance Thresholds define the level of service required under the contract to successfully meet the Performance Objectives. The Surveillance Method is the inspection methodology that defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the Contractor’s performance as it relates to the Performance Thresholds. The Performance Elements in the matrix below form the foundation of the COR’s inspection checklist.

Performance Objective

PWS Para

Ref Performance Threshold

Surveillance

Method

Secondary: Customer Complaint

Secondary: Customer Complaint

Secondary: Customer Complaint

Secondary: Customer Complaint

Secondary: Customer Complaint

Section 7 - Plan and Process for Corrective Action.

All tasks listed in this contract shall be subject to review and remedy if deemed necessary by the MFT. The COR will document positive and negative findings during routine surveillance. If unsatisfactory performance by the Contractor is identified, the COR will initiate a routine Performance Assessment Report (PAR) to document the unsatisfactory performance. After two (2) unsatisfactory PARs have been initiated by the COR or after an initial PAR has been completed and the discrepancy is found to still exist, the COR will work with the CO to initiate a Corrective Action Report (CAR) to the Contractor in order that corrective action may be taken. The Contractor shall forward a Corrective Action Plan back to the CO, who will then verify with the COR that said action is acceptable to resolve the issue.

Routine Performance Assessment Reports (PAR) The PAR is used by the COR when performing routine surveillance, annotating both positive and negative findings, related to the Performance Objectives assigned. The COR Supervisor and CO will review and coordinate on PARs in block 7 and 8, respectively. The PAR shall be acknowledged by the Contractor representative in block 9 of the PAR for any instances of negative performance. PARs may also be used to annotate any out-of-cycle issue, either positive or negative, that requires documentation. As a minimum, a PAR must be recorded for each inspection performed. A monthly PAR summary is also required as discussed in paragraph 8 below. A template PAR is at Attachment 1 and should be marked “Routine.”

Corrective Action Reports (CAR) The CAR is used when a negative routine PAR issued exceeds the established Performance Threshold, i.e. unsatisfactory performance, or after an initial routine PAR has been completed and the discrepancy is found to still exist requiring formal action by the CO to issue a notice of unacceptable performance via a Corrective Action Report (CAR) to the Contractor. After the CO issues the CAR, the Contractor must respond in writing with a Corrective Action Plan for the unacceptable performance issue. The COR should review the Contractor’s response to determine whether the corrective action planned will be effective in resolving the unacceptable performance. Once the corrective action is taken, the COR will monitor the situation to determine whether the unacceptable performance is corrected or until performance is satisfactory. A template CAR and instructions are in Attachment 2.

Section 8 - COR Monthly Performance Assessment Report (PAR) The COR must prepare an assessment that summarizes the Contractor’s performance over the past monthly period. The report is sent to the COR Supervisor and CO, in turn, for review and coordination. The report addresses: (A) planned work to be accomplished during the period, (B) actual work completed, (C) quality and timeliness of deliverables, (D) areas of compliance and non-compliance to include accomplishments, areas for improvement, and (E) status of routine PARs and/or CARs. The PAR template at Attachment 1 is used and should be marked “Monthly.”

Section 9 - Initial Contractor Performance Review (ICPR) The authority for the ICPR is AFI 63-138, paragraph 6.4. The ICPR is the initial evaluation of the Contractor’s performance after thirty (30) days of full responsibility. The MFT makes a joint determination that the Contractor has successfully started performance, completed transition, is fully operational and is within the estimated cost, schedule and performance parameters of the contract. The format, e.g. briefing, written report or email, for the initial evaluation is at the discretion of the SDO; however, it must include an assessment of schedule, management, technical and cost performance. Negative variations in schedule, staffing, technical and or cost performance shall be reported with an assessment of root causes and Corrective Action Plan. Special interest items, such as significant contract modifications, may also be addressed. The assessment values are as stated in AFI 63-138, paragraph 6.4.3 as follows:

GREEN – No issues

YELLOW – Issue(s); Contractor has adequate mitigation or corrective action plan in place.

RED –Issue(s); inadequate or no Contractor mitigation or corrective action plan; include Government’s proposed actions for the failing Contractor.

Section 10 - Midyear Portfolio Execution Review (MPER) The MPER is required as part of the AFRC Quality Assurance Program managed by HQ AFRC/A7K. The MPER is a semi-annual execution review to assess the progress of the acquisition against approved cost, schedule and performance metrics (objectives). The focus of the MPER is assessing the fulfillment of requirements by comparison of outputs and outcomes to requirements by using the preapproved performance metrics (objectives). The SDO will schedule a MPER briefing for all services contracts in the SDO’s portfolio allowing for adequate time between the Midyear and Annual Portfolio Execution Reviews.

Section 11 - Annual Portfolio Execution Review (APER) The authority for the APER is AFI 63-138, paragraph 5.2. The APER contains three main areas: (A) assess the progress of the acquisition against approved cost, schedule and performance metrics as addressed in the MPER; however, the focus of the APER is to identify changes, positive and negative for each performance metric (objective) .since the last MPER; (B) present a summary of evaluations from the Contract Performance Assessment and Reporting System (CPAR) for all contracts in the SDO’s portfolio, if applicable; and (C) an executive summary of the overall health of the SDO’s portfolio of services contracts and any risk mitigation actions taken. The SDO will schedule an APER briefing for all services contracts in the SDO’s portfolio allowing for adequate time since the MPER.

Section 12 - Annual Contract Performance Assessment and Report (CPAR)

The annual CPAR assesses a Contractor’s performance, both positive and negative, and provides a record on a given contract during a specific period of time. Each assessment must be based on objective data (or measurable subjective data supportable by the requirement and contract management data. The assessment uses a paperless automated information system which provides for a centralized repository of Contractors’ performance data information. The overall responsibility for timely completion rests with the Assessing Official who is the Functional Commander for the requirement. Other members of the MFT participate in providing narrative assessments in the specific areas based on the business sector as determined in DoD CPAR Policy Guide.

The current requirement falls within the business sector, Non-Systems, Services, Installation Services based on definitions in CPAR Guide at http://www.cpars.gov. The areas for evaluation of the Installation Services are as follows: Quality, Schedule, Business Relations, Utilization of Small Businesses, and Management of Key Personnel.

Table 1

Performance

Rating Definition

Exceptional

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

Very Good

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

Satisfactory

Performance meets contractual requirements. The contractual performance of the element or sub-element being evaluated contains some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

Marginal

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

Unsatisfactory

Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element being evaluated contains serious problem(s) for which the Contractor’s corrective actions appear or were ineffective.

Table 2 - Utilization of Small Business

Performance

Rating Definition

Exceptional

Exceeded all statutory goals or goals negotiated. Had exceptional success with initiatives to assist, promote, and utilize small business (SB), small disadvantaged business (SDB), women-owned small business (WOSB), HUBZone small business, veteran-owned small business (VOSB) and service disabled veteran owned small business (SDVOSB). Complied with FAR 52.219-8, Utilization of Small Business Concerns. Exceeded any other small business participation requirements incorporated into the contract/order, including the use of small businesses in mission critical aspects of the program. Went above and beyond the required elements of the subcontracting plan and other small business requirements of the contract/order. Completed and submitted Individual Subcontract reports and/or Summary Subcontract Reports in an accurate and timely manner.

Very Good

Met all of the statutory goals or goals negotiated. Had significant success with initiatives to assist, promote, and utilize small business (SB), small disadvantaged business (SDB), women-owned small business (WOSB), HUBZone small business, veteran-owned small business (VOSB) and service disabled veteran owned small business (SDVOSB). Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met or exceeded any other small business participation requirements incorporated into the contract/order, including the use of small businesses in mission critical aspects of the program. Endeavored to go above and beyond the required elements of the subcontracting plan and other small business requirements of the contract/order. Completed and submitted Individual Subcontract reports and/or Summary Subcontract Reports in an accurate and timely manner.

Satisfactory

Demonstrated a good faith effort to meet all of the negotiated subcontracting goals in the various socio-economic categories for the current period. Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met any other small business participation requirements incorporated into the contract/order. Fulfilled the requirements of the subcontracting plan included in the contract/order. Completed and submitted Individual Subcontract reports and/or Summary Subcontract Reports in an accurate and timely manner.

Marginal

Deficient in meeting key subcontracting plan elements. Deficient in complying with FAR 52.219-8, Utilization of Small Business Concerns, and any other small business participation requirements in the contract/order. Did not submit Individual Subcontract reports and/or Summary Subcontract Reports in an accurate and timely manner. Failed to satisfy one or more requirements of a corrective action plan currently in place; however, does show an interest in bringing performance to a satisfactory level and has demonstrated a commitment to apply necessary resources to do so. Required a corrective action plan.

Unsatisfactory

Noncompliant with FAR 52.219-8 and 52.219-9, and any other small business participation requirements in the contract/order. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or timely manner. Showed little interest in bringing performance to a satisfactory level or is generally uncooperative. Required a corrective action plan.

Section 13 - Method of Acceptance of Services The COR will accept/reject services in accordance with FAR 52.246-4, Inspection of Services – Fixed Price via Invoicing, Receipt, Acceptance, and Property Transfer (IRAPT – formerly known as WAWF). Appropriate Government surveillance during performance provides reasonable assurance that efficient methods and effective cost controls are in place.

Section 14 - MFT Signatures By signing below, I hereby agree to be appointed to the Multi-Functional Team for this requirement and concur with the contents of this Quality Assurance Surveillance Plan.

Functional Commander, David Hughes, 434 MSG/CE

Date

COR Supervisor, Mark Waite, 434 MSG/CEC

COR (Primary), Tommy Patton, 434 MSG/CEC

COR (Alternate), John Somsel, 434 MSG/CEC

Quality Assurance Program Coordinator, Cynthia Stephen, 434 MSG/LGC

Contracting Officer, Byron Gilbert, 434 MSG/LGC

Contractor Program Manager/Project Manager

Pursuant to AFI 63-138, paragraph 2.7.7, I have reviewed the Quality Assurance Surveillance Plan determine that it contains provisions to effectively monitor contract performance.

Services Designated Official, LARRY H. SHAW, Colonel, 434 ARW/CC

ATTACHMENT 1

CONTRACTING OFFICER REPRESENTATIVE (COR)

PERFORMANCE ASSESSMENT REPORT (PAR)

MONTHLY or ROUTINE

AIR FORCE RESERVE COMMAND [Insert Organizational Symbol]

1. DATE OF REPORT

REPORTING PERIOD COVERED (dates)

3. CONTRACT NAME/PROGRAM TITLE

4. CONTRACT NO.

CONTRACTOR NAME

6. SUMMARY OF COR SURVEILLANCE RESULTS (See COR Observations below for details)

[Required for monthly PAR only. COR addresses the planned work to be accomplished during the period, actual work completed, quality and timeliness of deliverables, areas of compliance and non-compliance to include accomplishments, areas for improvement and status of PARs or CARs. Add continuation sheet, if needed.]

7. COR SIGNATURE

8. COR SUPERVISOR REVIEW/COORDINATION

9. CO REVIEW/COORDINATION

10. CONTRACTOR'S ACKNOWLEDGEMENT (Required for negative COR observations only)

(Add Continuation Sheet, if needed)

Performance Assessment Report (PAR) Template, HQ AFRC revised Jul 2012 Performance Assessment Report (PAR) Instructions

Header Line 2. COR selects Routine or Monthly PAR by deleting the one that does not apply.

Header Line 3. COR inserts organization office symbol of requirement owner.

Block 1. Contracting Officer Representative (COR) personnel completes with date report is written.

Block 2. COR enters monthly period or if routine, date of occurrence requiring PAR.

Block 3. COR enters contractor name and title of program.

Block 4. COR enters contract number and task order number, as applicable.

Block 5. COR enters name of prime contractor.

Block 6. COR completes this block for monthly PAR only. Follow instructions in the template for completion.

Block 7. COR signature.

Block 8. Supervisor signature.

Block 9. CO signature.

Block 10. CO sends to Contractor for acknowledgement of negative PARs.

Performance Objective Table. COR enters a detailed performance assessment for each Performance Objective for routine and monthly PAR.

ATTACHMENT 2

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use a continuation sheet and identify by contract number/control number)

1. CONTRACTOR NAME

2. CONTRACT NUMBER/TASK ORDER

3. CONTRACT NAME/PROGRAM TITLE

4. COR’s FUNCTIONAL AREA/OFFICE SYMBOL

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY FORMCHECKBOX

MAJOR FORMCHECKBOX

MINOR

FINDING:

FINDING IMPACT:

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

8. CONTRACTING OFFICER REPRESENTATIVE PERSONNEL (COR)

TYPED/PRINTED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY (Contracting Officer)

TYPED/PRINTED NAME AND GRADE

SIGNATURE AND DATE

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

11. COR DETERMINATION

FORMCHECKBOX

ACCEPTED FORMCHECKBOX

REJECTED

12. CO CONCURRENCE/SIGNATURE AND DATE

Corrective Action Report (CAR) Instructions

Block 1. COR Enter Contractor Name.

Block 2. COR Enter Contract Number and Task Order, if applicable.

Block 3. COR Enter Contract Name or Program Title.

Block 4. COR Enter Functional Area of the Contract including organizational symbol.

Block 5. COR enter the assigned suspense date given the Contractor to provide a response to the CAR. A date must be entered for a Major CAR. A date is optional at the discretion of the Contracting Officer Representative (COR) initiating the CAR if the finding is Minor.

Block 6. All CARs are tracked with a Control Number. The Contracting Officer is the Issuing Authority for his/her COR-generated CARs. By providing the Control Number to the COR originating the CAR, the Issuing Authority (Contracting Officer) demonstrates concurrence with the finding. The Control Number will be made up of the first two letters of the title of the program, 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., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding.

Minor finding: A departure from established standards having minimal impact to service provided; however, if the same minor finding is repeatedly identified, it may be an indication of a systemic Contractor quality issue that requires elevation to a Major finding to resolve.

Major finding: A condition that has a significant adverse effect on the quality of the requirement under review that includes such items as:

· Failure to meet a Performance Threshold

· Significant mission degradation in any Contractor operated function

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

· Failure to provide corrective action to prevent reoccurrence of Government identified findings

· Failure to adhere to safety, security or environmental instructions/directives that results in or could result in safety, security, or environmental violations/incidents

· Situation that is likely to result in hazardous or unsafe conditions in the work environment

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

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

4. When determining how long to give the Contractor to respond to the identified finding, the normal length is ten (10) business days. The suspense date should reflect this unless the finding requires a greater amount of time to come to resolution. Major findings require a Contractor response. Minor findings may require a Contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority (Contracting Officer).

Blocks 8 and 9. COR initiating a CAR must sign in Block 8 and the Issuing Authority (Contracting Officer) signs in Block 9. Each annotates the date at the time of signature.

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

Block 11. The COR selects ‘Accept’ or ‘Reject’ after reviewing the Contractor’s response. The COR forwards to the CO for concurrence.

Block 12 and 13. The Issuing Authority (Contracting Officer) reviews and acknowledges concurrence with the COR’s determination and enters a close date.

Block 14. The Issuing Authority (Contracting Officer) will insert the date the closed CAR is forwarded to the Contractor and the COR. The COR will report accordingly in the COR’s Monthly Performance Assessment Report. This routing remains the same if the Contractor response is unacceptable and the CAR remains open until an acceptable response is received, except that the Issuing Authority (Contracting Officer) forwards the open CAR back to the Contractor for additional information.

Continuation Sheet. Use a Continuation Sheet if any information will not fit in the applicable numbered block. Annotate the Block reference for each entry on the Continuation Sheet.