QASP_signed.pdf

WALKER.KENNETH

.GENE.1131242944

Digitally signed by

WALKER.KENNETH.GENE.1131242944

DN: c=US, o=U.S. Government, ou=DoD, ou=PKI, ou=USAF, cn=WALKER.KENNETH.GENE.1131242944 Date: 2016.06.15 14:44:03 -05'00'

1514194986A Typewritten Text

1514194986A Typewritten Text 2nd Lt. Reuben Rodriguez

1514194986A Typewritten Text

Quality Assurance Surveillance Plan

TABLE OF CONTENTS

Section Page

1.0 SCOPE 3

1.1 Purpose 3

1.2 Application 3

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL 3

2.1 Contract Management Locations 3

2.2 Contract Management Team 4

2.3 Contractor Key Personnel 4

3.0 CONTRACT SURVEILLANCE 4

3.1 Surveillance Methods 5

3.2 Surveillance Documents 5

3.3 Assessing Performance 8

4.0 WIDE AREA WORK FLOW (WAWF) 12

4.1 Validating Receiving Reports 12

4.2 Certifying Receiving Reports 12

4.3 Rejecting Receiving Reports 12

5.0 CONTRACTING OFFICER REPRESENTATIVE (COR) FOLDER 13

TABLES

1 Deliverables 7 2 Services Summary 8 3 Non-conformance Notifications 10 4 Quarterly Performance Assessment Report Evaluation Categories 11 5 Performance Rating Definitions 12 6 COR Folder Tabs and Contents 14

ATTACHMENTS

1 First or Second Notice Template 15 2 Corrective Action Request (CAR) Template 16 3 Surveillance Checklist 17 4 Quarterly Performance Assessment Report (PAR) Template 18

1.0 SCOPE. The Quality Assurance Surveillance Plan (QASP) is applicable to personnel performing contract surveillance audits in accordance with (IAW) Federal Acquisition Regulation (FAR) Part 46, Quality Assurance; Department of Defense FAR Supplement (DFARS) Subpart and PGI 201.602-2 , Contracting Officer Responsibilities; Air Force FAR Supplement (AFFARS) Mandatory Procedures (MP) 5346-103, Contracting Office Responsibilities, The Quality Assurance Program; Air Force Instruction (AFI) 63-501, Air Force Acquisition Quality Program; and organizational policy. It is designed to provide the Contracting Officer Representative (COR) a systematic surveillance method for each service identified in the Performance Work Statement (PWS) for each contract. The owning Functional Director (FD) and COR develop the methods for administering and evaluating contract performance. The Quality Assurance Program Coordinator (QAPC) and Program Manager (PM) or Contracting Manager (CM), will review these methods, which are then accepted or rejected by the Contracting Officer (CO).

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

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

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL.

2.1 7th Contracting Squadron . The address for Contracting Management is:

381 Third St., Bldg 7238 Dyess AFB, TX 79607

2.2 Contracting Management Team.

2.2.1 Contracting Officer (CO). CO duties are detailed in FAR subpart 1.602-2. The CO is the only Government agent authorized to award or modify contracts; therefore, the CO is the only person authorized to contractually obligate the Government. The CO is also the individual who will sign any notifications to Contractors regarding performance issues and accepts Government surveillance methods utilized for each TO. The CO approves/appoints all CORs assigned by the Functional Director/Functional Commander. The CO can be reached at DSN: 696-2289 or Commercial 325-696-2289

2.2.2 Contract Manager (CM) The CM is the Government agent within the contracting office who performs day-to-day administration of the contract. The CM/CA may also be the CO if the person has a warrant. The CM can be reached at 696-2308 or Commercial 325-696-2308.

2.2.3 Quality Assurance Program Coordinator (QAPC). The QAPC assists the CO and QAM in managing the overall QA program and supports customers in developing and adhering to TO-specific QASPs. The QAPC can be reached at DSN: 696-4428 or Commercial 325-696-4428

2.2.4 Functional Director (FD)/Functional Commander (FC). The FC/FD Identifies mission essential services, reviews contract performance documentation, by the COR, on a regular basis to ensure performance is compatible with contract mission objectives and nominates COR(s) for contract oversight. The FC/FD receives contract specific training by the QAPC.

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

2.3 Contractor Key Personnel.

Company Name Office Address Commercial Number

7 CPTS/CC 7 Lancer Loop Dyess AFB, TX 79607 325-696-3150

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

3. CONTRACT SURVEILLANCE. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate Contractor performance. The Contractor, not the Government, is responsible for task order management and Quality Control (QC) actions to meet the terms of the contract. However, because of the non-commercial nature of the work performed by Contractors, the Government cannot rely solely on the Contractor’s quality program but must have a method to oversee the entire contracting process. The Government does this through the QASP and can inspect or test all services called for by the contract, to the extent practicable, at all times and places, during the term of the contract. The COR contribution is comprised of professional, non-adversarial relationships, which include positive and open communications with the CO, QAPC, and the Contractor. The foundation of this relationship is built upon regular, objective, fair, and consistent COR evaluations of Contractor performance against contract requirements, and the ability to discuss inspection results, trends, and items of mutual interest with the Contractor. The COR uses the methods in this QASP and the PWS to achieve this goal.

3.1 Surveillance Methods. Three primary methods of surveillance are normally used: one hundred percent inspection, periodic audits and customer complaints. Other methods of surveillance must be fully documented and approved by the CO and QAPC before implementation. Information obtained from these activities may be used by the FD/FC to ascertain whether or not Contractor performance is compatible with contract and mission objectives and by the CO for actions relating to the Contractor.

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

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

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

3.2 Surveillance Documents.

3.2.1 Deliverables. All deliverables will be reviewed for timeliness, accuracy and format. If a deliverable due date falls on a weekend or holiday, the Contractor shall submit the deliverable on the last work day prior to the due date.

TABLE 1 – DELIVERABLES

Deliverables Reference Owner Due Date; Frequency Trouble Call Summary

1.2.3.4.

1.2.4.4.

NLT 10th of the Month;

Monthly (unless otherwise requested)

Establish Continuity of Operations Plan and provide collaboration tools

1.2.4.6.

1.2.4.7.

1 July; Quarterly

Monthly Progress Reports 1.2.3.

1.2.4.

NLT 10th of the Month;

Monthly

Supplies Inventory Usage and Requests

1.2.3.6.

1.2.3.8.

Semi-Annually

Hardware and Software Inventory and Status Reports

1.2.3.3.

1.2.3.7.

1 July; Annually

3.2.2 Services Summary. The Services Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the COR will use to validate/inspect these tasks. Inspection of each task will be documented in the COR folder. Since the scope of the contract does not allow for the COR to observe performance, each of the Key Personnel listed in paragraph 2.3 will complete a monthly checklist and provide to the COR NLT the 10th of each month for the previous months performance observations.

TABLE 2 – SERVICES SUMMARY

Performance Objective

PWS

Paragraph Performance Threshold Method of Surveillance

Set up and/or relocate hardware (e.g., workstations, printers) as required

1.2.3 Respond to requests promptly. Daily review of complicated jobs to include time of completion estimate. (95% of the time)

Daily observation

Receive and respond to user trouble calls relating to hardware, software, and connectivity

1.2.3.4 1.2.3.5

Answer all telephone calls and correct the problem as soon as possible. A fast response and customer satisfaction are priority 1. (99% of the time)

Daily observation

Contractor personnel shall maintain the Comptroller Squadron Air Force Portal pages, various Community of Practice pages and SharePoint pages as required

1.2.3.9 Review customer knowledge management page input to

ensure information is up to date. Schedule updates and log estimated time of completion during weekly review of page content and customer requests for change/update requests.

(95% of the time)

Weekly review

Analyze processing malfunctions in cooperation with government personnel to determine causes and take appropriate corrective action

1.2.4.2 1.2.4.3 1.2.4.4

Same day response to malfunctions – Log problem and estimate time of completion by end of day (99% of the time)

Daily observation

Contractor personnel shall develop and maintain Continuity Procedures for Financial applications

1.2.4.6 Review Continuity folder to ensure information is up to date and reflects current environment. (99% of the time)

Quarterly review

Manage the operability of conference room projection equipment and VTC systems

1.2.5 Daily operational checks on the projector/VTC system.

Ensure any problems are reported and logged daily. (95% of the time)

Daily observation

Submission of deliverables, logs, reports, and forms

1.2.3.3 1.6

On-time delivery of specific deliverable on due date. (95% of the time)

Daily observation

3.2.3 Surveillance Checklist (Attachment 3). The COR is responsible for developing standard procedures for Surveillance Checklists and may request QAPC assistance; the Surveillance Checklist serves as the guideline for all inspections.

As a minimum, the Surveillance Checklist will include the items in the Services Summary and Deliverables Tables. The COR may also add other inspection activities/surveillance items to the Surveillance Checklist, with applicable PWS references, and obtain permission from the QAPC. These items may fluctuate throughout the course of the contract based on customer needs, identified risks, or issues related to Contractor performance. The COR will document all inspections conducted using the Surveillance Checklist and maintain them in the COR folder.

3.3 Assessing Performance. CORs must document Contractor performance on each contract, as well as the scope and purpose of any inspections. Documentation will be maintained in the COR’s monthly log. CORs will also assess and rate Contractor performance as it relates to contract requirements. Performance Assessment may take the form of notes in the monthly log, assessment results from the Surveillance Checklist, non-conformance notifications, quarterly Performance Assessment Reports (PAR) and annual Contract Performance Assessment Reports (CPAR). Each builds on the other and provides a thorough documented history of Contractor performance.

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

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

3.3.3 Non-conformances and Deficiencies. Audit or Inspection results that fall below contractual standards shall be identified as non-conformances or deficiencies.

The COR will notify the contactor IAW para 3.3.3.2 and document all non-conformances in the monthly log, referencing the specific PWS/TO requirement that the Contractor did not meet, document the name of the individual contacted, and date and time of notification. If the Contractor fails to take corrective actions in a reasonable time-frame, the COR will notify the CM/CO and QAPC for further actions.

3.3.3.1 Types of Non-conformance.

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

3.3.3.1.2 Major Non-conformance: A major non-conformance is a non-conformance that adversely impacts mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost.

A major non-conformance also increases risk to the Government. An example of increasing risk would be significant number of recurring non-conformances, which indicates inadequate preventive measures or actions, thus lowering the Government’s confidence that quality services will be provided on time and at cost.

3.3.3.2 Non-conformance Notification. If a deficiency is found during inspection of the Contractor’s performance, the COR will determine the type of notification based on the category of the non-conformance (see Table 3) and pursue non-conformance resolution per paragraph 3.4.

3.3.3.2.1 First or Second Notices (see Attachment 1). As shown in Table 3, First and Second Notices provide written notification from the Government to the Contractor of minor non-conformances. Initial minor non-conformances should be addressed with a First Notice to the applicable Contractor representative. The COR will notify both the CM/CO and the QAPC of the issue, and prepare the notice for CO signature. The COR will provide a final, signed copy to the CM/CO and QAPC. The CO will issue First and Second notices to the contractor with a suspense date for the contractors reply. If the Contractor fails to respond by the specified due date, the COR will notify the CO/QAPC for action and annotate the Contractor’s non-responsiveness in the quarterly PAR. If the Contractor fails to resolve the issue as documented in the Notice, the COR should elevate the issue to the next level (Second Notice or CAR). Corrective/preventive actions initiated and/or completed by the Contractor will be verified by CORs on the scheduled inspection and documented accordingly.

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS.

Non-conformance Category Notification Type Minor

Step 1: First Notice Step 2: Second Notice

Major Corrective Action Request (CAR)

3.3.3.2.2 Corrective Action Requests (CAR) (see Attachment 2). As shown in Table 3, a CAR provides written notification from the Government to the Contractor of significant performance discrepancies. The Primary COR will recommend to the CM/CO and QAPC that a CAR be issued when previous notifications failed to result in corrective actions or when severe deficiencies exist. If a CAR is deemed necessary, the QAPC will assist the primary COR in filling out the CAR. The draft CAR will be routed NLT ten duty days after the event to the CO for review and signature, as the CO is the only person who has authority to issue a CAR to the Contractor.

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

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

3.3.3.2.3 The COR will maintain a non-conformance log documenting all First and Second Notices and CARs. The log will include the date sent to the Contractor, issue, due date for response and actual response date.

If a detailed response is required, include a link to the response and include the response in the applicable COR folder tab.

3.3.4 Monthly Services Summary Reporting – CORs will perform services summary inspections (table 2) and update in CMS monthly.

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

3.3.5.1 First Name, Last Name and email address.

3.3.5.2 User Role: Contracting Officer Representative

3.3.5.3 Justification: Primary COR on (Contract Number)

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

3.3.6 Monthly COR Report

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

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

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

3.3.6.4 The monthly report will display questions for the previous month (ex.

answering questions in the month of March will display a monthly report for February)

3.3.6.4.1 Click on Answer Questions

3.3.6.4.2 Click on meets, above, below standards or N/A (see Table 1) and provide justification for each answer.

3.3.6.4.3 After completing the Monthly Performance Report, click submit.

3.3.6.5 CMS will only allow one submitted report per month.

TABLE 4 – MONTHLY PERFORMANCE RATING DEFINITIONS

Rating Definition

Exceeds Standards

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

Meets Standards

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

Below Standards

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

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

N/A Contractor was not contractually required to perform specific task or Specific question is not applicable for evaluated period.

3.3.7 Quarterly Performance Assessment Report (PAR). The COR will complete the quarterly PAR within CMS, documenting Contractor performance for the preceding quarterly performance period (Jan – Mar, Apr. – Jun, Jul – Sep, and

Oct. – Dec); CMS will generate quarterly emails to the primary COR(s) designated on the contract. Quarterly PARs will be completed by the COR NLT the 15th Calendar day of each quarter (15 Apr, 15 Jul, 15 Oct, and 15 Jan).

3.3.7.1 Quarterly PAR Evaluation Categories. The quarterly PAR will also provide a brief summary of Contractor performance covering, as applicable, the categories in Table 3 below.

3.3.7.2 Performance Rating Definitions. The Primary COR rates each of the quarterly

PAR categories based on the Contractor’s actual performance during the reporting period (see Table 3 below). These ratings can serve as a basis for CPARs. Ratings will not be arbitrary or reflect an emotional assessment of the Contractor’s performance. Any ratings other than ‘Meets Standards’ must be appropriately justified. For instance, if the COR rates the Contractor’s performance as ‘Exceeds Standards,’ the COR must demonstrate which PWS or SOW requirements were exceeded and how the contractor’s actions benefitted the Government.

TABLE 6 – QUARTERLY PAR RATING DEFINITIONS

Rating Definition

Exceeds Standards

Contractor performance meets contractual requirements and exceeds some/many to the Government’s benefit. A Contractor may still receive this rating if there were few minor performance problems for which corrective actions taken by the Contractor were effective. Note: To justify this rating, identify significant events and state the benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an ‘Exceeds Standards’ rating. Also, there should be NO significant weaknesses identified in the category evaluated.

Meets Standards

Performance meets contractual requirements. There may be some minor performance problems for which corrective actions taken by the Contractor appear or were satisfactory.

Note: To justify this rating, there should have been only minor problems, or major

TABLE 5 – PERFORMANCE ASSESSMENT REPORT (PAR) EVALUATION CATEGORIES

Category Criteria

Quality of Product or Services

Assess the Contractor’s conformance to contract requirements, specifications, and standards of good workmanship (e.g., commonly accepted technical, professional, or safety and health standards)

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

Cost Control Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost. This is N/A for Firm Fixed Price (FFP) Labor TOs.

Business Relations

Assess the Contractor’s ability to integrate and coordinate all activities needed to execute the contract; specifically the timeliness, completeness and quality of problem identification, corrective actions, the Contractor’s history of reasonable and cooperative behavior, customer satisfaction.

Management of Key Personnel

Assess the Contractor’s performance in selecting, retaining, supporting, and when necessary, replacing key personnel.

problems from which the Contractor recovered without impact to the contract. Also there should be NO significant weaknesses identified.

Below Standards

Performance does NOT meet some contractual requirements. Contractor performance reflects a serious problem(s) for which the Contractor has not yet identified corrective actions or corrective actions have not been successful. Any proposed actions appear only marginally effective, were not fully implemented, or were ineffective. Note: To justify this standard, identify an event(s) that the Contractor had trouble overcoming and state how it impacted the Government. This rating should be supported by referencing any non-conformance notification sent to the Contractor.

N/A Used under Cost Control for FFP contracts

3.3.8 Annual Contract Performance Assessment Reporting System (CPARS) – The Contractor Performance Assessment Reporting System (CPARS) http://www.cpars.csd.disa.mil/cparsmain.htm ) is the Department of Defense (DoD) Enterprise Solution for collection of Contractor Past Performance Information (PPI) as required by the Federal Acquisition Regulation (FAR). CPARS is a web-enabled application that collects and manages a library of automated Contractor report cards. An annual CPAR will be written on all CAAS IV IDIQ contracts and all CAAS IV task orders that exceed $1M total contract value. The Program Manager on the IDIQ contracts will be designated as the Assessing Official Representative in CPARS; the written assessment in CPARS will begin annually from the start date of the contract and forwarded to the Contract Manager within 60 days of the contract start date anniversary. The COR will provide the CAAS IV PM objective evidence from previous quarterly PARS, monthly Services Summary, inspection logs, 1st/2nd notices, CARS, and correspondence letters for CPARs assessment. A CPARS quality checklist is available at the following link.

http://www.cpars.csd.disa.mil/cparsfiles/pdfs/CPARSQualityChecklist.pdf.

4 WIDE AREA WORK FLOW (WAWF). The COR will accept or reject all Receiving Reports submitted by the Contactor in WAWF within 7 days of submittal by the Contractor.

To access the receiving report, log into WAWF, select the Government, Acceptor, Acceptance Folder tab; then type in the contract and delivery order (task order) number. The Shipment Number column in WAWF is the Receiving Report number

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

• The Contractor submitted a combination invoice/receiving report

• The report reflects the correct contract and TO number

• Beginning and ending dates being billed are stated and accurate

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

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

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

• Invoiced travel was pre-approved

• Back-up documentation is attached that includes a Contractor invoice with current and cumulative hours (for FFP LOE contracts) and amounts, as applicable http://www.cpars.csd.disa.mil/cparsmain.htm http://www.cpars.csd.disa.mil/cparsfiles/pdfs/CPARSQualityChecklist.pdf

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

4.2 Certifying and Accepting Receiving Reports.

4.2.1 Certification of services is ALWAYS performed by the appointed COR. After validation of services is performed by the COR per paragraph 4.1 above, the COR will select the “CQA” (Contract Quality Assurance) button to verify that the invoice was accurate, this step will normally select the Acceptance: button also.

If anyone other than the COR (typically the Resource Advisor (RA)) is accepting services for the task order, the COR MUST certify in writing to the acceptor that services have been inspected/validated, the acceptor must then state in the comments block (under Misc Info tab) that the COR has reviewed, validated and certified services/invoices. In all cases, the COR will retain documentation (electronic or hard copy) showing COR validation and certification, as well as final acceptance of Contractor invoices.

4.2.2 COR Expenditure Log. After certification of an invoice in WAWF, the Primary

COR will update the expenditure log documenting/tracking certified invoice expenditures against funds allocated on the contract against each CLIN. The Contract Administrator will provide a template, if requested. Funding belongs to the organization where the COR resides; the COR expenditure log allows the COR to ensure that funds are available for the work performed, to include travel and materials.

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

• List details regarding all unsatisfactory services or incorrect invoice information

AND

• Instruct the Contractor to contact DFAS to have the invoice rejected back to the Contractor; this will allow the Contractor to make the same correction on both the receiving report and invoice, since combination invoices/receiving reports are required

4.4 The rejecter will then return to the Header tab and click the “Reject to Initiator” block.

Anyone other than the COR may reject receiving reports in WAWF, but only when services/invoices have been reviewed and rejected by the COR in writing per the paragraph above. After rejecting the receiving report, e-mail the CM/CO the contract number, receiving report number, and reason for rejection.

5 COR FOLDER. The Primary COR will establish and maintain a COR folder for each task order; an electronic version of the folder may be kept, however, must be maintained in an area where both alternate CORs and FC/FD will have access to it. The COR folder must contain the tabs and contents outlined below in Table 7. ALL surveillance records are considered FOR OFFICIAL USE ONLY documents, and must be marked and safeguarded as such. Documentation is kept for the life of the contract and provides necessary continuity should COR duties transition during the course of the contract. The FD/FC and COR will receive instructions from the CO on disposition or archival procedures upon contract completion.

TABLE 7 – COR FOLDER TABS & CONTENTS

Tab Title Items to Include 1 General Correspondence 2 COR Appointment Letter(s) Assignment/nomination letter(s), appointment letter(s) and Government/Contractor relationships guidance

3 COR Training COR certificates for DAU, QAPC and CO Led training

4 Contract/Task Order, Modifications, PWS, Pricing

Contract for current level of effort, any modifications and most current PWS/amendment on contract, and Contractor’s contract/task order pricing

5 Quality Assurance Surveillance Plan, Surveillance Checklist

Contract/task order QASP, approved surveillance checklist, and completed surveillance checklists

6 Contractor’s Quality Control Plan If applicable 7 First & Second Notices, Corrective

Action Reports (CAR) Non-conformance log, First and Second Notices and CARs issued to Contractor

8 Contractor Deliverables CDRLs, deliverable specified in contract/task order, reports, etc.

9 WAWF Invoices WAWF invoices can be maintained within WAWF, however, WAWF attachments must be inspected and maintained in Tab 8.

10 COR Expenditure Log Updated with latest invoice and funding 11 DD Form 254 If applicable 12 Monthly Log The COR will maintain a written or electronic log which can be used to assist in tracking burn rates, minor deficiencies and progress on the task order or any other information the COR deems necessary or appropriate.

Financial System Administrator Quality Assurance Surveillance Plan Attachment 1

First or Second Notice Template

(Date) MEMORANDUM FOR (Contractor, ATTN: Contractor POC)

FROM: (CO’s office symbol)

SUBJECT: First/Second Notice for Contract for (brief name for non-conformance) on

FA4661-16-P-00XX)

1. Contracting Officer Representative: (Mr/Ms First Last)

2. Office: (COR Office symbol)

3. Date of First Notice: (if 2nd notice, if 1st notice delete)

4. Reference: (PWS section and paragraph; Deliverable, Services Summary (SS), or email)

5. Reference Text: (State what action the Contractor should have performed IAW the reference above)

6. Description of Non-Conformity: (provide objective evidence of the Contractor’s performance discrepancy(ies))

7. Date response due from Contractor: (dd-mm-yyyy)

8. Contractor POC: (Mr/Ms First Last)

9. Contractor’s Input (Provide correction action):

10. COR Review (COR comments to reply):

11. Date Closed: (dd-mm-yyyy)

(CO signature block))

CC: Contracting Officer Representative

Attachment 2

Corrective Action Request (CAR) Template

Attachment 3

Surveillance Checklist Template (Example only)

Description Reference Surveillance

Method/ Measure

Date Planned

Date Completed

Exceeds (E), Met (M) or Below (B) Standard

Results/Remarks

Review Monthly Report

PWS

paragraph

1.2.4.2

90 days after contract start by COR

TBD