Attachment 2 - Performance Plan.docx

QUALITY ASSURANCE SURVEILLANCE PLAN

For

Duct Cleaning Services

Langley AFB, Virginia

(Attachment 2)

03 February 2011

TABLE OF CONTENTS

1.0 PURPOSE………………………………………………………………….…..…. 3

2.0 MULTI-FUNCTIONAL TEAM MEMBERS & RESPONSIBILITIES..…….. 3

3.0 SERVICE SUMMARY (SS) & METHOD OF ASSESSMENT………………. 3-7

4.0 UNACCEPTABLE PERFORMANCE & REMEDIES………………………. 7-8

5.0 CERTIFICATION/ACCEPTANCE OF SERVICES………………………….. 9

6.0 PERFORMANCE MANAGEMENT…………….……………………………. 9-12

7.0 CONTRACTOR’S QUALITY CONTROL PLAN……………………………... 12

8.0 INITIAL PERFORMANCE REVIEW and ANNUAL EXECTUION REVIEW…………………………………………………………………………... 12-13

9.0 APPENDIX…………………………………………………………………………13

Appendix C - Corrective Action Report (CAR)………………………………….15-17 Appendix D – Performance Assessment Report (PAR)………………………… 18-20

10.0 MULTI-FUCNTIONAL TEAM SIGNATURE PAGE…………………………21

1.0. PURPOSE

1.1. This Quality Assurance Surveillance Plan has been developed to provide an effective and systematic method to evaluate contractor provided services as required by the terms and conditions of the contract. This Quality Assurance Surveillance Plan implements the requirements of Air Force Instruction 63-124, Performance Based Service Acquisitions (PBSA), with respect to the government’s quality assurance requirements.

1.2. This Quality Assurance Surveillance Plan is based on the premise that the contractor is responsible for contract management and quality control actions necessary to meet the terms of the contract, not the government. The government’s objective in having the service provided is to survey activities to provide sufficient assurance to justify acceptance/rejection of the contractor’s Radiology Reading services. Based on quality data trends, the methods of government surveillance may be changed. Failure to provide quality services could result in termination of the contract and other monetary repercussions. Results that the multi-functional team is striving to achieve in managing the acquisition is to assure the contractor obtains an acceptable level of performance, meets the stated qualifications, and are available to provide services according to Air Force needs. A contract to provide the service is the best means of achieving these objectives and results.

1.3. The contractor is encouraged to manage costs and resources effectively while meeting government expectations. The government will not monitor frequencies or methods of performance, only the expected results as listed in the services summary using the Quality Assurance Evaluation Checklist (QAEC) - see Appendix A. This Quality Assurance Surveillance Plan provides the government with an objective and recordable means for reducing the contractor’s profits for repeated non-performance. Conversely, contractors have an incentive to utilize their resources in a cost effective manner to increase profit.

1.4. This Quality Assurance Surveillance Plan describes the method(s) used to evaluate contractor provided services in meeting performance objectives and performance thresholds. Contracting Officer’s Representative (COR) will use periodic, customer complaint, and 100% inspection assessment methods to evaluate the contractor’s performance. The assessment procedures identified in this Quality Assurance Surveillance Plan, with active application of the contractor’s quality control procedures, are intended to ensure acceptable contractor performance.

1.5. The role of government quality assurance is to ensure contract standards are achieved. In conducting assessments, CORs are to be objective, fair, and consistent in evaluating contractor performance against the performance standards.

1.6. This Quality Assurance Surveillance Plan is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of contractor performance is maintained.

2.0. MULTI-FUNCTIONAL TEAM MEMBERS AND RESPONSIBILITES

(Reference AFI 63-124, paragraph 2.8 for responsibilities)

3.0. SERVICES SUMMARY (SS). The contract service requirements are summarized in performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimally acceptable levels of service required for each requirement. The SS and the contractor’s Quality Control Plan (QCP) provide information on contract requirements, the expected level of contractor performance and the expected method of government surveillance and confirmation of services provided. These thresholds are critical to mission success. Procedures as set forth in the FAR 52.212-4 (a), Contract Terms and Conditions - Commercial Items, Inspection/Acceptance, will be used to remedy all deficiencies. During the first initial 30 days of the contract, two additional errors on each task shall be allowed in an effort to identify normal phase-in problems.

Threshold

SS-1

General HVAC Systems Cleaning

Within 1 day of notification or a mutually acceptable timeframe to the COR and contractor.

Periodic Surveillance

SS-2

MSDS

Within 8 hours of notification Periodic Surveillance, Customer Complaint

SS-3

Mechanical cleaning methods 5.1-5.3.6 inclusive

Within 8 hours of notification Periodic Surveillance, Customer Complaint

SS-4

Cleanliness verification

Within 8 hours of notification Periodic Surveillance Customer Complaint

3.1. Assessment Schedule.

3.1.1. The COR will develop a monthly surveillance schedule based on this Quality Assurance Surveillance Plan’s requirements. A locally devised form may be used. The schedule shall be completed no later than 7 calendar days before the beginning of the period it covers. Copies of the surveillance schedule shall be provided to the Contracting Officer before the start of the surveillance period. Surveillance schedules, when completed, shall be marked “For Official Use Only”, and shall not be shown to the contractor.

3.1.2. Changes to the surveillance schedule shall be posted promptly. Copies of the changed schedule shall be sent to the Contracting Officer. The COR shall document the reason(s) for changes of the surveillance schedule, and maintain the documentation in the COR files with the corresponding changed surveillance schedule.

3.2. Assessment of Services Summary (SS) Items.

3.2.1. It is essential for the CORs to conduct surveillance in accordance with the projected surveillance schedule for an effective quality assurance program. Mission requirements may require deviations from the surveillance schedule. Surveillance should be performed as close to the schedule as is practicable. The COR shall document the surveillance as it is conducted.

3.2.2. The COR shall conduct surveillance of the contractor’s performance by determining whether or not the performance meets the standards contained in the contract, the PWS and the SS items.

3.2.2.1. The COR must inspect by physically checking an attribute of the completed task, checking a management information report, or otherwise inspecting the task results to determine whether or not performance meets the standards contained in the PBWS. The COR will use the Quality Assurance Evaluation Checklist (QAEC) in Appendix A to record the periodic surveillances.

3.2.3. Re-Performance. The COR shall strive to have the contractor successfully re-perform all unacceptable performance, defects and customer complaints within the time allowed in the SS. The intent of the contract is to have the service provided rather than taking any reduction of payment. However, the contractor's satisfactory re-performance of services shall be at no additional cost to the government and shall not remove the status of any defects from customer complaints, periodic or 100% surveillances, as it applies to the performance thresholds listed in the SS.

3.2.4. If the contractor challenges the validity of any customer complaint or defect annotated on a QAEC and the COR and contractor cannot come to agreement, the COR shall document the complaint/defect in question on a Performance Assessment Report (PAR) (Appendix D) and it shall be forwarded to the Contracting Officer (CO) for resolution. The CO in accordance with the applicable Inspection/Acceptance clause will take action.

3.3. Periodic Surveillance. This method requires the COR to employ a “spot check” style of evaluation based on the contractor’s schedule. Periodic surveillances will be conducted on a scheduled basis (daily, weekly, monthly, quarterly, semi-annual or annually) and may be adjusted, based on quality trends.

3.3.1. Standard. Defects identified in the periodic surveillance will be utilized in determining the contractors’ acceptable or unacceptable performance as defined in the SS. All defects noted in the surveillance will be rectified by the contractor within the time allowed in the SS.

3.3.2. Procedures for Periodic Surveillances. Each performance objective that has been scheduled for surveillance will be evaluated utilizing a set of evaluation factors listed on the QAEC. For each QAEC evaluation factor the contractor will receive either a pass or a fail mark. Each fail mark will correlate to a defect and will be used in determining Performance Thresholds listed on the SS in Section 3.0 of this Quality Assurance Surveillance Plan for each Performance Objective.

3.3.3. Documentation. Periodic surveillance documentation will be accomplished utilizing the QAEC (Appendix A). Documentation shall include the date, time, and location of the surveillance, applicable remarks to the surveillance, and signature of the COR.

3.4. Customer Complaint. This method requires the customer to fill out a locally generated form provided by the COR or Contracting Officer. The COR will verify the complaint and notify the contractor of the complaint. The contractor shall acknowledge the complaint within 2 hours and inform the COR of his recommendation. Any deficiency shall be documented and the contractor shall re-perform service immediately, if appropriate, or within 24 hours at no increase in contract amount. The contractor shall respond to the Customer Complaint instructions provided and return it to the COR within 5 calendar days of receipt. Any unsatisfactory inspection identified but re-performed acceptably shall still be counted as an unsatisfactory inspection for trending purposes.

3.4.1. Standard. Failing to meet the performance threshold as outlined in the SS for any of these performance objectives in any one month period shall result in a warning or letter of concern from the Contracting Officer.

3.4.1.1. Failing to meet the performance threshold as outlined in the SS of these performance objectives in any combination for any two, or more, failures shall constitute an immediate Progress Meeting. All remedies shall be in accordance with the FAR 52.212-4 (a), Contract Terms and Conditions - Commercial Items, Inspection/Acceptance.

3.4.2. Procedures for Customer Complaints. Any base personnel that observe services, either incomplete or not performed, for any contracted services, should immediately contact the COR by telephone, email, letter, or fax. The COR will send the complainant a complaint form to fill out. The COR will then validate the complaint. If the complaint is validated, the COR will notify the contractor’s Quality Control Inspector (QCI) to pick up the written customer complaint. The QCI will be given 24 hours to correct the defect after verbal notification by the COR. If the QCI disagrees with the complaint after investigation of the site and challenges the validity of the complaint, the QCI will notify the COR. If the COR still believes the complaint to be valid after reinvestigation, the QCI will have to correct the defect within the given 24 hour time period. The COR shall inform the customer of the approximate time the defect will be corrected and advise the customer to contact the COR if the defect is not corrected. The COR shall follow up with the customer after scheduled re-performance to ensure the customer complaint was resolved. If the complaint is invalid, the COR shall contact the complainant and explain why the complaint was invalid.

3.4.3. Documentation. Customer complaint documentation will be accomplished utilizing a Customer Complaint Form (Appendix B). The complainant’s organization, building number, name, phone number and nature of the complaint will be annotated on the form. The COR shall annotate on the form the date and time the complaint was validated and the date and time of contractor notification. The contractor will then annotate on the form the action taken to correct the defect and then sign and date the form. The COR shall then sign and date the form.

3.5. Assessment of Non-SS Items. The government has the right to inspect all services called for by the contract, to the extent practicable at all times and places during the term of the contract. Therefore, CORs have the right to conduct assessments for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in section 4.0 of this Quality Assurance Surveillance Plan, entitled Unacceptable Performance.

4.0. UNACCEPTABLE PERFORMANCE

4.1. When performance is determined unacceptable due to the contractor not meeting a performance threshold identified in the SS or the COR identifies unacceptable performance on non-SS items, the COR shall issue a Performance Assessment Report (PAR) (Appendix D). The COR will annotate a brief description of the deficiency, a suspense date then sign and date the form. The COR shall notify the contractor to pick up the form to annotate concurrence or non-concurrence, corrective action, corrective action estimated completion date and how to prevent recurrence or reason for non-concurrence. The contractor shall return the form to the COR by the suspense date on the form.

4.2. When performance is determined unacceptable due to failure to provide adequate corrective action to preclude recurrence of government identified findings, failure to provide corrective action or re-performance of deficiencies identified by the COR within a prescribed suspense period, or any failure to adhere to security regulations that results in a security incident, the COR shall issue a Corrective Action Report (CAR) (Appendix C). The COR shall fill in the CAR by annotating the deficiency, impact to the government caused by the deficiency, suspense date and control number. The COR shall notify the contractor of the CAR and require the contractor to respond, in writing, detailing 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 the suspense date on the CAR. The COR shall then respond to the contractor’s corrective action plan. The COR and the COR Supervisor shall sign and date the CAR and forward the form to the Contracting Officer.

One Corrective Action Report issued within a 1-month period will result in a warning Two or more Corrective Action Reports issued within a 1-month period may result in reduction of contract price. The Contracting Officer may reduce the contract price to reflect the reduced value of services performed.

Four or more Corrective Action Reports issued within a 1-month period will result in the aforementioned reduction of price per incident and could result in termination of the contract. The contractor will meet with both the COR and Contracting Officer to decide the remedy.

4.3. Unacceptable performance re-performed by the contractor shall still count as unacceptable performance.

4.4. The COR shall maintain a CAR log of all CARs issued to the contractor (a locally devised form may be used). The CAR log shall contain the CAR number, date issued, contractor, description of unacceptable performance, suspense date, and closeout date. All CARs and CAR logs shall be maintained by the COR for the life of the contract.

4.5. Contracting Officer Notification.

4.5.1. If at any time the COR identifies a “Major nonconformance”, which IAW FAR Part 46.101, means a nonconformance, other than critical, that is likely to result in failure of the supplies or services, or to materially reduce the usability of the supplies or services for their intended purpose, the COR shall document their findings and notify the Contracting Officer immediately in writing. Email is acceptable.

4.5.2. When the COR identifies a “Minor nonconformance” which IAW FAR Part 46.101, means a nonconformance that is not likely to materially reduce the usability of the supplies or services for their intended purpose, or is a departure from established standards having little bearing on the effective use or operation of the supplies or services, the COR shall document the findings. The COR is not required to notify the Contracting Officer. However, if the same minor nonconformance is repeatedly identified, it may be an indication that a major nonconformance is occurring or has occurred because the contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing and provide all previous documentation that supports the possibility for reoccurring nonconformance in support of a possible major nonconformance concern.

4.6 Remedies for Unacceptable Performance.

4.6.1. In accordance with the contract Inspection of Services clause, if any of the services do not conform to contract requirements; the government may require the contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the government may:

4.6.1.1. Require the contractor to take necessary action to ensure that future performance conforms to contract requirements; and

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

4.6.2. If the contractor fails to promptly perform the services again or to take the necessary action to ensure future performance is in conformity with contract requirements, the government may:

4.6.2.1. By contract or otherwise, perform the services and charge to the contractor any cost incurred by the government that is directly related to the performance of such service; or

4.6.2.2. Decrease the invoice as stated in the PBWS related to performance; or

4.6.2.3. Terminate the contract.

5.0. CERTIFICATION/ACCEPTANCE OF SERVICES

5.1. The COR will certify receipt of contractor services via the Wide Area Work Flow (WAWF) website. Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties.

5.2. CORs are responsible for obtaining, scheduling, and completing WAWF training from the base Accounting and Finance Office.

6.0. PERFORMANCE MANAGEMENT. This section identifies the use of performance measurement information to effectively document contractor performance.

6.1. Purpose. This section details the method to be used in verifying contractor compliance with the contract requirements. This Quality Assurance Surveillance Plan provides the procedures on how to conduct these inspections.

6.2. Surveillance Approach. To facilitate the surveillance of the contractor's quality program, government personnel will verify contractor compliance with designated performance objectives. The critical requirements will be verified by COR.

6.3. COR File Maintenance. The COR will maintain pertinent files for this contract and, as a minimum; the file will contain the following:

6.3.1. Summary Sheet

6.3.2. AFI 63-124

6.3.3. A copy of the contract to include government Performance Based Work Statement (PBWS), as well as all modifications

6.3.4. COR Appointment Letters

6.3.5. COR Phase I and Phase II Training Documentation

6.3.6. COR Delegation Letter from the Contracting Officer

6.3.7. Nonconformance Reports (Corrective Action Report/Performance Assessment Report)

6.3.8. Government Quality Assurance Surveillance Plan

6.3.9. Contractor Quality Control Plan (QCP)

6.3.10. Contract-related correspondence

6.3.11. Surveillance Schedules

6.3.12. Surveillance Records (QASC), Customer Comment Records

6.3.13. Contract Administrator’s Documentation

6.3.14. Receiving Reports/Acceptance of Services

6.3.15. Expenditure Log with declining balance to track funds remaining on the contract.

6.3.16. Contractor Performance Assessment Rating (CPAR) documentation, if applicable

6.4. COR End of Month Report. The COR will submit an assessment report (COR Monthly PAR) and attach all CARs, PARs, and validated customer complaints/comments for the month to the CO no later than 5 working days following the month in which the actual surveillance occurred. The report will identify the number of surveillances scheduled and conducted, the number of unacceptable performances observed, the number of Corrective Action Reports issued, the number of Performance Assessment reports issued, the number of valid customer complaints/comments, any significant contractor performance discrepancies, and a rating of the contractor’s overall performance. The report will be accomplished using the specific Performance Assessment Report that has a page four added which includes additional information regarding assessment of the contractor’s performance for the stated period of the report. The report will be signed and dated by the COR Supervisor and the COR and a copy provided to the CO. Validated customer complaints/comments and all documentation will be used to support contractor ratings in the Contractor Performance Assessment Rating System (CPARS).

6.5. Deficiency Reporting. The COR will evaluate the contractor's performance to identify any deficiencies and document effective and timely corrective actions. The COR will provide a copy of deficiency reports to the contractor's quality control representative to afford him/her the opportunity to take corrective actions. If the deficiency is documented by the contractor who is already working to correct the problem in a timely manner, then an AF deficiency will not be formally issued.

6.6. Periodic Progress Meetings. The multi-functional team will conduct periodic progress meetings, not less than quarterly, to review the contractor’s performance. At these meetings the Contracting Officer will inform the contractor of how the government views the contractor’s performance and the contractor will inform the government of problems, if any, being experienced. The contractor shall notify the Contracting Officer, in writing, of any work being performed, if any, that the contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues.

6.7. Performance Feedback. The government will provide performance feedback to the contractor using the quality assurance forms (PAR, CAR and Customer Complaint Report), progress meetings, or the CPAR reports. The COR’s documentation is used to support the annual contractor ratings in CPARS and provide a snapshot view of contractor’s performance.

6.8. COR Records Review. The contract administrator will review the COR’s quality assurance files no less than semi-annually to ensure completeness and to ensure surveillance is properly conducted and documented, and contractor performance is within acceptable levels. This review will be documented and acknowledged by the CO and CORC.

6.9 Performance Elements and Ratings.

Performance Element

Description

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

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

Business Relations Assess the integration and coordination of all activities needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s history or reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts, and whether the contractor met small/small disadvantaged and woman owned business participation goals.

Performance Rating Criteria

Exceptional Performance meets contractual requirements and exceeds many of the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good Performance meets contractual requirements and exceeds some of the government benefits. The contractual performance element or sub-element being assessed was accomplished with some of minor problems for which corrective actions taken by the contractor were highly effective.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element 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 assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

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 contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

7.0. CONTRACTOR’S QUALITY CONTROL PLAN

7.1. The contractor shall establish and maintain a Quality Control Plan (QCP) to ensure the requirements of the contract are provided as specified. The contractor shall provide a QCP describing the inspection system for the services required in the PWS. The contractor shall develop and implement procedures to identify, prevent and ensure non-recurrence of unacceptable services. A description of the methods to be used for identifying and preventing defects in the quality of service performed shall be included int the QCP. A description of how records will be kept. Records must document all inspections and corrective or preventive actions taken. The contractor shall update the plan as changes occur and changes shall be submitted for review and acceptance to the Contracting Officer. The contractor’s Quality Control Plan shall contain, as a minimum, the following items:

7.1.1. A description of the inspection system to cover all services. Description shall include specifics as to the areas to be inspected on a scheduled and unscheduled basis, frequency of inspections, and the title and organizational placement of the inspector(s). A description of the surveillance methodology used to cover all tasks and services listed on the PWS and QAEC. Contractor quality control surveillance records shall be kept at the contractor's office and made available to the government upon request.

8.0. Initial Contract Performance Review and Annual Execution Review IAW AFI 63-101, Section 4, Para 4.9 and 4.10

8.1. Assumption of Workload Review. All services acquisitions with a value in excess of $100,000 will be reviewed by the appropriate designated official within 30 days of the contractor’s full assumption of contract workload (for example, end of transition, phase-in, or similar event). The purpose of the review is to determine if the contractor successfully completed transition, is fully operational, and is within other performance parameters required by the contract. Since HQ ACC/A7K is the designated official for this contract, the Contracting Squadron Commander or DBO shall conduct and document the assumption of workload review and report to HQ ACC/A7K any negative information concerning contract execution.

8.2. Annual Performance Review. All services with a value in excess of $100,000 will be reviewed annually. This review is to be conducted not later than 30 days prior to issuing the notification of the government’s intent to exercise the option for the follow-on year. Since HQ ACC/A7K is the designated official for this contract, the Contracting Squadron Commander or DBO shall conduct and document the annual performance review and report to HQ ACC/A7K any negative variations in cost, schedule and/or other significant performance measures required by the contract. If significant variations exist, include an explanation of the causes for the variance and an assessment of the contractor’s corrective action plan.

8.3 Any significant changes in anticipated cost/price, schedule, or performance expectations are subject to a special review at the direction of the AFPEO/CM, HQ ACC/A7K, or other designated official.

9.0 APPENDIX

Appendix A – Quality Assurance Evaluation Checklist Appendix B - Customer Complaint Record Appendix C - Corrective Action Report Appendix D- Performance Assessment Report

Appendix A - Quality Assurance Evaluation Checklist Performance Objective (General)

PBWS

Paragraph

1.2.20

Appendix B – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Customer Complaint Record Template, Feb 05 (SAF/AQCP) COMPLAINANT – 1

Appendix C – Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

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. If date was not entered in Block 5, the Contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

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

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

CORRECTIVE ACTION REPORT (CAR)

Continuation Sheet (Number to correspond with applicable Item Number on reverse)

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

Block 5. 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’s Representative (COR) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The COR Supervisor is the Issuing Authority for his/her contract Quality Assurance Evaluators (CORs) generating CARs. By providing the control number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The control number will be made up of the first two letters of the name of the site or contract, 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 nonconformance/finding. See Quality Assurance Surveillance Plan (PP), paragraph 4.3, for the definitions of Major and Minor findings and associated explanations.

2. Nonconformance/Finding: 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 that the contract provides.

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

Blocks 8 and 9. Contract CORs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the Contractor's reply, the originator of the CAR 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.

Block 12. The COR enters a close date after advising the Issuing Authority that the Contractor's response is acceptable and the Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the Contractor and report accordingly in the monthly Certificate Of Service (COS) or other applicable contracting officer services 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 forwards the open CAR back to the Contractor for additional information.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

Appendix D – Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or SOW PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

PERFORMANCE ASSESSMENT REPORT

Continuation Sheet (Number to correspond with applicable Item Number on reverse)

Performance Assessment Report (PAR) Instructions

Block 1. Contracting Officer’s Representative (COR) enters contract or task order number.

Block 2. COR enters contractor name.

Block 3. COR enters type of services.

Block 4. COR signs and dates.

Block 5. COR enters telephone number.

Block 6. COR assigns suspense date for Contractor Representative validation if a deficiency box was checked in Block 7.

Part I. Contractor Performance

Block 7. COR checks all boxes that apply.

Block 8. COR enters Services Summary or Statement of Work (SOW) paragraph item reviewed.

Block 9. COR enters brief description of deficiency and tracking number if the deficiency box was checked in Block 7. Detailed description will be on Corrective Action Report (CAR).

Block 10. COR enters a detailed performance assessment if the deficiency box in Block 7 was not checked.

Parts II and III will be used only if a deficiency was documented in Part I.

Part II. Contractor Validation

Block 11. Contractor Representative checks one box in response to COR cited deficiency. If Concurrence is indicated, Contractor Representative continues to Block 12. If Non-Concurrence is indicated, continue to Block 13 and state reason(s) for Non-Concurrence with COR cited deficiency and return PAR to COR.

Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Corrective Action and the Action Taken to Prevent Recurrence or Reason for Non-Concurrence of COR cited deficiency.

Part III. Deficiency Corrected

Block 14. COR checks appropriate block, signs, and dates.

Block 15. (Required Entry) COR remarks regarding the Corrective Action and the Action Taken to Prevent Recurrence. If Non-Concur was checked, this block should be very detailed to explain why.

Block 16. Contractor Representative enters remarks if further discussion is needed about COR concurrence with Contractor’s Corrective Action and Action Taken to Prevent Recurrence.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

MULTI-FUNCTIONAL TEAM

SIGNATURE PAGE

Contracting Officer

Team Lead, Base Support or Services Flight

Contract Administrator

Quality Assurance Program Coordinator (CORC)

COR Supervisor

Contracting Officer’s Representative (Primary)