04._QASP_Water_Sampling_(20_Jun_14).pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

WATER SAMPLING

20 June 2014

Contracting Squadron Commander Functional Commander

Contracting Officer Director of Business Operations

Contract Specialist Quality Assurance Program Coordinator

Contracting Officer’s Representative Contracting Officer’s Representative

Other: _________________________________ Other: _________________________________

“Quality Assurance Surveillance Plan (QASP)” is the document government personnel use to assess contractor performance (see FAR 46.401, DFARS 246.401, DFARS 237.172), formerly known as the Performance Plan. Quality

Assurance Surveillance Plan may be made part of the solicitation but shall not be part of the resulting contract.

QASP Water Sampling FA4803-14-R-0015

TABLE OF CONTENTS

Subject Page

1. Overview 3

2. Description of Services 3

3. Multi-Functional Team Members/Roles and Responsibilities 4

4. Surveillance Approach 7

5. Documentation Requirements 10

6. Performance Requirements 10

Attachment 1, COR File Index 12

Attachment 2, Services Summary 13

Attachment 3, COR Inspection Report 14

Attachment 4, COR Quarterly Past Performance Narrative Report 15

Attachment 5, Performance Assessment Report 16

Attachment 6, Corrective Action Report 18

1. OVERVIEW.

1.1. Purpose. The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to ensure it receives the services under contract as identified by the performance objectives in the Performance Work Statement (PWS). This plan will focus on the level of performance required by the PWS, not the methodology or process. This QASP has been developed and adheres to, Performance-Based Services Acquisition (PBSA) methodology. This QASP will be used by the Multi-functional team and the Contracting Officer’s Representative (COR) to ensure contractor compliance and progress at meeting mission objectives on the Water Sampling service contract.

This QASP explains:

• What will be monitored?

• How monitoring will take place.

• Who will conduct the monitoring?

• How monitoring efforts and results will be documented.

1.2 Authority. Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provide for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the Contracting Officer or a duly authorized representative. The QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

1.3. Intent. The QASP is designed to provide the Multi-functional team a vehicle to ensure delivery of the desired mission support services within cost and on schedule. The QASP will also provide the Contracting Officer’s Representative (COR) an effective systematic surveillance method for each item listed in the PWS, specifically on the Service Summary (SS). This QASP does not detail how the contractor accomplishes the work. The premise of commercial contracting is for the Contractor to assume responsibility for management and quality control actions in the work they produce to meet the terms of the contract. The government will also rely on the Contractor's submitted Quality Control Plan (if applicable) for ensuring contractual requirements are met. The QASP intent is changing the Government's role from "oversight" to "insight";

focusing on determining if the desired end results are met, versus evaluating if each individual task is performed and deducting when the contractor fails to meet the standard. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. This QASP is a “living document” and the Government may review and revise it on a regular basis.

Updates shall ensure that the QASP remains a valid and useful document.

2.0. DESCRIPTION OF SERVICES. Water Sampling.

2.1. Mission. To provide the employees, residents, and visitors of Shaw AFB, SC safe drinking water and to ensure compliance with all federal, state, and Air Force requirements.

2.2. Program Overview. Bacteriological water analysis represents one aspect of water quality and is a method of analyzing water to estimate the numbers of bacteria present and, if needed, to find out what sort of bacteria exists. The procedure uses samples of water, and from these samples determines the concentration of bacteria. The suitability of the water safety for use or human consumption is determined based on these results.

2.3. Description of Work. The contractor is encouraged and expected to use innovative approaches to efficiently and effectively accomplish the PWS requirements in a timely manner, at reduced costs, and in a way, which fosters pride and ownership in the work performed. The contractor shall provide all personnel, equipment, tools, materials, supervision, and other items necessary to provide the Water Sampling services.

2.4. Contract. The contract type is Firm Fixed-Price.

3.0. MULTI-FUNCTIONAL TEAM (MFT)

3.1. MFT Key Members.

Contracting Officer, Mr. Daniel Kane Contract Administrator, Ms. Angelyn McKeever Quality Assurance Program Coordinator, Ms. Sonia Taylor Functional Commander, Capt Candace Lucas Contracting Officer’s Representative, Capt David Hocking Contracting Officer’s Representative, TSgt Tony Sewell Contracting Officer’s Representative, A1C Esteban Cruz

3.2. MFT Roles and Responsibilities. A MFT is established for each acquisition; together, the team members work to ensure success. The MFT is responsible for acquisition planning, development, and performance management for new and follow-on service contracts. The MFT shall support and its members shall perform:

3.2.1 Business/acquisition strategy that promotes best value decisions that will meet customer requirements and foster partnerships with industry.

3.2.2 Market Research to ensure the most efficient and effective assessment methods, techniques, and best commercial practices.

3.2.3 Requirement and solicitation development to include the appropriate evaluation criteria in accordance with the Quality Assurance Surveillance Plan.

3.2.4 Source Selection which ensures best value selection based on requirements.

3.2.5 Contract Performance Management, to include collection of past performance information for input to the Contractor Performance Assessment Reporting System (CPARS).

3.2.6 Provide support to leadership, as required, through performance metrics, data, or briefings to ensure dissemination of acquisition information.

3.2.7 Provide reports for early warnings of significant variances in cost, schedule or performance.

3.2.8 Budget adequate funds within approved funding baselines.

3.2.9 Manage risk to ensure mission performance is within cost and schedule constraints.

3.2.10 Develop, implement and manage milestones to ensure the acquisition supports mission requirements.

3.2.11 Identify opportunities to improve performance throughout the life of the acquisition and recommend changes to the Quality Assurance Surveillance Plan.

3.3 The MFT membership will be individuals holding the positions listed herein. When the individuals leave these positions, due to PCS, retirements, etc., their replacement will assume the same responsibilities throughout the acquisition life cycle for this requirement. The working group members within the MFT are annotated below with an asterisk (*) beside the position. The MFT may be comprised of the following positions:

Functional Commander/Functional Director over the functional area, COR Supervisor Contracting Squadron Commander

* Contracting Officer

* Quality Assurance Program Coordinator

* Contract Specialist or Contract Administrator

* Contracting Officer’s Representative in the functional area Environmental, Legal, Manpower, Finance, and Safety (Optional – These members may be called to help research or provide guidance on an issue that arises during the acquisition process.)

Contractor (Member after award of contract)

3.3.1 Functional Commander/Functional Director/COR Supervisor (COR Management):

The Functional Commander/Functional Director (FC/FD), will be responsible to assign competent and capable functional experts to the Multi-functional Team who will be available full time or as warranted by the procurement cycle. The COR Management will nominate, as a minimum, a primary and an alternate COR and notify the CO of any changes. COR Management will review contractor performance documentation, prepared by the COR on a regular basis to ensure performance is compatible with contract and mission objectives. The FC/FD is also responsible for identifying mission essential services and developing the necessary documents to identify services determined to be essential for performance during crisis according to DODI 1100.2 and DFARS subpart 237.76. The FC/FD is delegated to the role of Services Designated Official responsible for annual execution reviews to assess progress of the acquisition against approved cost, schedule, and performance metrics to include a review of any risk mitigation actions.

3.3.2 Contracting Squadron Commander and/or Director of Business Operations (DBO):

The Contracting Squadron Commander and Director of Business Operations serve as the Installation Business Advisors to senior leadership. They ensure services are being obtained at the most cost effective and efficient means and in accordance with Air Force policy and monitor the progress of the MFT.

3.3.3 Contracting Officer (CO): The CO is the only person with the authority to direct the contractor in the performance of their duties under the contract and to make interpretations of and changes to the contract. The CO chairs the Acquisition Strategy Planning meeting, as required, to form milestones for the acquisition process jointly with the Functional Commander. They also participate in MFT meetings and ensure acquisition processes, i.e. minutes are taken, a written record is maintained, milestones adhered, market research, gathering past performance, source selection, solicitation, evaluation, and award actions, are aggressively performed. The CO is responsible to designate Contracting Officer’s Representatives (COR) in accordance with MP5301.602-2(d) for inspection/acceptance in accordance with the terms and conditions of the contract and inform the contractor in writing of the names, duties and limitations of authority for all COR assigned to the contract.

3.3.4 Quality Assurance Program Coordinator (QAPC): Develops, manages and implements the Shaw AFB Quality Assurance Program; supports the Multi-Functional Team in the development of contract quality assurance requirements, specifically ensuring requirements are clearly stated and enforceable; aids in development of the Services Summary, PWS , QASP and provides training to all CORs and COR Management (e.g. COR Supervisor, FC/FD) that interact with this contract as needed, in accordance with MP5301.602-2(d) and any MAJCOM/DRU procedures.

a. Assist the MFT during market research efforts in determining commercial quality assurance practices.

b. Assist the CO in providing annual refresher training to primary and alternate COR in accordance with MP5301.602-2(d) and OUSD AT&L Memo, dated March 29, 2010, “DoD Standard for Certification of Contracting Officer’s Representatives (COR) for Service Acquisitions.”

c. Maintains the organization’s COR management system database – Contracting Officer’s Representative Tracking Tool (CORTT).

3.3.5 Contract Specialists/Administrators (CS) (CA): The focal point for issues regarding the contract; prepares and processes modifications to the contract; assists the CO in ensuring contractor performance meets contract standards. They ensure minutes are taken and maintain a written record of all MFT meetings to include action items and milestones. The CA will perform COR assessments on a periodic basis as determined by the CO. If deficiencies are discovered in the COR surveillance procedures, the CO will notify the COR Management to provide any assistance upon request, such as additional training for COR.

3.3.6 Contracting Officer’s Representative (COR): Responsible for monitoring, assessing, recording, and reporting on contractor compliance with the terms and conditions of the contract.

These individuals will have primary responsibility for completing quality assurance monitoring forms that will be used to document the inspection and evaluation of the contractor’s performance. The COR will maintain surveillance documentation, notify the Contracting Officer of any significant performance deficiencies and recommend improvements to the QASP and PWS throughout the life of the acquisition.

a. Participate in the Acquisition Strategy Planning meeting, as required; and participate in MFT meetings.

b. Assess the contractor’s performance against the standards in the PWS and manage the performance in accordance with the Quality Assurance Surveillance Plan.

c. Certify acceptance of contractor services.

d. Meet the minimum training requirements for COR designation as specified in OUSD (AT&L) Memorandum, March 29, 2010, “DoD Standard for Certification of Contracting Officer’s Representatives (COR) for Service Acquisitions.”

e. Annually to file the Confidential Financial Disclosure Report, OGE 450. A COR is designated as a filer pursuant to the definition of "Confidential Filer" as set out in 5 CFR

2634.904. The purpose of this report is to assist in avoiding conflicts between official duties and private financial interests or affiliations.

f. The COR will monitor contractor’s performance regarding trafficking in persons such that noncompliance with FAR 52.222-50, Combating Trafficking in Persons (CTIP), is brought to the immediate attention of the Contracting Officer. The military has zero tolerance for human trafficking. CORs are to report all violations and keep a log for annual review of all concerns.

3.3.7 Contractor: The Contractor will ensure that a Government acceptable quality control system is provided and maintained. The contractor is required to provide all services identified in the PWS not just those identified in the SS. Provide innovative ideas that promote best value business decisions on this service contract to meet customer requirements. Recommend changes to the contract that will provide more effective operations or eliminate unnecessary costs.

4.0. SURVEILLANCE METHODS.

4.1. Purpose. This section details the method to be used in verifying compliance with the contract requirements. The key elements of this process are the contractor's quality control plan and Government identified performance thresholds. The performance thresholds will dictate the minimum surveillance requirements the Government must accomplish. This QASP provides the procedures on how to conduct these surveillances. COR documentation of contractor performance should be accomplished as the observation is completed, thus preventing loss of information. All documentation generated in the performance of this plan will be "For Official Use Only".

4.2. Surveillance Approach. Government personnel will verify contractor compliance with designated performance requirements. The COR will verify that performance thresholds are met.

The surveillance approach is to gain confidence in the contractor's way of doing business and then adjusting the level of insight to a point that maintains that confidence. With this approach, the surveillance method may not be one that stays the same throughout the duration of the contract. It is the responsibility of the COR Management and COR to review the critical requirements to assess their applicability and recommend the addition or subtraction of requirements as conditions warrant.

4.2.1 Periodic Surveillance: This method requires the COR to employ a “spot check” style of evaluation against the Contractor’s routine completion of PWS required tasks. 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. The COR has discretion to increase or decrease the frequency of scheduled inspections, a reduction in the frequency of surveillances does not alleviate the Contractor from meeting standards set forth in this PWS.

The COR will evaluate and document the contractor’s performance using the Performance Assessment Report (Attachment 5) or similar locally produced form and an activity log. Any defect noted during an inspection or surveillance shall be recorded, and the Contractor shall re-perform the service within the re-performance threshold of the SS.

Failing to meet the performance threshold for any of these performance objectives in any one month period shall result in a warning or a letter of concern from the CO.

Failing to meet the performance threshold of these performance objectives, in any combination for any two or more consecutive or non-consecutive months during a contract period shall constitute an immediate Progress Meeting with the Multi Functional Team.

4.2.2 100% Inspection: The COR will visually inspect the contractor’s performance each time the task is performed. This method applies to small quantity, but highly important services. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security. The COR will use a locally developed checklist to document the results of the inspection.

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. Any unsatisfactory inspection identified but re-performed in an acceptable manner shall still be counted as an unsatisfactory inspection for trending purposes.

Receipt of two or more unsatisfactory 100% surveillances within a 12 month period may result in unsatisfactory past performance documentation. Continued receipt of unsatisfactory 100% surveillances during the contract period shall constitute a negative trend and the CO may take any appropriate action.

4.3. Surveillance Folder. A surveillance folder must be maintained by the COR assigned for a performance contract. The folder can be contained in a hardcopy, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. The folder must be labeled with “For Official Use Only/Source Selection Information -- See FAR

2.101 & 3.104.” The surveillance folder must contain as a minimum, the following documents and be set up using the COR File Index (Attachment 1). The COR shall maintain required documents in the DoD CORTT. Monthly status and delinquencies will be tracked and managed within the CORTT by contracting personnel and requiring activities.

4.3.1 Appointments. This section should include, COR Nomination letters, the CO's Letter of Designation to the COR and contractor appointing the COR to the contract. Training certificates are also included here.

4.3.2 Contract Documents. The Contract with all modifications, directive document references, pertinent terms defined by the contract, equipment listings, Performance Work Statement, QASP, and contractor's Quality Control Plan.

4.3.3 Surveillance Documentation. The folder should include minutes of performance meetings that are held with the COR, CA, CO and the Contractor to instill good communication and resolve issues before they become big problems. Include reports documenting results from situations that detect a functional area is out of acceptable tolerances and the technical expertise is not available at the site. The reports that the COR inputs annually in the Contractor Performance Assessment Reporting System (CPARS) are also filed in this section.

4.3.4 Inspection Paperwork. Documented surveillance inspections performed by the COR will be kept in this section. The COR will keep an Activity Log which is a chronological log of the actions taken in the accomplishment of the assigned requirements. The purpose of this log is to supplement the inspection records and to provide a complete picture of the contractor's performance in this functional area. The types of information that may be included are details of inspections or data gathering, conversations or meetings with the contractor, notes and comments that support the inspection paperwork.

4.3.5 Acceptable Performance. The Government shall document positive performance. A Performance Assessment Report is attached. Any report may become a part of the supporting documentation.

4.3.6 Unacceptable Performance. When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

This section is used for filing all documentation associated with contract quality assurance, e.g., Corrective Action Report (CAR) correspondence (both active and resolved), the CO’s inputs, determinations, Cure Notices, Show Cause, and all supporting documentation. When the COR determines formal written communication is required, the COR shall prepare a Corrective Action Report (CAR), and present it to the contractor’s project manager or on-site representative. A CAR template is attached to this QASP.

4.3.7 Unacceptable Performance Documentation. The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor’s corrective action plan to determine acceptability. Any CARs may become a part of the supporting documentation for contract payment deductions, or other actions deemed necessary by the CO.

4.3.8 Final Acceptance and Funding Issues. A copy of receiving reports or letter of acceptance for each month should be maintained here. This is also the place to keep paperwork for future changes to the contract, i.e. addendums, AF Form 9s, options, etc., that must be worked during the life of the contract.

4.3.9 Deficiency Reporting. The COR, Contractor, CA and CO will meet (MFT/progress meeting) to discuss contract performance, resolve issues, discuss customer complaints, and provide positive interaction and feedback to all parties. The COR will provide a copy of any unresolved deficiencies associated to customer follow-up collections and customer complaints to the contractor's quality control representative to afford him/her the opportunity to show that the problem is already being worked. If evidence is shown that the contractor’s quality program has already documented the deficiency and timely corrective action is working the problem, an AF deficiency will not be issued. The COR would evaluate the contractor's action in correcting the cited deficiency and assure effective and timely corrective action is being obtained. Any defects associated with performance thresholds on the Services Summary (SS) will be included in the COR’s Monthly Report regardless of who identified the deficiency.

5.0. DOCUMENTATION REQUIREMENTS.

5.1.1 General. Documentation is required to record, evaluate, and report contractor's performance. This documentation provides the CO with contractor status as it applies to the performance criteria. Every effort should be made to make this report to the CO as accurate as possible. The COR are required to maintain accurate records of the contractor's performance and keep the COR Management informed of all data pertaining to contractor status.

5.1.2 Activity Log. An instrument used by the COR to supplement the inspection records and to provide a complete picture of the contractor's performance. Types of information that may be included are; details of inspections, conversations of meetings with the contractor, notes and comments that may be of value at some later date.

5.1.3 Inspection Report. The COR is required to provide a summarized report to the COR Management detailing the results of critical requirement verifications and reporting all discrepancies associated with the performance thresholds on the SS. This includes deficiencies identified by the contractor.

5.1.4 Certification of Services. Certification of services is performed by the COR via Wide Area Work Flow (WAWF) system. At the end of each billing period, contractor inputs invoice information in the WAWF system. WAWF automatically notifies appropriate COR via email of pending invoice. COR accesses WAWF and verifies accuracy of contractor’s data. If data is correct, COR certifies invoice and payment is conducted by Defense Finance Accounting System (DFAS). If COR encounters errors in contractor’s invoice, COR consults with on site manager to mutually rectify data. If contractor disagrees with COR, issue is forwarded to the CO for resolution. Proper and timely submission of monthly invoicing is the sole responsibility of the contractor.

5.1.5 Contracting Officer’s Representative Tracking Tool (CORTT). This system is used to nominate, appoint, track, and revoke an individual as a COR against a DoD contract. This system provides a web based portal via WAWF website is https://wawf.eb.mil/ for all relevant COR actions. The COR shall register and input a monthly report similar to Attachment 3, COR Inspection Report. The COR Supervisor is also required to register acknowledging the nomination of the COR. See policy letter 10 Feb 14 at http://www.acq.osd.mil/dpap/policy/policyvault/USA001548-13-DPAP.pdf

6. PERFORMANCE REQUIREMENTS.

6.1. Services Summary. The Attachment 2, Services Summary captures the service requirements that can be measured and are important to the overall operational requirements. The SS includes Performance Objectives that describe the desired end result or outcome the contractor shall achieve. The Performance Thresholds state the minimum acceptable level of the performance in terms of quality, timeliness, and quantity in realistic and achievable standards. These thresholds are critical to mission success. The PWS paragraphs reference the details of the Performance https://wawf.eb.mil/ http://www.acq.osd.mil/dpap/policy/policyvault/USA001548-13-DPAP.pdf

Objective in the PWS. NOTE: The Performance Objective is merely a reference point for Government personnel and does not relieve the contractor of any contractual requirements. The QASP adds a column to the SS; Method of Surveillance. One or more of the methods in Surveillance Approach will be referenced in this section.

NON-SS ITEMS. Everything that is written into the PWS is required to be provided by the contractor, thus everything in the PWS is subject to Government surveillance. A list of non-SS items that are to be inspected by the COR may be attached to this QASP.

6.2. Initial Contract Performance Review. The initial evaluation of contractor performance is a joint determination by the multi-functional team 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 Services Designated Official may waive the initial evaluation for contractors that have continued performance under a successor contract award (prior incumbent), or for contractors which have otherwise demonstrated full compliance with contract start-up. The initial performance review criteria shall be included in the QASP and the review shall take place within 30 days after the contractor assumes full performance responsibilities. Contract Performance Assessment Values will be reported as follows:

6.2.1. Green--No issues.

6.2.2. Yellow--Issue(s) but contractor has an adequate mitigation or corrective action plan in place.

6.2.3. Red--Issue(s) with inadequate or no contractor‘s mitigation or corrective action plan. Any red assessment shall include the Government proposed actions with respect to the failing contractor.

6.3. Contractor Manpower Reporting Application (CMRA). It is the Contractor’s responsibility to begin the process of entering data by creating the initial Contract and Order before any other user role can input data into the CMRA website https://afcmra.hqda.pentagon.mil/ Once the contractor has input their data, the COR can view/edit the contract type, form of contract action, National Defense Authorization Act (NDAA) elements and Fund Cite Data. The COR determines Personnel Accounting Symbol (PAS) Code, obtained through the AFPC website, Commander’s Support Staff (CSS) or Other Activity within the Unit Responsible for Personnel Services. This code is for the type of work a Government employee would be doing IF NOT for the contractor. This is NOT the same as your DoDAAC which is FA4803. For a list of PAS codes go to https://w20.afpc.randolph.af.mil/pascodesNet20/PasCodesMain.aspx https://afcmra.hqda.pentagon.mil/ https://w20.afpc.randolph.af.mil/pascodesNet20/PasCodesMain.aspx

Attachment 1

Contracting Officer’s Representative File Index

Tab 1 COR Nomination Letters, Designation or COR Letters, and Training Certificates for DAU CLC106, Ethics, Trafficking in Persons, COR classroom, Contract Specific Training, Refresher Training, and CTIP A. COR training certificates B. Alternate COR training certificates C. COR Nomination Letter D. Designation of COR by Contracting Officer Letter.

Tab 2 Contract Documents A. Contract with all Modifications (chronological order) B. Performance Work Statement (PWS) C. Quality Assurance Surveillance Plan (QASP) D. Contractor’s Quality Control Plan (QCP)

Tab 3 Surveillance Documentation A. Minutes of Performance Meetings B. Contractor Performance Assessment Reports (Official Use Only Information)

Tab 4 Inspection Paperwork A. Surveillance (Includes the COR’s Activity Log, COR Inspection Schedule and documented Surveillance Inspection Paperwork.)

B. Government-Furnished Equipment Inventory Review

Tab 5 Unacceptable Performance Documentation A. Corrective Action Reports with all supporting documentation B. Cure Notice/Show Cause and supporting documentation C. Customer Feedback Record /Comment Card Record

Tab 6 Final Acceptance and Funding Issues A. Acceptance Documents B. AF Form 9, Funding Requests

Attachment 2

SERVICES SUMMARY

Performance Objective PWS

Paragraph Performance Threshold Method of

Surveillance SS-1 Contractor shall provide sample collection/analysis IAW all DHEC regulations/sample schedule as determined by SAFE BE

1.1

INCLUSIVE

Must maintain 100% compliance 100%

SS-2 Emergency Analysis 1.2, 1.3.3

Contractor must meet minimum response times and will be evaluated against these criteria if/when the need arises

100%

SS-3 Reporting Sample Results

1.3.5, 1.3.1.2, 1.3.2.1

Sampling results must be reported with a valid chain of custody, contain all required identifying information, and be submitted on time. Sample results will be reviewed monthly by BE

100%

SS-4 Required Certifications 1.3.4 Proof of certification must be shown prior to initial sampling, and annually thereafter

Periodic

SS-5 Ensure Proper Labeling 1.3.1.1, 1.3.2.1

Samples will be checked periodically during sample events

Periodic

Attachment 3

COR Inspection Report

Date: ___________________

COR: ___________________________

Contractor: ________________________________ Contract Number: ___________________

COR: ___________________________

The contractor has met all the requirements of the contract.

The contractor has not met all the requirements of the contract. These are summarized in this report and are supported by the COR periodic inspection checklists and customer complaints attached to this report.

Summary of Discrepancies and/or Exceptional performance:

Attachment 4

COR Quarterly Past Performance Narrative Report

Report Covers: _________________

COR: ________________________________________________________________________

Contractor: ___________________________________________________________________

Contract Number: ______________________________________________________________

I am forwarding this report to the contract administrator to summarize the contractor’s past performance over the past quarter that covers________. I have reviewed the past three months monthly reports from the past performance meetings to arrive at the following comments for the four assessment elements that will be included in the Annual Past Performance Assessment Report.

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

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

(3) Cost Control. (Rating: ________) Assess the contractor’s performance in helping the Government save money by improving processes, submitting value engineering change proposals and seeking the best value on cost reimbursement items.

(4) Business Relations. (Ratings: ________) Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s history of reasonable and cooperative behavior, and customer satisfaction.

(5) Management of Key Personnel. (Rating: ________) Assess the contractor’s performance in selecting, retaining, supporting and replacing, when necessary, key personnel.

ATTACHMENT 5

PERFORMANCE ASSESSMENT REPORT (PAR)

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

1. CONTRACT/TASK ORDER NUMBER 2. CONTRACTOR 3. TYPE OF SERVICES

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) SIGNATURE AND DATE 5. COR PHONE 6. SUSPENSE

DATE

I. PERFORMANCE

7.___DEFICIENCY (CHECK ALL THAT APPLY)

___NEW

___REPEAT

___NO DEFICIENCY NOTED

8. SERVICES SUMMARY or SOW PARAGRAPH REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY ITEM

WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

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 (PAR) Template

Performance Assessment Report 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 were 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. A Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

Attachment 6

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use additional pages and tracking number)

1. CONTRACT NUMBER 2. CONTRACTOR 3. TRACKING NUMBER

4. TYPE OF SERVICES 5. DATE ISSUED 6. SUSPENSE DATE

7. DEFICIENCY/PWS REFERENCE PARAGRAPH _________ 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 6. If date was not entered in Block 6, the contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

NAME AND GRADE SIGNATURE AND DATE

9. ISSUING AUTHORITY(COR SUPERVISOR/FUNCTIONAL COMMANDER/FUNCTIONAL DIRECTOR)

NAME AND GRADE SIGNATURE AND DATE

10. CONTRACTOR COMMENTS ( If more space is needed, use additional pages and tracking number)

11. CONTRACTOR NAME AND TITLE 12. SIGNATURE AND DATE

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

14. COR DETERMINATION

ACCEPTED REJECTED_____________

15. CLOSE DATE

Corrective Action Report (CAR) Instructions

Block 1. Enter Contract Number.

Block 2. Enter Contractor Name.

Block 3. All CARs will be identified with a Tracking Number. The functional manager is the Issuing Authority for the Contracting Officer’s Representative (COR) generating CARs. By providing the tracking number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The tracking number will be made up of the Organization Symbol, 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., CONS14-001).

Block 4. Enter Type of Services.

Block 5. Enter Date Issued.

Block 6. 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 7.

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

2. 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 finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires immediate action or a greater amount of time to come to solution.

Minor findings may require a contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority.

Major findings require a contractor response. COR Functional Management and COR will also submit Major findings to the Contracting Officer (CO) for notification to the Contractor.

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, 11, and 12. CONTRACTOR COMMENTS, NAME OF CONTRACTOR ON SITE REPRESENTATIVE AND

TITLE, SIGNATURE AND DATE

Block 13. 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 14. The COR selects Accept or Reject after reviewing the contractor’s response and/or re-inspection of services

Block 15. The COR enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the Issuing Authority concurs. The COR routes the completed CAR to the CO as supporting documentation to the monthly surveillance status. If the contractor response is unacceptable the CO will be notified and the CAR remains open until advised by the CO corrective action has been taken.

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

1.2 Authority. Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provide for inspection, acceptance and documentation of the service called for in the contract o...