FIAR QASP 20 Apr 2012.docx

Quality Assurance Surveillance Plan Attachment 4 Quarterly Performance Assessment Report (PAR) Template

20 Apr 2012 (Original)

COMPLIANCE WITH THIS DOCUMENT IS MANDATORY

NOTICE: This Document is available in digital format through ACC AMIC/DRQQ

Pages:

TABLE OF CONTENTS

TABLES

ATTACHMENTS

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 Quality Assurance Manager (QAM) has developed the methods for administering and evaluating contract performance. The owning Functional Director (FD) and Program Manager (PM) 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 FD, QAM, CORs and CO. The Contractor may receive a courtesy copy in order to further enhance communications with the Contractor, but shall not be considered as part of the contract.

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL.

2.1 This effort is contracted through HQ ACC Acquisition and Management Integration Center (AMIC) DRA Division. The address for Contracting Management is:

11817 Canon Blvd Newport News, VA 23606

2.2 Contracting Management Team.

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: 575-6186 or Commercial 757-225-6186.

2.2.1 Contract Manager (CM) The CM is the Government agent within the contracting office who performs day-to-day administration of the contract. The CM can be reached at DSN: 575-7706 or Commercial 757-225-7706.

2.2.2 Program Manager (PM). The PM assists customers with requirements development and definition, PWS modifications, deficiency resolution, and portfolio management.

The PM can be reached at DSN: 575-6190 or Commercial 757-225-6190

2.2.3 Quality Assurance Manager (QAM). The QAM identifies mission essential services, reviews contract performance documentation provided by the COR on a regular basis to ensure performance is compatible with contract mission objectives, and is responsible for managing the overall QA program.

The QAM can be reached at DSN: 574-9372 or Commercial 757-764-9372

2.2.4 Functional Director (FD)/Functional Commander (FC). FD/FCs are the mission owners of the service to be or already acquired. They hold overall responsibility for the success of the acquisition. The FC/FD is responsible for ensuring properly trained CORs are available with sufficient technical expertise in order to adequately inspect and accept contracted services. The FC/FD receives contract specific training by the CO/QAM.

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 proficiency in Contractor surveillance and evaluation 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/QAM and CO led training), and appointed by the CO.

2.3 Contractor Key Personnel. Company Name - Office address, and Commercial Number

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.

2.3.2 Project/Task Lead. The Project/Task Lead is responsible for technical or quality control oversight, this individual may be the Project Manager (Delete if not applicable)

3.0 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 program 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, PM, QAM, 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. For the FIAR program, two primary methods of surveillance are normally used: one hundred percent inspection and periodic audits. Other methods of surveillance must be fully documented and approved by the CO and QAM before implementation. Information obtained from these activities may be used by the COR/QAM 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 QAM 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 surveilled via one hundred percent inspection or by random sampling, 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.

3.2 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.

1. Management/Staffing Plan

2. Organizational Conflict of Interest (OCI) Plan

3. Transition Plan Small Business Subcontracting Plan Reference: ID/IQ Request for Proposal Due Date: All plans listed at left will be submitted as part of the ID/IQ Proposal, and will be incorporated into the contract.

Delivery:

· All documents shall be delivered IAW the criteria established in the ID/IQ RFP Technical Criteria

· The OCI Plan shall also be submitted IAW RFP/contract section 4, paragraph 4a-6

· The Small Business Subcontracting Plan shall also be submitted IAW RFP/contract section 4, paragraph 4a-7 Updates: The Contractor shall provide any changes or updates to the Government PMO (CO, Program Manager, Quality Assurance Manager (QAM)) and COR prior to Contractor implementation.

CO

Due Date: The Contractor shall provide a QCP to the Government PMO and COR, as specified in PWS paragraph 6.2, NLT 10 calendar days after AF FIAR Support ID/IQ contract award.

Updates: The Contractor shall provide any changes or updates to the Government PMO and COR prior to Contractor implementation.

COR, QAM

Data Accession List CDRL

Reference: PWS paragraph 7.5.1 Due Date: Data shall be as of the last day of the contractual quarter. First submittal shall be NLT 90 days after contract start. Following submittals shall be NLT the 15th calendar day (last weekday before the 15th calendar day if it falls on a weekend or holiday) following the contractual quarter.

Updates: Quarterly per above.

COR, QAM

Due Date: The Contractor shall attend the Kick-Off Meeting within 10 business days of contract award.

Details:

· Government PMO responsible for setting up meeting;

Contractor shall provide list of personnel performing work on Special Program requiring TS/SCI clearance

PM, CO

Due Date: The Contractor shall provide a Subcontractor List to the Government PMO NLT 10 calendar days after AF FIAR Support ID/IQ contract award.

Updates: The Contractor shall disclose new teaming partners/ subcontractors prior to that entity’s participation in response to a task order solicitation. The Contractor shall coordinate with the CO prior to adding or deleting subcontractors from the prime’s subcontractor list. The Contractor shall provide timely notification to the CO of any acquisitions or mergers that impact this contract.

CO, PM, QAM, COR

Due Date: The Contractor shall provide the Quarterly Lapse Rate Report every Quarter on 15th of the month using the following format:

· Provide data for three (3) full months preceding due date

· Initial Quarterly lapse rate due for first three (3) full months of performance in addition to any portion of a first month after award (for instance, if the contract is awarded 23 Jul 12, the first report would be due 15 Nov covering Aug, Sep and Oct 12 and any performance in Jul 12) Subsequent reports due on following quarter (Feb, May, Aug, Nov 13, etc. using example above)

CO, PM, QAM, COR

Due Date: The Contractor shall submit ISR/SSR using the Electronic Subcontracting Reporting System (eSRS) at http://www.esrs.gov) IAW FAR 19.704(a)(10)(iii)(A) and guidance in eSRS.

CO, QAM

Due Date:

· Verbal and electronic notification identifying the nature of the issue to the COR within three (3) business hours of identification.

Written recommendations and corrective actions required to meet FIP and AF Acceleration Plan milestones/timelines within eight (8) business hours of identification, unless otherwise approved in writing by the applicable COR.

Functional COR

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.

Provide and retain qualified key personnel

Key personnel possess qualifications, certifications and experience as identified in Management/Staffing Plan Performance is acceptable when: a) Qualified key personnel are on the job at contract start, unless previously negotiated by the CO.

b) Vacancies are filled with qualified key personnel within 14 days of vacancy, unless approved in writing or otherwise directed in advance by the CO

AND

c) There is no mission impact due to position vacancies or unqualified personnel.

One-time 100% Inspection – Verify all Key Personnel qualifications at contract start

100% Inspection – Verify Key Personnel vacancies filled within 14 days, and verify qualifications met for each occurrence

subparagraphs

Performance is acceptable when:

a) 100% of deliverable requirements are met and received on time AND

b) Critical information is accurate.

100% Inspection of deliverables Periodic Inspection for schedule management

Subcontracting Requirements IAW contract Section 4, paragraph 4a-7 OR proposed goals, whichever is greater for each category.

3.2.3 In addition to surveilling items in the Services Summary, the Government is required to conduct an Initial Contract Performance Review IAW AFI63-101. 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. This review shall take place within 30 days after the contractor assumes full performance responsibilities. (i.e. after completion of transition/mobilization). Areas of particular interest are:

3.2.3.1 Contractor’s business relationship with the PMO from contract award, through transition, to full first month’s performance.

3.2.3.2 Contractor delivers on proposal elements incorporated into the contract

3.2.3.3 Quality and timeliness of Contractor’s first deliverables

3.2.3.4 Contractor’s implementation of their Quality Control Plan; see paragraph 3.2.5.

3.2.4 Surveillance Checklist (Attachment 3). The COR is responsible for developing standard procedures for Surveillance Checklists and may request QAM 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 QAM. 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.

3.2.5 Contractor’s Quality Control Plan (QCP). A Contractor's internal inspection system, in the form of a QCP, are written procedures which provide direction on how Contractor employees are to perform. Once submitted, the COR and QAM will evaluate whether the QCP meets PWS requirements and make an accept/reject recommendation to the CO. Once accepted, any deviations from the QCP by contractor personnel will be treated as non-conformances and handled IAW paragraph 3.3.3. The COR will forward any non-conformances to the QAM and CO for appropriate action.

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 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. Audit or Inspection results that fall below contractual standards shall be identified as non-conformances; this determination is made by the CO. When a COR believes there is a non-conformance, provide CO/QAM with a summary of the issue, referencing the specific PWS/TO requirement that the Contractor did not meet, plus the objective evidence that supports the COR’s conclusion. If the CO determines a non-conformance has occurred, follow the procedures in paragraph 3.3.3.2 for contractor notification. All non-conformances will be documented IAW paragraph 3.3.3.2.3. All non-conformances will be reported IAW paragraphs 3.3.4 (if applicable to Service Summary) and/or 3.3.5.

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 may 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 (or has the reasonable potential to impact) 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 nonconformance is found during inspection of the Contractor’s performance, the CO 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.

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS.

Minor

Step 1: First Notice Step 2: Second Notice

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 CO to the Contractor of minor non-conformances. The COR will provide an electronic version of attachment 1 with the applicable information to the CO and QAM. 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/QAM 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 CO may 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.

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 QAM that a CAR be issued when previous notifications failed to result in corrective actions or when severe nonconformances exist. If a CAR is deemed necessary, the QAM 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, signing, and sending to the Contractor for their action.

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 Contractor must adhere to their QCP regarding corrective action; the corrective action must have already begun; and the Contractor's actions must correct the nonconformance and if applicable, be within specified standards.

3.3.3.2.2.2 If the corrective action is deemed UNSATISFACTORY by the QAM 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 unsatisfactory 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 (paragraph 3.2.2) and update in CMS monthly.

3.3.5 Quarterly Performance Assessment Report (PAR) (Attachment 4). The COR will accomplish quarterly PARs documenting Contractor performance for the preceding quarterly performance period. This is a critical document giving the CO performance oversight on all services and ensures all products during the quarterly period were provided to the Government IAW all contract and TO requirements. The QAM will notify/suspense the COR for providing information on the Contractor’s performance. The COR will provide the both QAM and FD a copy of the completed report.

3.3.5.1 Quarterly PAR Evaluation Categories. The quarterly PAR will also provide a brief summary of Contractor performance covering, as applicable, the categories in Table 4 below.

TABLE 4 – PERFORMANCE ASSESSMENT REPORT (PAR) EVALUATION CATEGORIES

3.3.5.2 Performance Rating Definitions. The COR rates each of the quarterly PAR categories, as applicable, based on the Contractor’s actual performance during the reporting period (see Table 5 below). These ratings can also be used for inputs to the monthly log and 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 show what PWS was exceeded and how that benefitted the Government.

TABLE 5 – PERFORMANCE RATING DEFINITIONS

3.3.6 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 contracts that exceed $1M total contract value. The COR (or PM) will be designated as the Assessing Official Representative (AOR) 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 AOR will use 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.

4.0 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

· 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 QAM 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. 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.

5.0 COR FOLDER. The Primary COR will establish and maintain a COR folder for each task order. The COR folder must contain the tabs and contents outlined below in Table 6. 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 6 – COR FOLDER TABS & CONTENTS

(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 FA4890-11-D-000X)

1. Contracting Officer Representative: (Mr. John Doe)

2. Office: (COR Office symbol)

3. Date of First Notice: (if 2nd notice)

4. Date response due from Contractor: (dd-mmm-yyyy)

5. Requirement Reference: (PWS section and paragraph; Deliverable, Services Summary (SS))

6. Performance Requirement: (State what action the Contractor should have performed IAW the reference above)

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

(CO signature block))

Attachment 1 First or Second Notice Template

Attachment 2 Corrective Action Request (CAR) Template CAAS IV Quality Assurance Surveillance Plan Attachment 3 Performance Assessment Report (PAR) Template

Measure

TBD

Attachment 3 Surveillance Checklist Template

CAAS IV Quality Assurance Surveillance Plan Attachment 4 Performance Assessment Report (PAR) Template

MEMORANDUM FOR (Customer)

FROM (QAM)

SUBJECT: Quarterly Performance Assessment Report (PAR), Contract FA4890-11-D-00XX-

1. This quarterly PAR addresses all activities in support of the (insert program name) under the subject contract is for the period (insert applicable dates or closeout for end of TO).

2. Functional Director/Functional Commander: Name, Office Symbol, DSN #

3. Rating Summary: Rate each area as it applies to the reporting period.

(required for Exceeds and Below ratings)

Quality of Product or Services

Schedule

Cost Control

Business Relations

Management of Key Personnel

4. Performance Summary: Summarize performance as it applies to the reporting period. Address any items left open or unresolved from previous reporting period.

Any current or unresolved past issues with the Contractor (performance, personnel, etc.)?

If yes, nature of issue and how the Contractor management controlling and resolving issue(s)

Any First/Second Notices or CARs issued?

Provide date, notice type and how effectively the Contractor management controlled and resolved issue(s)

Any replacement of personnel or vacancies in staffing?

Provide inclusive dates of vacancies/replacement

Were current, accurate and complete invoices/billing provided?

Provide dates and reason for issue (costing information missing, labor hours incorrect, incorrect CLIN(s), etc.)

image2.emf

AF FIAR Spt CDRL A001 Data Accession List

CONTRACT DATA REQUIREMENTS LIST (CDRL)

(1 Data Item)

Form Approved

OMB No. 0704-0188

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in Block E.

A. CONTRACT LINE ITEM NO.

B. EXHIBIT

C. CATEGORY:

A

TDP ____

TM _____

OTHER MGMT

D. SYSTEM/ITEM

E. CONTRACT/PR NO.

F. CONTRACTOR

FIAR SUPPORT

FA4890-12-R-0006

TBD

1. DATA ITEM NO.

2. TITLE OF DATA ITEM

3. SUBTITLE

17. PRICE GROUP

A001

DATA ACCESSION LIST

4. AUTHORITY (Data Acquisition Document No.)

5. CONTRACT REFERENCE

6. REQUIRING OFFICE

18. ESTIMATED

TOTAL PRICE

DI-MGMT-81453A

See Block 16

ACC AMIC/DRA

7. DD 250 REQ

9. DIST STATEMENT

10. FREQUENCY

12. DATE OF FIRST SUBMISSION

14. DISTRIBUTION

LT

REQUIRED

QUARTERLY

SEE BLK 16

a. ADDRESSEE

b. COPIES

8. APP CODE

SEE BLK 16

11. AS OF DATE

13. DATE IF SUBSEQUENT SUBM.

Draft

Final

SEE BLK 16

SEE BLK 16

Reg

Repro

16. REMARKS

ACC AMIC/DRA

(5) SEE ID/IQ PWS PARAGRAPH 7.5.1 AND DATA ITEM DESCRIPTION- EXHIBIT B FOR GUIDANCE.

(9) DISTRIBUTION CODE C, DISTRIBUTION AUTORIZED TO US GOVERNMENT AGENCIES AND THEIR CONTRACTORS (ADMINISTRATIVE OR OPERATIONAL USE). OTHER REQUESTS FOR THIS DOCUMENT SHALL BE REFERRED TO ACC AMIC/DRA OR A HIGHER AUTHORITY.

(11), (12), (13) DATA SHALL BE AS OF THE LAST DAY OF THE CONTRACTUAL QUARTER. FIRST SUBMITTAL SHALL BE NLT 90 DAYS AFTER CONTRACT START. FOLLOWING SUBMITTALS SHALL BE NO LATER THAN (NLT) THE 15TH CALENDAR DAY (LAST WEEKDAY BEFORE THE 15TH CALENDAR DAY IF IT FALLS ON A WEEKEND OR HOLIDAY) FOLLOWING THE CONTRACTUAL QUARTER (ACTUAL DATES TBD).

(14) SEND REPRODUCIBLE REPORTS IN ELECTRONIC FORMAT COMPATIBLE WITH MICROSOFT OFFICE 2007 TO ORGANIZATIONAL E-MAIL BOXES AT ACCAMIC.DRA@LANGLEY.AF.MIL AND ACCAMICQUALITY@LANGLEY.AF.MIL.

ACC AMIC/DRQ

SAF/FMP

15. TOTAL ▬▬▬▬►

G. PREPARED BY

H. DATE

I. APPROVED BY

J. DATE

MAUREEN A. THIBODEAU, DSN 575-6190

21 Mar 2012

STEVEN F. PILLO, DSN 575-6186

21 Mar 2012

DD FORM 1423-1, FEB 2001 PREVIOUS EDITION MAY BE USED Page 1 of 1 Pages image3.emf

CDRL Data Item Description (DID)

DATA ITEM DESCRIPTION

Title: DATA ACCESSION LIST (DAL)

Number: DI-MGMT-81453A Approved Date: 20070927 AMSC Number: F9020 Limitation: N/A DTIC Applicable: No GIDEP Applicable: No Office of Primary Responsibility: 11 (ASC/ENS) Applicable Forms: N/A Use/Relationship: The purpose of the Data Accession List (DAL) is to provide a medium for identifying contractor internal data which has been generated by the contractor in compliance with the work effort described in the Statement of Work (SOW). The DAL is an index of the generated data that is made available upon request.

a. This data item is not a substitute for standard data requirements that are contractually applied.

b. This DID contains the format, content, and intended use information for the data deliverable resulting from the work task described in the solicitation.

c. This DID supersedes DI-MGMT-81453.

Requirements:

1. Referenced Document. The applicable issue of the documents cited herein, including their approval dates and dates of any applicable amendments, notices, and revisions, shall be as cited in the contract.

2. Format. The Data Accession List shall be in the contractor’s format.

3. Content. The DAL shall specify internally generated data and computer software used by the contractor to develop, test, and manage the program. The format and content of the data listed on the DAL shall be as prepared by the contractor to document compliance with the SOW Task requirements.

3.1. The list shall include the identification number, title which shall describe content, security classification, and in-house release date.

3.2. The list shall also identify the Government Rights to the data using the following codes:

“GPR” – Government Purpose Rights “UR” = Unlimited Rights “LR” = Limited Rights

“RR” = Restricted Rights (Computer Software only)

4. End of DI-MGMT-81453A.

DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited.

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Quarterly Lapse Rate Report Template Lapse Rate

AF FIAR Support - Quarterly Lapse Rate Report

CONTRACTOR: XYZ Contracting CONTRACT NUMBER: FA4890-XX-D-XXXX

REPORT PERIOD: 15 XXX XX - 14 XXX XX

TO # Contract Type # TO Perf. Days in Qtr FTE Title (Labor Category) FTEs on Contract Key Per. FTEs Total FTEs Total # FTE Perf. Days in Qtr # Days Reduced by PWS Mod Vacant FTE Days in Qtr Task Status

Core Optional Core Optional

0300 FFP LOE 55 Program Manager 2.0 2.0 2.0 1.5 3.5 192.5 13.0 New TO with 15 Jul 10 performance start = 55 performance days this quarter; delay in award, so proposed capability no longer available; recruited better qualified replacement with start date of 3 Aug 10 (15 Jul - 3 Aug 10 = 13 Vacant FTE Days in Qtr)

Computer System Analyst 1 0.0 0.0 0.0 Person A left 10 Sep 10 (last work day was 10 Sep 10), person B started 13 Sep 10: replacement without vacancy

0301 FFP 64 Program Manager 15.0 0.0 15.0 0.0 15.0 960.0 5.0 Person C left 24 Sep 10 (last work day 23 Sep 10); Person D started 12 Oct 10 (will report remaining vacancy days on next report )

Instructor Level 1 0.0 0.0 4.0 Person X left 22 Sep 10 (last work day 23 Sep 10); Person Y hired to start 29 Sep 10

Logistician 0.0 0.0 0.0 Person Q left on 25 Sep 10 (last day worked 24 Sep 10); position left vacant at Contracting Officer direction.

Instructor Level 2 0.0 0.0 14.0 Person Z left 11 Sep 10 (last day worked 10 Sep 10); position still vacant

Subject Matter Expert 0.0 0.0 28 Duties no longer required effective w/PWS Rev 4 dated 2 Jul 10, last day of task performance was 20 Aug 10.

0501 FFP LOE 64 5.0 2.0 5.0 2.0 7.0 448.0 No lapse events to report

53 Computer System Analyst 1 0.0 2.0 0.0 2.0 2.0 106.0 TO Mod 4 exercised 2 Optional FTEs on task 4.5 with performance beginning on 19 Jul 10

0600 FFP 64 Project Manager (Key) 2.0 0.0 2.0 0.0 2.0 128.0 PWS does not require a specific number of FTEs but task designated "Key"

Ops Research Analyst (Key) 0.0 0.0 PWS does not require a specific number of FTEs but task designated "Key"

0.0 0.0

0.0 0.0

Totals 24.0 6.0 24.0 5.5 29.5 1834.5 28 36.0

Quarterly Lapse Rate 1.99%

INSTRUCTIONS: The above table is the required Excel spreadsheet format (no PDF files). There is a grace period of 14 calendar days from task order (TO) award or Performance Work Statement (PWS) modification increasing the number of Full Time Equivalents (FTE) BEFORE counting vacancy days. During that grace period, any vacancies will not count against the Contractor's lapse rate and the Contractor shall note these circumstances in the Task Status column.

1. Contractor, Contract Number, Report Period: Provide Contractor name and Contractor's CAAS IV contract number, then input quarter for reported information.

2. Task Order Number and Contract Type: Provide four-digit TO number and contract type - Firm Fixed Price (FFP) or FFP Level of Effort (FFP LOE)

3. Number (#) of TO Performance (Perf.) Days in Quarter (Qtr): Provide the number of performance days in the quarter. Performance days are determined by the PWS, usually Monday thru Friday minus federal holidays. Each TO may vary, increasing or decreasing the number of performance days for that TO. For instance, if reporting on 1 Jul - 30 Sep 10, there would be 64 performance days (66 minus 1 for Independence Day and 1 for Labor Day.) If a TO starts during the reporting period, the number of performance days will be from the start date thru the end of the quarter. See example in TO 0300 above.

4. FTE Title (Labor Category): List all FTE titles /labor categories assigned to each TO. If there is more than one labor category, there will be more than one row for that TO. If the position is designated as "Key," indicate as such after the title of the labor category. If there is more than one contractor employee working in that labor category and one is key and the other is not, enter as two separate lines. A "Key" position is identified in multiple ways: (i) the Government designates "Key" positions in the TO solicitation; (ii) the Contractor designates "Key" positions as part of a TO proposal; (iii) by mutual agreement between the CO and the Contractor upon contract award; (iv) by the CO during Contractor performance on the TO. When a position is designated as “Key” the lapse rate starts as soon as the designated position becomes vacant.

5. Full Time Equivalents (FTE) on Contract: Provide the total number of FTEs assigned to work each TO in each labor category (if applicable). Input number of core FTEs and optional FTEs either stipulated in the TO or agreed to as a result of negotiations resulting in the TO award. For FFP TOs that do not specify a required number of FTEs in the TO, provide the total number your company has assigned to the TO, to include any vacancies or positions for work not getting accomplished. Document any changes and/or discussions that have occurred since the previous reporting period in the Task Status column.

6. Key Personnel FTEs: Input all FTEs currently active on the TO in a format showing the number of Core FTEs and the number of Optional FTEs (as described above), to include those in FFP TOs that don't specify the number of FTEs) required for the TO at the BEGINNING of the reporting period, including only EXERCISED and optional FTEs.

7. Total FTEs: This number auto calculates the total number of active FTEs, to include vacant positions. It is the Contractor's responsibility to ensure the numbers are accurate.

8. Total Number FTE Performance Days in Quarter: Calculated by multiplying the Number of Performance Days in Qtr by Total FTEs.

9. Number Days Reduced by PWS Modification (mod): If a PWS revision reduces the number of FTEs on the TO, enter the number of days remaining in the quarter AFTER the FTE position is eliminated. See example on TO 0301, Subject Matter Expert, above.

10. Vacant FTEs: List Vacant FTE Days in quarter. For example, if a Program Manager position was vacant for 13 days in the 1 Nov 09 - 31 Jan 10 reporting period, the columns under Vacant FTEs would show Program Manager and 13. List vacant FTE positions individually. If there is more than one position vacant, there will be more than one row for that TO. The total number of FTEs includes all vacant FTE positions.

a. TOs with designated numbers of FTEs: Follow the above procedures if a PWS lists a specific number of FTEs required to perform on the TO.

b. FFP TOs without designated numbers of FTEs or "Key" positions: If the PWS does NOT list a specific number of FTEs required to perform on the TO, the Contractor will only report on Contract personnel working in "Key" positions.