Quality Assurance Surveillance Plan

FA5000-11-R-0029

QQUUAALLIITTYY AASSSSUURRAANNCCEE SSUURRVVEEIILLLLAANNCCEE PPLLAANN ((QQAASSPP))

FOR

CORROSION CONTROL AND PAINTING SERVICES

AT

3RD

MAINTENANCE SQUADRON (3 MXS)

JOINT BASE ELMENDORF-RICHARDSON (JBER), ALASKA

21 JUNE 2011

This plan was reviewed and approved by the following members:

Lt Col Roel Zamora Signature:

Functional Commander

Mr. Norman Brault (Primary) Signature:

COR

Mr. Cesar Venegas Signature:

QAPC

Signature:

Contractor

Ms. Alfredia M. Tyler Signature:

Contracting Officer

TABLE OF CONTENTS

Subject Paragraph

1. Overview 1

2. Description of Services 2

3. Contract Quality Requirements 3

4. Duties and Responsibilities 4

5. Performance Management 5

6. Performance Assessment 6

7. Service Summary (SS) 7

8. Performance Assessment and Reporting Requirements 8

9. Documentation Requirements 9

Samples:

1. Monthly Performance Report/Certificate of Service

2. Performance Evaluation Report

3. Performance Assessment Report (PAR)

4. Corrective Action Report (CAR)

1.0 OVERVIEW.

1.1 Purpose. This Quality Assurance Surveillance Plan (QASP) prescribes how the Multi-Functional Team will assess the contractor’s performance and manage the acquisition throughout its life cycle. The team’s goal is successful contract performance. This plan addresses both Performance Management and Performance Assessment.

1.2 Performance Management. Performance Management is a cradle-to-grave process beginning with the identification of the requirement and ending when the service is completed or a follow-on acquisition begins. The performance management section outlines how the multi-functional team is going to manage the contract.

1.3 Performance Assessment. Performance assessment is evaluating, assessing, and documenting the contractor’s performance in accordance with the overall Quality Assurance Surveillance Plan.

The performance assessment section identifies the methods and procedures the Government will use to ensure it receives the services under contract and how performance information will be documented for use as past performance information.

2.0 DESCRIPTION OF SERVICES.

2.1 Scope of Work. The contractor shall perform Corrosion Control & Paint Program Services at JBER, AK and comply with all applicable Federal, State, and local laws, regulations, standards, and commercial practices. Services shall include: provide treatment of all corrosion, remove panel and replace to gain access to corrosion for treatment. All B1, B2, B4, B5 B7 maintenance stands will be disassembled media blasted and the individual part will be painted. Munitions trailers will be media blasted and other services described in the Performance Work Statement (PWS). The contractor shall provide all personnel, equipment, vehicles, tools, materials, supervision, training, and other items and services necessary except as specified in Section III, Government Furnished Property and Services of the PWS and any applicable appendixes.

2.2 Contract. Corrosion Control and Painting Services is a Firm Fixed Price (FFP), Indefinite Delivery Indefinite Quantity (IDIQ) Contract with a Five Year Period of Performance (one base year plus four option years).

3.0 CONTRACT QUALITY REQUIREMENTS.

3.1 Quality Program. The Contractor’s Quality Control Program requirements are defined in Section II of the PWS. The Contractor shall maintain, enforce, and document a Quality Control Plan (QCP). The QCP shall ensure the Government receives the level of quality that is consistent with requirements specified in the contract and each task order.

4.0 DUTIES AND RESPONSIBILITIES.

4.1 Multi-Functional Team (MFT).

4.1.1 A customer-focused team comprised of stakeholders in the acquisition. The MFT is responsible for requirements throughout the life of the contract.

4.1.2 Members of the MFT include the Functional Commander, Contractor Team Lead, Contracting Officer, Contract Specialist, Contracting Officer’s Representative (COR), Quality Assurance Program Coordinator (QAPC) and the Contractor who provides the service.

4.1.3 The term MFT has replaced the terms Business Requirements and Advisory Group (BRAG) and Integrated Product Team (IPT).

4.2 Functional Commander/Functional Director (FC/FD).

4.2.1 Reviews Contractor performance assessment documentation prepared by the COR on a regular basis to ensure performance is compatible with contract objectives. Meets at least on a quarterly basis with the Contractor counterparts to review and discuss performance.

4.3 Contracting Officer (CO).

4.3.1 The CO is responsible for ensuring performance of all necessary actions for effective contracting;

ensuring compliance with the terms and conditions of the contract, safeguarding the interests of the United States, ensuring Contractors receive fair, impartial, and equitable treatment and requests and considers the advice of Government functional experts as appropriate. The CO has the authority to resolve disputes or conflicts.

4.3.1.1 Delegates’ authority for inspection and/or acceptance IAW terms of the contract.

Informs the Contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

4.3.1.2 Ensures Phase I QA training for all COR has been completed before performing quality duties (primary POC is the Contract Specialist).

4.3.1.3 Inputs contract registration data into the Contractor Performance Assessment Reporting System (CPARS) database within 30 days of contract award. Initiates and ensures (CPARS) are completed as required (primary POC is the Contract Specialist).

4.3.1.4 Initiates and ensures Management and Oversight of Acquisition of Services Process (MOASP) reporting is completed as required.

4.4 Contracting Officer’s Representative (COR).

4.4.1 Responsible for Performance Management on this acquisition. Provides oversight of the multi-functional team (MFT) in management of the acquisition throughout the life of the requirement, ensures the program is within cost and schedule and reports to executive leadership.

4.4.2 Ensures requirement documents developed by the MFT satisfy mission requirements, are performance-based and foster innovation. This includes identifying mission essential services and developing the necessary documents in accordance with DoDI 3020.37, Continuation of Essential DoD Contractor Services During Crisis.

4.4.3 Processes, maintains, and updates quality assurance appointment/delegation memos.

4.4.4 Serves as the focal point for COR performance assessment activities. Ensures performance assessment is evaluated and documented IAW this plan.

4.4.5 Manages Contractor performance assessment data and prepares the annual CPARS evaluation.

4.4.6 Collects and documents all Contractor deficiencies, analyzes them for recurring instances and monitors all corrective actions. Reviews and presents for discussion at MFT meetings.

4.4.7 Attends MFT meetings and recommends to the MFT any needed improvements to the PWS and the Performance Plan.

4.4.8 Observes Contractor performance and provides current, accurate information and assessment.

4.4.9 Maintains accurate documentation of Contractor performance assessment in accordance with the Quality Assurance Surveillance Plan (QASP).

4.4.10 Prepares Monthly Performance Report and provides a quarterly report to the Contract Administrator.

5.0 PERFORMANCE MANAGEMENT

5.1 Performance Management. Performance is managed by a multi-tiered approach including the day-to-day management performed by the multi-functional team, periodic Performance Management Reviews for executive leadership, compilation and submission of Management and Oversight of Acquisition of Services Processes (MOASP) report and compilation and submission of the CPARS report.

5.2 Multi-Functional Team (MFT). The MFT is the first element of performance management. An MFT is established and meets on a periodic basis. The MFT will manage contract performance throughout its lifecycle with the goal of achieving cost savings, performance efficiencies and improved customer service. The MFT is responsible to ensure the acquisition requirements are met on schedule and within budget during its lifecycle. Responsibilities of the MFT include:

5.2.1 Manage contract performance IAW the Performance Plan.

5.2.2 Develop and foster partnerships for the common goal of continuous improvement. Establish effective communication with the Contractor for the overall good of the contract.

5.2.3 Identify opportunities to improve performance throughout the life of the contract. Implement changes to make these goals a reality.

5.2.4 Assess and report Contractor performance assessment data, to include the (CPARS).

5.2.5 Develop Performance Objectives and any other assessment items for periodic performance assessment.

5.3 Contractor Performance Assessment Report (CPAR). The CPAR assesses the Contractor’s performance and provides a record, both positive and negative, on a given contract for a specific period of time. Each assessment is based on objective facts and is supported by contract management data, performance management data, and performance assessment data. Data is entered into the web-based Contractor Performance Assessment Reporting Systems (CPARS).

5.4 Market Research and Best Practices. Market research is a continual effort performed throughout the acquisition life cycle. Market research supports the acquisition lifecycle process, supplying technical and business information about commercial technology and industrial capabilities.

5.4.1 Market Research can identify best practices for MFT consideration. This research is used for identifying opportunities to improve performance throughout the life of the contract, such as benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the Quality Assurance Surveillance Plan for implementing initiatives brought forward, and monitoring the success of implementation.

6.0 PERFORMANCE ASSESSMENT

6.1 Purpose. Performance Assessment detailed in this plan focuses on the performance outcomes required by the Performance Work Statement (PWS), not the methodology or process implemented by the Contractor. The objective of this plan is to rely on the Contractor’s Quality Control Plan (QCP) for quality control, effectively changing the Government’s role from “oversight” to “insight”. This plan identifies the methods and procedures the Government will use to ensure it receives the services under contract as identified in the PWS.

6.2 Approach. The approach is to gain confidence in the Contractor’s ability to provide satisfactory services through on-site assessment by the COR and analysis of performance reports and metrics.

The level of assessment and approach may be adjusted as needed to maintain confidence based upon the Contractor’s performance.

6.2.1 The key elements of this process are the Contractor’s Quality Control Plan complimented by the Government’s assessment of Performance Objectives.

6.2.2 Performance Objectives listed in this plan are based upon the Service Summary in the PWS. The performance objectives establish performance thresholds as the minimum acceptable quality level of performance that must be assessed, documented, and reported by the COR.

6.3 Use of Metrics. Metrics will be used wherever possible to track Contractor progress in meeting Performance Objectives. Metrics may be Contractor or Government generated. Required Contractor metrics are identified at paragraph four (4) of the PWS and must be submitted with the monthly status report.

7.0 SERVICE DELIVERY SUMMARY (SDS).

7.1 The purpose of the SDS is to set Contractor performance objectives and acceptable thresholds of performance and to provide objective measurement of the Contractor’s performance.

7.2 The SDS must cite the performance objective (or service required) and the threshold (specific standard) required. The SDS should align the Contractor’s performance with the contract performance objectives and focus on critical factors in meeting those objectives. The goal of the SDS is to promote continuous improvement in cost and performance.

7.3 Performance Objectives:

Performance

Objective

PWS

Paragraph* Performance

Threshold Method of

Surveillance

Management System:

The Contractor shall provide Operate an effective Corrosion Control and Painting Management System to ensure all tasks and programs are successful and completed IAW PWS.

1.1, 1.2, 1.4 80% or above Monthly Performance Rate

(MPR).

**AQL per 3MXG

MSEP

Periodic and

Customer Complaint

Provide emergency services IAW the PWS

1.4.7 No validated

unacceptable services

*100% Inspection;

Review 100% of Reports

** Customer Complaint

Contractor meets all security requirements.

4.3 Contractor ensures

all employees adhere to 100% of the security requirements addressed in the

PWS.

Periodic and

Customer Complaint

8.0 PERFORMANCE ASSESSMENT AND REPORTING REQUIREMENTS.

8.1 Monthly Assessment. The COR will monitor the Contractor’s performance monthly as it relates to the performance thresholds set forth in the Service Summary. The results will be documented on the Monthly Performance Report/Certificate of Service (MPR/COS) (Attachment 1) and forwarded to the COR by the tenth working day of the month. A quarterly assessment shall be provided to the Contract Administrator.

8.2 Assessment Method.

8.2.1 The Contractor’s performance will be monitored using any of the following methods:

8.2.1.1 Review of Contractor Data.

8.2.1.2 Meetings, Conferences with Contractor.

8.2.1.3 Periodic Assessment/Inspection.

8.2.1.4 Customer Feedback.

8.2.1.5 Third Party Audits or Assessments.

8.2.1.6 100% Inspections.

8.2.2 The report shall indicate what methods of assessment were used that month and shall detail the strengths, weaknesses, and any areas where the Contractor does not meet contract requirements.

8.3 Performance Ratings. The COR shall assign an overall rating for the month.

8.3.1 Definitions of ratings are as follows:

8.3.1.1 SATISFACTORY: Performance meets contractual requirements. The Contractor’s performance has been satisfactory and any corrective actions taken by the Contractor are acceptable.

8.3.1.2 MARGINAL: Performance does not meet some contractual requirements, or re-performance was necessary due to contractor negligence. The Contractor’s proposed corrective actions appear only marginally effective or were not fully implemented.

8.3.1.3 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 were ineffective.

8.4 Certificate of Service. The Certificate of Service section of the monthly report provides the CO with verification that all services and products were provided to the Government IAW all contract and task order requirements, as well as confirming the Contractor’s invoice has been reviewed and accepted for payment.

8.5 Contractor Performance Assessment Reporting System (CPARS). The Primary COR shall prepare the annual CPARS report if required. The Primary COR shall complete the Performance Evaluation Report (refer to Sample 2) if required. Copies of all Performance Evaluation Reports shall be forwarded to Contract Administrator and will serve as supporting documentation for the contractor’s annual assessment.

8.6 Performance Deficiency Resolution. If discrepancies are found during performance, the COR shall notify the Contractor’s Team Lead immediately upon discovery. Whenever possible, performance deficiencies should be resolved at the lowest practical level. The COR shall determine the type of deficiency notification to issue based on the severity of the deficiency. The Performance Assessment folder shall be documented to reflect the type of notification issued, the name of the individual contacted and date of notification.

8.6.1 Performance Deficiency Notification. There are three types of notification: verbal notification, written notification, and Corrective Action Report (CAR):

8.6.1.1 Verbal notification is primarily used for minor discrepancies or tasks that can be re-performed.

8.6.1.2 Written notification is used when verbal notification does not result in correction or whenever the COR feels that written documentation is necessary. The notification will contain the statement, “Notice to Contractor: Failure to correct may result in a Corrective Action Report

(CAR).”

8.6.1.3 A CAR will be issued by the COR when previous notifications failed to result in corrective actions or when severe deficiencies exist. The CAR will be forwarded to the CO through the COR for action.

8.7 Timely Feedback to the Contractor. The COR will provide timely feedback regarding any deficiencies or substandard work for contractor corrective action. Performance Evaluation Reports to support the annual CPARS assessment shall be provided to the Contractor when completed. A performance evaluation meeting shall be held at least quarterly to review performance and contract issues.

9.0 DOCUMENTATION REQUIREMENTS.

9.1 Federal Acquisition Regulation (FAR) 46.401 states the Government has the responsibility to ensure services conform to contract quality requirements. Records are to be maintained of actions taken to verify services conform to contact quality requirements, to include the method used to assess the Contractor’s performance, type and number of deficiencies found as well as actions taken to correct deficiencies.

9.2 Quality Assurance File. The purpose of the Performance Monitor Folder is to have a central point to file and maintain documentation relating to performance assessment. Ensure that all records created as a result of the processes prescribed in this publication are maintained in accordance with AFMAN 37-123, Management of Records, and disposed of in accordance with the Air Force Records Disposition Schedule located at https://afrims.amc.af.mil/rds series.cfm.

9.2.1 Contents. A Performance Monitor Folder must be developed and maintained by each COR. The folder may be maintained in hard copy, electronic format, or any combination thereof provided there is adequate backup of the data to preclude accidental loss. The folder must contain the following sections and may contain other sections or information the folder owner finds necessary.

9.2.2 Section 1. Appointment Letters. This section must include:

9.2.2.1 The COR’s appointment letter and Phase I and II training certificates.

9.2.2.2 The CO’s Letter of Delegation to the COR.

9.2.2.3 Appointment letter and training certificates for the alternate COR.

9.2.3 Section 2. Performance Work Statement.

9.2.4 Section 3. A copy of the contract Performance Plan.

9.2.5 Section 4. Activity/Correspondence. Documentation of meetings or communication (written or email) with the Contractor regarding performance.

9.2.6 Section 5. Records. Documentation of all contractor performance assessment. This section shall contain completed Monthly Performance Report/Certificate of Service forms, completed Performance Evaluation Reports and any Corrective Action Reports issued to the Contractor.

9.3 Disposition of Performance Monitor Folder. Upon completion of performance or in the event of COR departure, the Quality Assurance folder shall be submitted to the CA.

9.4 Providing the health of services acquisitions to senior leadership annually. Provide Management and Oversight of the Acquisition of Services Process (MOASP) reports on service acquisitions to the MAJCOM for consolidation. Subjects may include the effectiveness of the performance assessment and performance management of the service acquisition, the effectiveness of performance objectives, contract cost changes, acquisition planning, strategic sourcing issues, and the centralized multi-functional team, effectiveness of the multi-functional team and senior leadership business objectives.

SAMPLE 1

MONTHLY PERFORMANCE REPORT/CERTIFICATE OF SERVICE

COR: Report Month:

Organization: Date Submitted:

Contract No.: Contractor:

Contractor Team Lead:

Method of Performance Evaluation

At least every month, performance (Invoice Approval) will be evaluated by using one or more of the methods checked below. Check all that apply or may be used if deeper levels of scrutiny are required.

RATING: Satisfactory Marginal Unsatisfactory

TRAVEL: Date ___________ Destination ________________________

INVOICE APPROVAL:

Hours and travel billed under Invoice # __________ are accepted.

Invoice not yet received for this service period.

ODC’s billed were approved IAW task order requirements and accepted.

(COR signature)

NARRATIVE

1. SPECIAL CONDITIONS: (Describe any special conditions, which may have influenced contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the contractor was required or unable to perform and the effect they had on contractor performance).

2. CRITERIA:

Technical Performance:

Program Management:

Personnel Attraction/Retention:

Security:

Cost Management:

Special Interest (if applicable):

3. DEFICIENCIES:

4. AREAS FOR IMPROVEMENT:

5. ADDITIONAL COMMENTS:

INSTRUCTIONS

1. Special Conditions. Describe any special conditions that may have influenced Contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the Contractor was required to perform and the effect they had on contractor performance. If any action initiated by the Government or outside source results in the Contractor’s inability to perform requirements of the task order PWS it shall be considered a special condition. The Contractor shall not be held accountable for conditions that are outside of their control.

2. Criteria. Describe the Contractor’s performance relative to each of the Service Summary areas (as applicable). Include strengths, weaknesses, and performance trends (i.e. worsening, steady, improving). Describe any corrective actions that are being planned or taken, as appropriate.

3. Deficiencies. Identify Contractor performance deficiencies. Discuss any areas where repeated Government intervention was required, particularly if such intervention still failed to resolve the problem.

4. Areas Needing Improvement. Describe any areas where the Contractor needs improvement, follow-up, etc. Be specific; cite areas that could result in potential negative impact to the task order execution if not appropriately addressed. Indicate the Contractor’s progress in showing demonstrated performance improvement, as applicable, from previous monthly reports.

5. Additional Comments. Identify any areas of notable achievement or areas where the

Contractor exceeds contract requirements, particularly if resulting in cost, time, energy, or process-related savings to the government.

Rate the task output and not the individual Contractor employee to avoid any appearance of personal services or individual preference on the part of the Government. Document the Contractor’s performance against the contract requirements only, not status, employee names, individual employee accomplishments or your “opinion” as a Government COR. Use the “insight” approach to performance assessment unless a deeper level of scrutiny is warranted.

SAMPLE 2

PERFORMANCE EVALUATION REPORT

Contract Number: _______________________ Customer’s Organization: ______________________________

Task Order Title: ______________________________________________________________________________

1. Review Type (Check Box): QUARTERLY END OF TASK

2. This report is used to evaluate the Contractor quarterly during and at the end of each task. In addition to providing verification that performance thresholds are being met, the ratings and comments provided on this checklist help to determine the contractor’s annual CPARS ratings.

3. The ratings used will be as follows: Exceptional (E), Very Good (VG), Satisfactory (SAT), Marginal (MAR), Unsatisfactory (UNSAT) and Not Applicable (N/A). Ratings will be in accordance with the definitions described in the Performance Plan section 4.4.3.1. “N/A” should be used if the ratings are not going to be applied to a particular area for evaluation.

4. AREA OF EVALUATION:

4.1 QUALITY OF PRODUCT OR SERVICE. Assess the contractor’s conformance to task order requirements, specifications and standards of good workmanship.

4.1.1 Did the work performed satisfy technical requirements/stated objectives? Was the work professional and did it meet standards?

E VG SAT MAR UNSAT N/A

Comments:

4.1.2 Were written deliverables clear, concise, correctly formatted and did they meet grammatical, spelling and punctuation standards? Were reports/data accurate?

4.2 SCHEDULE. Assess the timeliness of the contractor against the completion of the task order, milestones, delivery schedules and administrative requirements.

4.2.1 Was the work timely? Did the contractor meet deadlines and scheduled milestones?

4.2.2 How does the contractor rate in terms of quick response to tight deadlines and/or contingencies?

4.2.3 Are deliverables completed in a timely manner?

4.3 COST CONTROL. Assess the contractor’s effectiveness in forecasting, managing and controlling task order cost.

4.3.1 Does the contractor keep within the total estimated cost?

4.3.2 Did the contractor do anything innovative that resulted in cost savings?

4.3.3 Were billings current, accurate and complete?

4.4 BUSINESS RELATIONS. Assess the integration and coordination of all activity needed to execute the task order, specifically the timeliness, completeness and quality of problem identification, corrective action plans and the contractor’s history of reasonable and cooperative behavior.

4.4.1 Is the contractor oriented towards the customer? Was the contractor responsive to customer/COR requirements?

4.4.2 Is the contractor proactive in problem identification and resolution?

4.5 MANAGEMENT OF KEY PERSONNEL. Assess the contractor’s performance in selecting, retaining, supporting and replacing, when necessary, key personnel.

4.5.1 Did the contractor provide key personnel that demonstrate leadership, initiative and technical expertise for successful task order completion?

4.5.2 Did the contractor provide guidance and support key personnel so they were able to work effectively?

4.5.3 If a replacement for a key person was necessary did the replacement meet or exceed the qualifications needed for the position?

4.6 Did the contractor comply with applicable portions of the DD Form 254?

YES NO

COR Signature

SAMPLE 3

Performance Assessment Report (PAR)

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 BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY

(IF DEFICIENCY BOX 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)

6. CONTRACTOR REPRESENTATIVE REMARKS

PERFORMANCE ASSESSMENT REPORT

Continuation Sheet

(Number to correspond with applicable Item Number on reverse)

Performance Assessment Report (PAR)

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 Performance Work Statement (PWS) 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.

SAMPLE 4

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. TYPE OF DEFICIENCY:

MAJOR MINOR

FINDING:

FINDING IMPACT:

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

8. CONTRACTING OFFICERS REPRESENTATIVE (COR)

TYPED NAME AND GRADE:

SIGNATURE AND DATE:

9. ISSUING AUTHORITY

TYPED NAME AND GRADE:

SIGNATURE AND DATE:

10. CORRESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE:

11. CONTRACTOR RESPONSE

Accepted Rejected

12. CLOSE DATE (XX Month 20XX):

CAR Instructions

Block 1. Enter Contractor Name

Block 2. Enter Contract Number

Block 3. Enter Contract Name or Type of Service

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.

Block 6. a. All CARs will be tracked with a Control Number.

b. The COR or designee is the Issuing Authority for all CARs.

c. The control number will be made up of the task order number; the last two digits of the calendar year and a three digit number starting with 001 and progressing upward throughout the calendar year.

d. The COR will attach all CARs to their performance evaluation report.

Block 7. Check the block that indicates whether the identified deficiency is a Major or Minor finding. Definitions of Major and Minor findings are as follows:

Major Finding. A condition having a significant adverse effect on the quality of the activity under review such as:

a. Failure to meet a Performance Threshold

b. Significant mission degradation in any contractor operated function.

c. A situation that is likely to result in hazardous or unsafe conditions for individuals or any other Government resources coming into contact with the work.

d. Failure to provide adequate corrective action to preclude reoccurrence of Government identified findings.

e. Failure to provide corrective action to deficiencies identified within a prescribed suspense period.

f. Any failure to adhere to security regulations that results in a security incident.

Minor Finding. A departure from established standards having little bearing on service provided.

However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring (failure to provide adequate corrective action to prevent reoccurrence of findings). In this case, the minor finding should be elevated to the level of a major finding and a new CAR initiated.

a. 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 brief but complete quotation of the contract reference.

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

c. Normal suspense time for contractor response is ten working days.

Block 8. The COR initiating a CAR signs and dates the report.

Block 9. The COR or designee signs and dates the report.

Block 10. Upon review of the contractor’s reply, the initiator 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 accepts or rejects the contractor’s response.

Block 12. a. The COR enters a close out date after acceptance of the contractor’s response.

b. The COR will forward the CAR to the contractor. The COR will attach copies and record results of any reports in the Monthly Performance Report/COS. Copies of completed CARs will be maintained in the Performance Assessment folder.

c. If a CAR is not deemed closeable due to incomplete or unacceptable contractor response, the CAR will be returned to the contractor for additional information.