FY15_QASP_EMCS__12_Feb_15.pdf

ATTACHMENT #2

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

OPERATION AND MAINTENANCE OF

ENERGY MANAGEMENT AND

CONTROL SYSTEMS

(EMCS)

JBER

12 February 2015

TABLE OF CONTENTS

Subject Page

1. Overview 2

2. Description of Services 2

3. Contract Quality Requirements 2

4. Duties and Responsibilities 3

5. Performance Management 5

6. Performance Assessment 6

7. Service Delivery Summary (SDS) 8

8. Performance Assessment and Reporting Requirements 8

9. Documentation Requirements 10

1. OVERVIEW

1.1 Purpose. This performance plan 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 performance 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. DESCRIPTION OF SERVICES

2.1 Service. The contractor shall provide all management, transportation, tools, supplies, equipment, and labor necessary to perform maintenance of the Energy Management and Controls Systems (EMCS) located on Joint Base Elmendorf Richardson (JBER), Alaska.

The contractor shall perform contracted services in accordance with applicable trade practices and Engineering Technical Letter (ETL) 11-1 and Air Force Instruction (AFI) 33-210. The EMCS shall be maintained per national electrical code requirements. A full description of services provided is outlined in Section I of the Performance Work Statement (PWS).

2.2 Scope of Work. The contractor shall provide technical support to JBER EMCS personnel for maintenance of the EMCS servers’ equipment hard drives and all databases. All software upgrades and data base maintenance shall be performed with the approval of a JBER industrial Control System (ICS) administrator. Any and all equipment must be 100% compatible and compliant with Automated Logic Controls (ALC) equipment and software; to include Joint Interoperability Test Command (JITC) approved computer equipment.

2.3 Contract. This is a Firm Fixed Price (FFP) commercial contract; thus FAR Clause

52.212-4 applies.

3. CONTRACT QUALITY REQUIREMENTS

3.1 Quality Program. The Contractor’s Quality Control Program requirements are defined in 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. The Government will rely on the contractor’s existing quality control plan IAW FAR 12.208.

3.2 Product Quality. The quality control program is the driver for product quality. The contractor is required to develop a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program approved at the beginning of the contract provides the measures needed to lead the contractor to success.

4. 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, but are not limited to, the Functional

Commander/Director, Contracting Officer (CO), 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 (referred to as FC for remainder of plan).

4.2.1 The FC is the person responsible for the contracted services and the surveillance personnel under their cognizance. The FC reviews contractor performance assessment documentation prepared by the COR personnel on a regular basis to ensure that performance is compatible with contract objectives. The FC meets with contractor counterparts at least semi-annually to review and discuss performance. The FC should complete training prior to appointing COR personnel.

4.2.2 The FC is required to nominate, in writing to the CO, competent and capable functional experts as primary and alternate quality assurance personnel also referred to as Contracting Officer Representatives (COR). The number of CORs required to perform surveillance of the contractor is determined by the FC. The FC will ensure nominated COR get proper quality assurance training from 673 CONS. The FC will provide oversight and leadership over the CORs. If a change in FC occurs, the new FC needs to be trained and a new appointment letter needs to be provided to the CO.

4.2.3 The FC is responsible for developing requirements and is the focal point for all contract changes in the PWS. The FC coordinates contract quality assurance, both in pre-award planning and post-award execution and surveillance. All proposed changes are processed through the FC for technical evaluation of cost and mission impact. Any change to PWS requirements flows through the FC for technical screening and compatibility with the overall contract requirements for budget control, and determination of funds availability.

4.2.4 The FC and QA personnel serve as experts for their technical areas. They are responsible to the CO for technical assessments and contractor performance of specific paragraphs for the PWS. The FC must receive training prior to commencement of their duties.

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 that 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.

4.3.2 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 CORs assigned to the contract.

4.3.3 Ensures appropriate quality assurance and contract related training for all CORs occurs before they perform quality assurance duties.

4.3.4 Inputs contract registration data into the Contractor Performance Assessment Reporting

System (CPARS) database within 30 days of contract award. Initiates and ensures the CPARs are completed as required.

4.3.5 Initiates and ensures management and oversight reporting / metrics are completed by the

FC or COR, as required.

4.4. Contracting Officer Representative (COR).

4.4.1 The COR is responsible for Performance Management on this acquisition. The COR provides oversight of the 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 The COR 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 IAW DFARs 252.237-7023, “Continuation of Essential Functions”.

4.4.3 The COR 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 within 30 days of performance period ending.

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 Performance Plan.

4.4.10 Prepares Quarterly Activity Reports and provides to FC and CO.

4.4.11 CORs will meet periodically to exchange information and discuss items of importance.

Topics of discussion will include, but are not limited to, information from staff meetings, safety, noted weak/problem areas, inspector problems, and any reported customer complaints.

4.4.12 CORs will annually review and revise checklists, performance requirements document, evaluation guides, etc. for currency and completeness.

4.4.13 CORs review Contractor invoices for accuracy prior to accepting the invoice on behalf of the Government. Invoicing is typically done via Wide Area Workflow.

4.4.14 CORs, depending on contract particulars, may be required to approve or coordinate on

Contractor travel requests.

4.4.15 CORs are the "eyes and ears" of the FC, program and functional managers, and CO relative to actual contract performance. They, however, are not a quality control function. CORs WILL NOT DIRECT WORK OR THE RE-ACCOMPLISHMENT OF

WORK, CHANGE THE CONTRACT, OR FORMALLY INTERPRET THE

CONTRACT. The CO resolves these types of issues.

5. PERFORMANCE MANAGEMENT

5.1 Performance Management. Performance is managed by a multi-tiered approach including the day-to-day management performed by the MFT, periodic Performance Management Reviews (PMR) for executive leadership, compilation and submission of any required management and oversight / metrics reports, and compilation and submission of the CPARS reports.

5.2 Multi-Functional Team (MFT). The MFT is the first element of performance management. A MFT is established and meets at least semi-annually. 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 this 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 Contract

Performance and Assessment Report (CPAR).

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 a 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 supports the acquisition lifecycle process, supplying technical and business information about commercial technology and industrial capabilities. 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 performance plan for implementing initiatives brought forward, and monitoring the success of implementation.

6. PERFORMANCE ASSESSMENT

6.1 Purpose. Performance Assessment detailed in this plan focuses on the performance outcomes required by the PWS, not the methodology or process implemented by the contractor. The objective of this plan is to rely on the Contractor’s quality assurance system 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 acceptable 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 assurance system complimented by the Government’s assessment of Performance Objectives.

6.2.2 Performance Objectives listed in this plan are based upon the Service Delivery 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 may be used wherever possible to track contractor progress in meeting Performance Objectives. Metrics may be contractor or government generated.

Required contractor metrics are identified in the PWS and must be submitted with the quarterly status report.

6.4 Discrepancy Categories. To ensure consistency when determining severity of discrepancies, the following definitions and criteria apply to technical and observation area inspections:

6.4.1 Major Discrepancy. A discrepancy that judgment and experience indicate is likely to result in a hazardous or unsafe condition or is likely to result in failure or reduce materially the usability of equipment to include any major part thereof. Discovery of any of the following conditions will be categorized as a major discrepancy (this does not list only those conditions that would constitute a major discrepancy).

6.4.2 Minor Discrepancy. An unsatisfactory condition that requires repair or correction but does not endanger personnel, affect safety, jeopardize equipment reliability, or warrant discontinuing a process or equipment operation. NOTE: If the COR determines it is appropriate, minor discrepancies that consist of a grouping of like deficiencies; for example, a bench stock with 6 co-mingled bins, 10 bins not flagged, and 4 bins with torn labels may be documented as one discrepancy.

6.5 Documenting/correcting performance-based activity performance. CORs will document any discrepancies as soon as they are discovered and notify the contractor as soon as the surveillance is completed. After the surveillance form is completed, CORs must also request a contractor representative to initial the document on which the inspection is recorded to acknowledge receipt of performance assessment results and not necessarily concurrence with the findings. If the contractor representative refuses to initial, it will be so noted by the COR. A date and time the discrepancy is discovered is also annotated, and the contract representative is asked to correct the problem.

6.6 Safety. The COR shall document violations of OSHA or AFOSHSTDs that clearly present a potential to damage or injure government resources as part of the inspection being performed or, if appropriate, "as observed." The documentation should clearly indicate the potential to damage or injure government resources. CORs will informally notify the site supervisor and CO regarding violations of OSHA or AFOSHSTDs that do not present the potential to damage or injure government resources.

6.7 Performance Evaluation. Performance of a service will be evaluated to determine if the service meets the performance threshold. Re-performance is the preferred method of correcting any unacceptable performance. If required, the contractor shall provide the Government written response why the performance threshold was not met, how performance will be returned to acceptable levels, and how recurrence of the cause will be prevented in the future.

7. SERVICE DELIVER 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.

Table 7-1 Service Delivery Summary

Performance Objective

PWS paragraph Performance Threshold Method of Surveillance

Scheduled Maintenance

1.1 and 1.1.4 – 1.1.4.4

5% defects findings of actions performed per month or no more than 2 Customer/COR Complaints monthly

Monthly/Periodic Inspection/Assessment

Unscheduled Maintenance 1.1.2 -1.1.3.1 and

1.1.6 -1.1.6.1

No more than 2 Customer/COR Complaints monthly Monthly/Periodic Inspection/Assessment

Submit Reports

1.1.8 – 1.1.8.1

No more than 1 Defect per month

100% Inspection

8.0 PERFORMANCE ASSESSMENT AND REPORTING REQUIREMENTS.

8.1 Quarterly Assessment. The COR will monitor the Contractor’s performance quarterly as it relates to the performance thresholds set forth in the SDS. The results will be documented by the COR and shall be provided to the Contract Administrator.

8.2 Assessment Methods. The Contractor’s performance will be monitored using any of the following methods:

1. Review of Contractor Data.

2. Meetings, Conferences with Contractor.

3. Periodic Assessment/Inspection.

4. Customer Feedback.

5. Third Party Audits or Assessments.

6. 100% Inspections.

8.2.1 The quarterly report shall indicate what methods of assessment were used and shall detail the strengths, weaknesses, and any areas where the Contractor did not meet contract requirements.

8.3 Surveillance Scheduling. Inspections may be scheduled, unscheduled, or as observed.

8.3.1 As-observed inspections are also considered as unscheduled inspections. They are discrepancies that are observed by CORs but are not part of the specific inspection performed, whether it is scheduled or unscheduled. They occur when discrepancies or deficiencies are observed or discovered that are not directly associated with another inspection. CORs will document and report as-observed deficiencies. Exceptional Service will also be documented “as observed”.

8.3.2 All areas and services listed in the PWS are subject to surveillance. CORs will ensure all areas are looked at on a periodic basis.

8.4 Performance Ratings. The COR shall assign an overall rating for the month. Definitions of ratings are as follows:

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

UNACCEPTABLE: 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.

8.5 Performance Deficiency Resolution. If discrepancies are found during period of 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 COR shall document the type of notification issued, the name of the individual contacted and date of notification.

8.6 Performance Deficiency Notification. There are three types of notification: verbal notification, written notification and Contract Discrepancy Report (CDR)

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

• 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

CDR.”

• A Contract Discrepancy Report (CDR) will be issued by the COR when previous notifications failed to result in corrective actions or when severe deficiencies exist.

The CDR 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 should be held at least semi-annually to review performance and contract issues. Required attendees at the meeting shall be the FC, COR, CO, and the Contractor’s Team Lead.

9.0 DOCUMENTATION REQUIREMENTS

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 contract 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.

9.1 Quality Assurance Files. 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

9.1.1 Contents. A COR 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.

9.1.1.1 Appointment Letters. This section must include the primary and all alternate COR’s appointment letter, quality assurance training certificates, and the CO’s Letter of Delegation to the Contractor.

9.1.1.2 Contract Documents. This section must include a copy of the AF Form 9 or other funding document, copy of the contract and attachments/delivery orders, copy(ies) of modifications, copy(ies) of all WAWF receiving and acceptance documents, and an expenditure log.

9.1.1.3 Quality Assurance Surveillance Plan (QASP). This section must include a copy of the contract QASP.

9.1.1.4 Activity/Correspondence. Documentation of meetings or communication (written or email) with the Contractor regarding performance along with a copy of the Contractor’s QC Plan and any Contractor QC Reports.

9.1.1.5 Records. Documentation of all contractor performance assessment to include but not limited to meeting minutes, miscellaneous correspondence, certificate of service forms, and CPAR reports.

9.2 Disposition of Performance Monitor Folder. Upon completion of contract performance or in the event of COR departure, the COR folder shall be submitted to the CO.

QUARTERLY PERFORMANCE REPORT (Sample)

COR: Report Month:

Organization: Date Submitted:

Contract No.: Contractor:

Contractor Team Lead:

Attachment 1

Method of Performance Evaluation

• At least every month, performance will be evaluated by using one or more of the methods addressed in the QASP. List the method used:

RATING: Satisfactory Marginal Unsatisfactory

TRAVEL: Date Destination

Purpose

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 block & signature) DATE

Page - 13 - of 19

NARRATIVE

1. SPECIAL CONDITIONS: (Describe any special conditions, which may have influenced contractor 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 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 SDS 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 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.

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PERFORMANCE EVALUATION REPORT (Sample)

Contract Number Customer’s Organization

Attachment 2

Contract Title

Review Type (circle one) QUARTERLY END OF TASK

1. This report is used to evaluate the Contractor periodically during contract performance. In addition to providing verification that performance thresholds are being met, the ratings and comments provided on this checklist assist with annual CPARS ratings.

2. The ratings established in the QASP shall be used and as are follows: Exceptional (E), Very

Good (VG), Satisfactory (SAT), Marginal (MAR) and Unsatisfactory (UNSAT). N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation.

AREA OF EVALUATION: QUALITY OF PRODUCT OR SERVICE. Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship

1. How well did the work performed satisfy technical requirements/stated objectives?

E VG SAT MAR UNSAT N/A

Comments:

2. How well did deliverables meet stated requirements? Were reports/data accurate?

AREA OF EVALUATION: SCHEDULE. Assess the timeliness of the contractor against the completion of the contract milestones, delivery schedules and administrative requirements.

1. How well did the contractor meet deadlines and scheduled milestones?

2. How well did the contractor respond to tight deadlines and/or contingencies?

3. How timely was the contractor in regards to contract deliverables?

AREA OF EVALUATION: COST CONTROL. Assess the contractor’s effectiveness in forecasting, managing and controlling contract cost. Not required for firm-fixed price contracts.

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1. How well does the contractor keep within the total estimated cost?

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

Yes No N/A

3. Were billings current, accurate and complete?

Yes No N/A

AREA OF EVALUATION: BUSINESS RELATIONS. Assess the integration and coordination needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans and the contractor’s business relations.

1. How well is the contractor oriented towards the customer?

2. Is the contractor proactive in problem identification and resolution?

AREA OF EVALUATION: MANAGEMENT OF KEY PERSONNEL. Assess the contractor’s performance in selecting, retaining, supporting and replacing key personnel.

1. How well did the contractor provide key personnel that demonstrate leadership, initiative and technical expertise for successful task order completion?

2. Rate how the contractor provided guidance and support to key personnel so they were able to work effectively?

3. If a replacement for a key person was necessary, how well the replacement meet or exceed the qualifications needed for the position?

COR Signature

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Attachment 3

CONTRACT DISCREPANCY REPORT (CDR) - (SAMPLE)

(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. MAJOR MINOR

FINDING:

FINDING IMPACT:

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

8. CONTRACTING OFFICERS REPRESENTATIVE (COR)

TYPED NAME AND GRADE SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE SIGNATURE AND DATE

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

11. CONTRACTOR RESPONSE

ACCEPTED REJECTED

12. CLOSE DATE

CDR 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 CDR.

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

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

c. The control number will be made up of the contract 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 CDRs 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:

• Failure to meet a Performance Threshold

• Significant mission degradation in any contractor operated function.

• 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.

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

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

• 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 CDR initiated.

b. 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.

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

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

Block 8. The COR initiating a CDR 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 CDR 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 CDR to the contractor. The COR will attach copies and record results of any quarterly. Copies of completed CDRs will be maintained in the COR folder.

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