LFT_II_QASP-08Jul15-FINAL.pdf

Quality Assurance Surveillance Plan (QASP) Contract Number TBD

USAFE LFT II

QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)

USAFE Live Fire Trainers (LFT) II

REVISION CONTROL

Revision Number Date Remarks

Basic 06 July 15 This is the initial publication of the LFT II QASP.

This Quality Assurance Surveillance Plan has been developed by the multi-functional team and is approved for implementation and use to effectively assess contractor’s performance outcomes in relation to the associated performance objectives.

LESLIE A. KNIGHT CHRISTOPH KEHREIN

Contracting Officer Contracting Specialist

764 SCONS/PKA 764 SCONS/PKA

JASON L. BARNES CMSgt MICHAEL D. AMACKER Quality Assurance Program Coordinator COR Supervisor

764 SCONS/PKP HQ USAFE A4/7XE

MSgt ROBERT W. LEONARD MSgt MICHAEL K. OTT Primary COR Alternate COR

HQ USAFE A4/7XE HQ USAFE A4/7XE

Table of Contents Section A – Purpose

Section B – Roles and Responsibilities of the MFT

Section C – Service Summary and Method of Surveillance

Section D – Surveillance Procedures

Section E – Surveillance of Non-SS Items

Section F – Less than Satisfactory Performance

Section G – Certification/Acceptance of Services

Section H – Contract Management

Section I – Initial Contract Performance Review

Appendix 1 – QASP Checklist

Appendix 2 – Customer Complaint Record

Appendix 3 – Sample Corrective Action Log

Appendix 4 – Corrective Action Report

Appendix 5 – Initial Contract Performance Review

Section A – Purpose

This Quality Assurance Surveillance Plan (QASP) has been developed to provide Contracting Officer Representatives (CORs) an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract. This plan implements the guidance of the Federal Acquisition Regulation (FAR); Department of Defense FAR Supplement (DFARS); Air Force FAR Supplement (AFFARS); the Guidebook for the Acquisition of Services; Air Force Instruction (AFI) 63- 101, Integrated Life Cycle Management, Chapter 8 – Acquisition of Services; AFI 63- 138, Acquisition of Services; and Department of Defense (DoD) Instruction 5000.72, DoD Standard for COR Certification, with respect to the Government’s Quality Assurance (QA) requirements.

The role of Government QA is to ensure contract standards are achieved. In conducting surveillance, CORs are to be objective, fair, and consistent in evaluating Contractor performance against the performance standards.

This plan is a living document and shall be revised or modified by members of the Multi- Functional Team (MFT) as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained.

Section B – Roles and Responsibilities of the MFT

The MFT is a customer-focused team instituted under the authority of senior leadership and responsible for assessing contractor performance and managing the requirement over the life of the contract. The emphasis is on teamwork, trust, common sense and agility. Membership may include as few members as the contracting officer, program manager, COR, and functional/ technical representative(s). Upon contract award, the contractor is included in the MFT.

1. Senior Leadership

a. Develops, implements and executes service acquisitions, to include requirements approval, acquisition strategy, source selection, and performance/contract management through the life of the acquisition.

b. Develops, implements and executes a performance management assessment program that satisfies mission requirements, fosters innovation, and includes defined metrics.

c. Ensures performance management focuses on risk management, cost, schedule and performance baselines.

d. Appoints a MFT of key stakeholders possessing the necessary set of skills to ensure that all service acquisitions integrate the needs of the mission with the requirement to procure performance-based services.

e. Fosters the environment needed to successfully operate, convey business objectives, monitor progress, and correct/elevate delays or problems not resolvable by the MFT.

f. Ensures personnel on the MFT receive the appropriate training, tailored to meet local needs.

2. Multi-functional Team (MFT)

a. Fosters partnerships with industry to ensure exchanges of information among the service industry and other business experts occur.

b. Ensures key stakeholders participate in developing, implementing and executing the acquisition strategy.

c. Provides support to senior leadership as required (i.e., performance metrics, data, briefings).

d. Makes sure that correspondence and presentations are accurate, timely and of high quality. Also, provides reports that outline early warnings of significant variances in cost, schedule or performance to senior leadership.

e. Completes and reports annual performance reviews.

f. Researches the commercial market to ensure the MFT is using the most efficient and effective assessment methods, techniques, and best commercial practices in performance of the contract.

g. Develops, implements and executes a Performance Based Service Acquisition (PBSA) strategy, to include performance metrics, that supports a higher level of Contractor performance, fosters synergistic partnerships, accommodates changing or unforeseen mission needs and leverages commercial best practices.

h. Ensures the acquisition strategy aligns mission performance needs with performance-based work statements and acquisition approaches designed to deliver the desired mission support results.

i. Manages risk to ensure mission performance is within cost and schedule constraints.

j. Develops, implements and executes a source selection, if applicable, that provides an integrated assessment of the offeror’s proposal and ensures a best value source selection based on the requirements of the Request for Proposal.

k. Plans, programs, and budgets adequate funds to ensure the execution is within approved funding baseline.

l. Develops, implements and manages milestones to ensure the acquisition supports mission requirements within the approved funding baseline.

m. Identifies opportunities to improve performance throughout the life of the acquisition. This includes benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP to implement initiatives, and monitoring the success of implementation.

n. Develops, implements, and executes performance measurement and management in accordance with the QASP.

o. Ensures the requiring office and Contractor understand the unique programs impacting an acquisition (e.g., safety, security, environmental, etc.)

p. Recommends changes to the QASP.

3. COR Supervisor

a. Reviews Contractor performance documentation, prepared by the COR, on a regular basis to ensure performance is compatible with contract requirements and mission objectives while supporting a higher level of Contractor performance, and fostering synergistic partnerships.

b. Ensures requirements documents developed by the MFT satisfy mission requirements, are performance-based, foster innovation, and define metrics.

Assists with preparation of Performance Work Statement (PWS) and QASP and obtains Contracting Officer coordination on the final product.

c. Assigns competent and capable functional experts to the MFT who will be available full time or as warranted by the procurement cycle.

d. Nominates qualified individuals as CORs, primary and alternate, as early in the acquisition cycle as practicable.

e. Ensures CORs maintain proficiency and evaluate the CORs job performance not less than annually.

f. Ensures all personnel within the functional area who may have contact with Contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

g. Prepares the COR Nomination package(s) using the DoD CORT Tool.

h. Ensures the COR Nominee has the necessary clearances for the contract.

i. Ensures the COR Nominee is registered as a wide area work flow (WAWF) online user.

j. Is very familiar with DoD Instruction 5000.72, DoD Standard for Contracting

Officer’s Representative (COR) Certification, dated March 26, 2015, knowing the roles and responsibilities.

4. Contracting Officer

a. Determines the need for a COR, or multiple or alternate CORs, to assist in technical monitoring and contract oversight.

b. Determines, based on the COR’s designated duties and responsibilities and level of supervision and review, whether a COR needs to file an OGE Form 450.

c. Designates properly trained CORs in writing before award of all service contracts.

d. Advises the MFT on QASP development.

e. Manages the listing of CORs assigned to the contract, indicating their areas of responsibilities and limitation of authority, and ensures that the Contractor is notified of such.

f. MFT advisor for developing incentives/remedies, as appropriate, tied to performance objectives and performance thresholds.

g. Maintains in the contract file documentation of training provided by contracting personnel and/or QAPC.

h. Reviews COR Reports, files, and other documentation for completeness and accomplishment of duties.

i. Utilize the DoD COR Tracking (CORT) Tool in accordance with subpart 201.602-2(d) (see PGI 201.602-2).

5. Contracting Officer Representative (COR)

a. Serves as a member of the MFT.

b. Provides subject matter expertise during the acquisition planning and contract formation to ensure familiarity with the requirement, specific terms and conditions of the resultant contract, and the responsibilities to be designated.

c. Develops technical requirements and independent cost/Government estimates for contract services.

d. Conducts Government contract QA by or under the direction of Government personnel.

e. Evaluates and documents the Contractor’s performance in accordance with the procedures set forth in this plan.

f. Notifies the Contracting Officer of any performance deficiencies.

g. Maintains surveillance documentation.

h. Recommends improvements to the PWS and QASP, throughout the life of the contract.

i. Maintains technical competency in the functional area surveyed.

j. Obtains proficiency in surveillance procedures.

k. Certifies acceptance of services.

l. Promotes business decisions to meet customer requirements by researching the marketplace to remain current with the most efficient and effective performance assessment methods and techniques.

m. Performs market research appropriate to the circumstances in accordance with FAR 10 throughout the life of the requirement. Specifically during initial acquisition planning and prior to exercising options to ensure the team is knowledgeable of the commercial marketplace. Market research will be documented via a Market research report.

n. Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

o. Recommends any changes necessary to the contract, specifications, instructions, or other requirements that will provide more effective operations or eliminate unnecessary costs.

p. Is very familiar with DoD Instruction 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, dated March 26, 2015, knowing the roles and responsibilities.

6. Quality Assurance Program Coordinator (QAPC)

a. Supports the MFT in the development of contract requirements, specifically ensuring that requirements are clearly stated and enforceable.

b. Trains CORs on the contracting requirements associated with the QA program.

c. Trains COR Supervisors, prior to award.

d. Provides training and documents CORs acknowledgement of their requirement to:

(1) Evaluate and document Contractors performance in accordance with the QASP.

(2) Notify the contracting officer of any significant performance deficiencies and provide any recommendations to improve the QASP or PWS.

(3) Maintain surveillance documentation.

e. Assists in development of QA related training as requested.

f. Processes/maintains/updates QA appointments and delegations memos.

g. Maintains documentation of training provided by contracting personnel identified herein.

h. Assists the market research efforts of the MFT in determining commercial QA practices.

i. Assists as required with the evaluation of the Contractor’s Quality Control

Plan.

j. Provides refresher training in accordance with MP5301.602 (paragraph 4) to ensure the CORs are up to date with all required changes.

7. Contractor

a. Complies fully with the terms and conditions of the contract.

b. Participates as a member of the MFT after contract award.

c. Ensures that non-conformance of contract requirements are identified, corrected, and prevents recurrence.

d. Tenders to the Government for acceptance only those services that conform to contract requirements.

e. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

Section C – Service Summary and Method of Surveillance

As a minimum, CORs will monitor, review, and report on the Contractor’s performance and compliance with all Service Summary (SS) items shown below. CORs shall complete and issue the Contractor a Corrective Action Report (CAR) (Appendix 4) for all valid complaints and deficiencies that were identified during the semi-annual inspections or the period of performance. The SS items are performance objectives that relate directly to critical performance areas. Each performance objective includes a Government-determined performance threshold and the method that is used for surveillance. The performance thresholds referenced in the table outline the minimum acceptable levels of service required for each SS item. The surveillance methods are subject to change unilaterally by the Government, without notice to the contractor and without the necessity of a contract modification; however, any update to the performance threshold constitutes a change to the terms and conditions of the contract that requires a contract modification.

SS

Item Performance

Objective

PWS

Reference Performance

Threshold Surveillance

Method

Contractor performs required inspections and preventative maintenance.

PWS para.

1.1; 1.2; 1.3

Contractor performs 100% of required inspections and preventative maintenance.

Periodic Inspection (Semi-annual)

Customer Complaint

2 Contractor submits required reports.

PWS para.

1.8

Contractor submits required reports within 10 calendar days after completion of inspection, maintenance or servicing.

Periodic Inspection (Semi-annual)

Customer Complaint

Section D – Surveillance Procedures

1. Semi-annual Surveillance

a. To ensure an effective QA program, it is essential that the CORs conduct, at minimum, semi-annual surveillances. CORs shall document surveillance as it is conducted using the QASP Checklist in Appendix 1.

b. The CORs shall conduct surveillance of the Contractor’s performance by determining whether or not the performance meets the standards contained in the contract.

c. The CORs shall record surveillance results. Surveillance documentation shall include as a minimum, the date, and location the surveillance was conducted, rating results of the surveillance (i.e., Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory), contract paragraph number referencing the requirement, a short description of the requirement being surveyed, applicable remarks, and signature of COR conducting the surveillance.

i. When CORs determine that Contractor performance is less than satisfactory, the specific reason for the less than satisfactory performance shall be recorded on the CORs’ surveillance documentation. Include as much detail as possible, to include, at minimum, the impact to Government.

ii. When CORs determine that Contractor performance is better than satisfactory, the COR shall document supporting rationale as to why the Contractor’s performance exceeds the Government’s minimum requirements, as well as the benefit to the Government.

2. Customer Complaints Government personnel that observe less than satisfactory performance (e.g., incomplete, not performed, performed improperly, etc.) should immediately contact the COR. CORs shall ensure complaint procedures and forms are made available to all customers. COR shall receive, document and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the customer and explain why the complaint was invalid. CORs shall document when the complaint is resolved and document the customer notification on the Customer Complaint Record (Appendix 2). If the Contractor challenges the validity of any complaint, and the COR and Contractor cannot come to agreement, the complaint in question shall be forwarded to the Contacting Officer for resolution. Complaints will be tracked and if the performance threshold is not met, the COR shall notify the Contacting Officer in writing so that the appropriate action can be taken.

Section E – Surveillance of Non-SS Items

The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract.

Therefore, CORs will conduct surveillance for SS items and non-SS items as well.

When the COR identifies less than satisfactory performance on non-SS items, the COR shall follow the procedures in Section F of this plan, entitled, Less than Satisfactory Performance.

Section F – Less than Satisfactory Performance

When the Contractor’s performance is deemed less than satisfactory, CORs shall attempt to determine the cause of the less than satisfactory performance. If any Government action, or lack of action, caused the less than satisfactory performance, the less than satisfactory performance shall not be counted against the Contractor. The COR shall take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future.

When the less than satisfactory performance is not the result of Government action, or lack of action, COR shall promptly notify the Contractor and issue a CAR to the Contractor to ensure corrective action is taken. By initialing and dating the CAR, the Contractor is acknowledging that he or she has been informed of the less than satisfactory performance, but does not constitute agreement that the performance was less than satisfactory.

CORs shall direct the Contractor to re-perform the service, if possible, without additional cost to the Government. Re-performance of work does not relieve the COR from properly documenting the less than satisfactory performance. If the Contractor challenges the validity of the CORs surveillance findings, and the COR and Contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution. The Contractor shall be required to return all completed CARs to the COR no later than the suspense date indicated on the CAR. The COR shall maintain a log of all CARs issued to the Contractor (see Appendix 3 for a sample). The CAR log shall contain, at minimum, the CAR number, date issued, Contractor, reason for CAR issuance (e.g., description of less than satisfactory performance), suspense date, and closeout date. All CARs and CAR logs shall be maintained by the COR for the life of the contact.

1. CARs CARs are used by the COR to document findings observed during completion of the QASP checklist, as well as validated customer complaints or any other findings related to contractor performance. The COR is responsible for initiating the CAR. If there are other questions as to how the CAR is completed, the COR should consult the COR Supervisor or Contracting Officer. The COR must forward a copy of the initiated CAR to the COR Supervisor and Contracting Officer. For a contractual discrepancy, the

Contracting Officer will initiate the CAR, as applicable. The COR will elevate any CAR that cannot be resolved with the contractor to the Contracting Officer for resolution.

A finding is any Government-identified noncompliance with contract requirements that specifies that an activity or action did not take place or was not performed to the quality or timeliness standard required by the contract. A finding can be categorized as either major or minor. Findings will be documented on a CAR and must also be tracked in a log. Major/minor findings are defined as follows:

a. Major Finding. If at any time the COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR shall document their findings on a CAR and immediately notify the Contracting Officer.

i. Contractor failure to meet a Performance Threshold.

ii. Significant mission degradation in any contracted function.

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

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

v. Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period.

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

b. Minor Finding. A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR shall document the findings, but is not required to immediately notify the Contracting Officer. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring or has occurred because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing.

2. Remedies for Less than Satisfactory Performance

a. If services do not conform to the contract requirements, the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re-performance, the Government may

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

ii. Reduce the contract price to reflect the reduced value of the services performed.

b. If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may

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

ii. Terminate the contract or task order for default.

Section G – Certification/Acceptance of Services

CORs shall submit all QASP Checklists to the COR Supervisor by the 5th workday after completion of the semi-annual inspection, recording the contractor’s performance during the inspection. These reports are essential for identifying areas that are nonconforming and whether the Contractor has satisfied the basic requirements of the PWS. All surveillance documentation shall be submitted with all validated customer complaints and CARs.

By submission of the QASP Checklist, CORs are certifying receipt of Contractor services. The COR shall certify that services were received, in accordance with the terms and conditions of the contact. The COR Supervisor shall accept or reject invoices via the Invoicing, Receipt, Acceptance and Property Transfer (iRAPT) application located on the WideAreaWorkFlow e-Business Suite website (https://wawf.eb.mil/index.xhtml). Acceptance of an invoice indicates certification of services received. Invoices shall be accepted/rejected within 7 calendar days of invoice submission by the contractor to ensure invoice payment is made within 30 calendar days to avoid the Government incurring interest penalties.

Section H – Contract Management

1. The MFT shall utilize the following approaches, methods, and tools to manage the contract upon award

a. CORs shall conduct, document, track, and analyze Contractor performance via semi-annual surveillances. The surveillance results shall be maintained as Past Performance Information (PPI). PPI along with the Contractor’s submittals will be used to develop metrics to track the Contractor’s overall compliance with contract terms and conditions.

b. The MFT shall conduct annual progress meetings, to review the Contractor’s performance. At these meetings the Contracting Officer will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor will also notify the Contracting Officer, in writing, of any work being performed, if any, that the Contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues.

https://wawf.eb.mil/index.xhtml

2. Documentation Requirements

a. Thorough documentation of unperformed or less than satisfactorily performed work is essential for tracking Contractor performance throughout the period of performance. This documentation provides the Contracting Officer with Contractor status as it applies to the performance criteria. CORs, as trained inspectors, will thoroughly document performance by compiling facts describing the inspection methods and results. The CORs will develop documentation to substantiate nonconformance with the terms of the contract.

The documentation, together with any recommendations, will be forwarded to the contract administrator, who will decide whether to elevate the problem to the Contracting Officer for corrective action.

b. CORs are required to maintain accurate records of the Contractor’s performance and keep the COR Supervisor informed of all data pertaining to Contractor status.

c. At a minimum the COR should maintain the following documentation

i. Copy of the contract and all modifications

ii. Signed COR Designation Letter from the Contracting Officer

iii. Copy of all required training

iv. Copy of the QASP

v. Customer complaint documents

vi. QASP Checklists

vii. CARs, both open and closed, and a log to manage CAR numbering

viii. Surveillance correspondence

ix. Any other information that the COR finds useful

d. CORs shall furnish the following to the COR Supervisor on a semi-annual basis. The COR Supervisor will provide the surveillance documentation to the Contracting Officer.

i. Performance metrics regarding SS items

ii. Analysis of trends discovered in surveillance

iii. CARs issued

iv. Summary of Contractor’s performance

Section I – Initial Contract Performance Review

Within thirty days after completion of the first semi-annual inspection, an initial performance review will be conducted. Assessment Criteria for the review can be found in the document listed in Appendix 5. The review will result in one of the following assessment values:

Rating Description

Green No issues.

Yellow Issue(s) are noted, but the contractor has an adequate mitigation or corrective action plan in place.

Red* Issue(s) are noted with inadequate or no contractor mitigation or corrective action plan.

*Any red assessment shall include the government proposed actions with respect to the contractor with performance issues.

Appendix 1 – QASP Checklist

Contract Number Contractor

For the month/year of

COR Name Signature Date

Contractor

Representative Signature Date

Contractor signature acknowledges receipt but does not indicate agreement or disagreement.

1. Contractor performs required inspections and preventative maintenance Reference: PWS paragraphs 1.1, 1.2 & 1.3 Minimum Performance Threshold: Contractor performs 100% of required inspections and preventative maintenance.

Exceptional Performance Marginal Performance Very Good Performance Unsatisfactory Performance Satisfactory Performance Not required for this reporting period

Comments:

2. Contractor submits required reports Reference: PWS paragraph 1.8 Contractor submits required reports within 10 calendar days after completion of inspection, maintenance or servicing.

Exceptional Performance Marginal Performance Very Good Performance Unsatisfactory Performance Satisfactory Performance Not required for this reporting period

Comments:

Semi-annual Surveillance Rating Definitions:

Rating Definition Note

Exceptional

Performance meets contractual requirements and exceeds many to the Government’s benefit.

The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective.

To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been

NO significant weaknesses identified.

Very Good

Performance meets contractual requirements and exceeds some to the Government’s benefit.

The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor was effective.

To justify a Very Good rating, identify a significant event and state how it was a benefit to the

Government. There should have been no significant weaknesses identified.

Satisfactory

Performance meets contractual requirements.

The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract. There should have been NO significant weaknesses identified. Per DOD policy, a fundamental principle of assigning ratings is that contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract.

Marginal

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

To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

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

To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).

Appendix 2 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 3 – Sample Corrective Action Report (CAR) Log

Appendix 4 – Corrective Action Report

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. MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. CONTRACTING OFFICER 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

Appendix 5 – Initial Contract Performance Review

Contractor:

Contract Number:

Description of Services:

The Multi-Functional Team (MFT) will accomplish initial performance review within 30 calendar days after completion of the first semi-annual inspection to ensure the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract using the assessment values below.

The SDO may waive the initial evaluation for contractors that have continued performance under a successor contract award (i.e., prior incumbent) or for contractors who have otherwise demonstrated full compliance with contract start-up.

Green No issues.

Yellow Issue(s) are noted, but the contractor has an adequate mitigation or corrective action plan in place.

Red Issue(s) are noted with inadequate or no contractor mitigation or corrective action plan. Any red assessment shall include the government proposed actions with respect to the contractor with performance issues.

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

Green Yellow Red

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

(3) Cost. Assess the contractor’s ability to remain within cost. (i.e. cost performance will be reported only if other than Firm Fixed Price). The assessment will include a discussion of the contractor’s effectiveness in forecasting, managing, and controlling contract cost, as applicable.

Not Applicable

(4) Management/Performance. Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

(5) Staffing. Assess the contractor’s performance in selecting, retaining, supporting and replacing when necessary, personnel.

(6) Special Interest Items. (if applicable) Assess any significant modification to the contract made since contract award.

(7) Overall contractor performance for the initial contract performance period is: