QASP_Final_01.07.15.docx

Quality Assurance Surveillance Plan Attachment 3 Surveillance Checklist Template (Example only)

17 December 2014

COMPLIANCE WITH THIS DOCUMENT IS MANDATORY

NOTICE: This Document is available in digital format through AFDW/PKS

TABLE OF CONTENTS

2.3 COR Management

2.4 Contractor Key Personnel

TABLES

ATTACHMENTS

1.0 SCOPE. The Quality Assurance Surveillance Plan (QASP) is applicable to personnel performing contract surveillance audits in accordance with (IAW) Federal Acquisition Regulation (FAR) Part 46, Quality Assurance; Department of Defense FAR Supplement (DFARS) Subpart and PGI 201.602-2 , Contracting Officer Responsibilities; Air Force FAR Supplement (AFFARS) Mandatory Procedures (MP) 5346.103, Contracting Office Responsibilities, The Quality Assurance Program; Air Force Instruction (AFI) 63-501, Air Force Acquisition Quality Program; and organizational policy. It is designed to provide the Contracting Officer Representative (COR) a systematic surveillance method for each service identified in the Performance Work Statement (PWS). The owning Functional Director (FD) and COR develop the methods for administering and evaluating contracts. The Quality Assurance Program Coordinator (QAPC) and Program Manager (PM) or Contract Manager (CM), will review these methods, which are then accepted or rejected by the Contracting Officer (CO).

1.1 Purpose. This document defines the surveillance policy, procedures, and associated methods used by CORs for planning, preparing, performing, analyzing, and reporting contractor performance. This QASP provides a systematic surveillance method to evaluate the services received from the contractor, and NOT to address the details of how the contractor accomplishes the work.

1.2 Application. This document is for the use of FDs, CORs and CO. The contractor may receive a courtesy copy in order to further enhance communications with the Contractor, but it is not considered as part of the contract.

1.3 General Policies. Four basic policies serve as the foundation for the Quality Assurance (QA) program: (1) Always coordinate contract actions with the Contracting Officer and QAPC (2) Foster a teamwork atmosphere between the contractor and all government personnel; (3) Emphasize, wherever possible, re-performance, rather than withholding of funds if a contractor discrepancy is discovered; (4) Ensure the contractor’s task order level Quality Control Plan (QCP)/Management Plan, if applicable, is compliant with contractual requirements and capable of identifying/correcting non-conformances and is addressed in accordance with the deliverables.

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL

2.1 AFDW/PKS. The address for the Contracting Management is:

1500 West Perimeter Road, Suite 2750 JB Andrews NAF, MD 20762

2.2 Contracting Management Team.

2.2.1 Contracting Officer (CO). CO duties are detailed in FAR subpart 1.602-2. The CO is the only government agent authorized to award or modify contracts; therefore, the CO is the only person authorized to contractually obligate the government. The CO is also the individual who will sign any notifications to contractors regarding performance issues and accepts government surveillance methods utilized for each TO. The CO approves/appoints all CORs assigned by the Functional Director/Functional Commander.

The CO, Megan Baer, can be reached at DSN: 612-6190 or Commercial 240-612-6190.

2.2.2 Contract Manager (CM)/Contract Administrator (CA). The CM is the government agent within the contracting office who performs day-to-day administration of the contract.

The CM, Erin Fisher, can be reached at DSN: 612-6261 or Commercial 240-612-6261.

2.2.3 Quality Assurance Program Coordinator (QAPC). The AFDW QAPC integrates the quality contract requirements into the quality assurance program and acts as the liaison between the contracting and functional organizations. The QAPC supports the acquisition team in the development of contract quality assurance requirements specifically reviewing the PWS and QASP to ensure that requirements are clearly stated, performance based to the maximum extent practicable, enforceable, and measureable. Also, the QAPC assists CORs in drafting nonconformance notices (1st/2nd notice/CAR) when requested. Additionally, the QAPC trains CORs and COR Management (e.g. COR Supervisor, Functional Commanders/Directors) on the contracting requirements associated with the quality assurance program and MAJCOM/DRU procedures.

The AFDW QAPC, Michael Lee, can be reached at DSN: 612-6205 or Commercial 240-612-6205.

2.3 COR Management. COR Management is the Functional Director/Commander and COR Supervisor (both roles may be performed by one individual). COR Management ensures continuous contract monitoring by a qualified COR and submits COR nomination packages to the CO. COR Management also receives QAPC led training and contract specific training by the QAPC.

2.3.1 Functional Commander/Functional Director (FC/FD). The FC/FD identifies mission essential services, reviews contract performance documentation by the COR, on a regular basis, to ensure performance is compatible with contract mission objectives.

The FC/FD, Colonel Sean Monogue, Chief SAF/PAX, can be reached at DSN 227-8262 or Commercial 703-571-8262.

2.3.2 COR Supervisor. The COR supervisor ensures personnel are properly trained and technically qualified to perform COR duties and have no personal conflicts of interest. The COR supervisor ensures COR responsibilities are assessed on performance reports.

The COR supervisor, Colonel Sean Monogue, Chief SAF/PAX, can be reached at DSN 227-8262 or Commercial 703-571-8262.

2.3.3 Contracting Officer Representative (COR). The COR is ultimately responsible for implementing all QA matters and procedures. COR(s) should be at a level where other duties don’t prevent proper oversight of contractor performance. The COR must maintain both technical competency and evaluation proficiency in contract and contractor surveillance procedures. The COR must also have enough knowledge of contractor activities to properly review and disposition monthly invoices. The COR cannot assume duties until COR is nominated by the requiring agency (FC/FD), has completed required training, and is designated by the CO in writing.

The COR, Dr. Nikita R. Walker, can be reached at DSN 225-9402 or Commercial 703-695-9402.

2.4 Contractor Key Personnel. Company Name – Company email address

2.4.1 Project Manager. The contractor’s Project Manager is responsible for the overall execution of the task order. This individual will serve as the focal point for the CM, CO, COR, QAPC and PM assigned to the task order and may interface with the customer, as needed.

Contractor Project Manager name, phone number and email address

2.4.2 Project/Task Lead. The Project/Task Lead is responsible for assigning work to contractor personnel and technical or quality control oversight (this individual may be the Project Manager). In addition to contacting the CO, the COR will contact this individual for contract issues such as deliverable schedule not being met or contract performance issues. (Delete if not applicable for task order) Contractor Project/Task Lead(s) name, phone number and email address

3.0 CONTRACT SURVEILLANCE. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate contractor performance. The contractor, not the government, is responsible for task order management and Quality Control (QC) actions to meet the terms of the contract. However, because of the non-commercial nature of the work performed by contractors, the government cannot rely solely on the contractor’s quality program but must have a method to oversee the entire contracting process. The government does this through the QASP and can inspect or test all services called for by the contract, to the extent practicable, at all times and places, during the term of the contract. The COR contribution is comprised of professional, non-adversarial relationships, which include positive and open communications with the CO, PM, QAPC, and the contractor. The foundation of this relationship is built upon regular, objective, fair, and consistent COR evaluations of contractor performance against contract requirements, and the ability to discuss inspection results, trends, and items of mutual interest with the contractor. The COR uses the methods in this QASP and the PWS to achieve this goal.

Note: Contract Terms and Conditions state, the government reserves the right to inspect or test services that have been tendered for acceptance. The government may require re-performance of any nonconforming services at no increase in contract price. If re-performance will not correct the performance issue or is not possible, the government may seek an equitable price reduction or contractual processes will begin to terminate the contract. Past performance history will be reported in Contractor Performance Assessment Reporting System to reflect satisfactory or unsatisfactory performance.

3.1 Surveillance Methods. Three primary methods of surveillance will be used under: one hundred percent inspection, periodic audits, and customer complaints. Other methods of surveillance must be fully documented and approved by the CO and QAPC before implementation. Information obtained from these activities may be used by the FC/FD to ascertain whether or not contractor performance is compatible with contract and mission objectives and by the CO for actions relating to the contractor.

3.1.1 One Hundred Percent Inspection. This method will be used for contractor submissions, products, and deliverables (tangible items). CORs will use the One Hundred Percent Inspection method to evaluate all reports delivered under paragraph 3.2. The COR, with assistance from the FD and CO if necessary, accepts or rejects these products based on the criteria and performance standards as outlined in the Services Summary. The COR also documents all results of inspections actions, and subsequent contractor re-performance taskings, if applicable.

3.1.2 Periodic Audit. This type of surveillance consists of evaluating products/services not surveilled via one hundred percent inspection or by customer survey, and is implemented at a pre-defined frequency. An example of periodic audit is performing monthly inspections of class training conducted by the contractor or weekly inspection of a contractor’s process in developing training manuals.

3.1.3 Customer Survey or Customer Complaint. Although usually not a primary method, this is a valuable supplement to other, more systematic methods of surveillance. For example, in a case where periodic audits indicate unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations, where customers complain consistently when the quality of performance is poor (e.g., dining facilities, custodial services), customer surveys and customer complaints may be a primary surveillance method, and customer satisfaction an appropriate performance standard. In all cases, the COR will validate complaints. Complaints will be documented, preferably on a standard form. All valid customer complaints will be forwarded to the AFDW QAPC. Information obtained from customer complaint activities may be used by the CO for actions relating to the contractor.

3.2 Surveillance Documents.

3.2.1 Deliverables. All deliverables will be reviewed for timeliness, accuracy and format. If a deliverable due date falls on a weekend or holiday, the contractor shall submit the deliverable on the last work day prior to the due date.

Table 1 - Deliverables

· Initial Planning Meeting

· Within 5 business days of determining survey need

· Initial draft of questionnaire

· Within 5 business days after initial planning meeting(s)

· Final questionnaire

· Within 5 business days after receiving comments back from the government on initial draft questionnaire

· Web Tool Questionnaire Development / Testing

· For small surveys: Within 5 business days after final questionnaire approval from senior leader

· For medium/large surveys: Within 10 business days after final questionnaire approval from senior leader

· Fielding of Survey

· Within 3 business days of survey approval from the AF Survey Office (could take up to 21 business days for approval)

· Data collection and analysis

· Within 4 weeks of fielding survey

Executed within 1 or 2 months of notification of requirement from SAF/PA

As necessary

Within 10 days of contract start date, by 4:30 pm ET

3.2.2

3.2.3 Services Summary. The Services Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the COR will use to validate/inspect these tasks. Inspection of each task will be documented in the COR folder.

TABLE 2 – SERVICES SUMMARY

· COR provides status in the first COR report occurring after POP start and in the first COR report occurring after any optional CLIN start when/if optional CLIN is funded/implemented. Updated in CMS Monthly QA Report

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

AND

b) there is no mission impact due to position vacancies or unqualified personnel

· Upon personnel departure, COR tracks and reports vacancy to CM

· If vacancies exceed 14 business days or impact mission, COR reports non-conformance to CM and QAPC

· Monthly, COR updates vacancy in CMS Monthly QA Report

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

AND

b) critical information is accurate

· Monthly, COR performs review of deliverables list (table 1) and validates delivery conformance with Government OPR.

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

No more than one major error in statistical analysis per contract year. A major error is one that significantly changes or impacts overall findings of research.

No more than two minor errors in statistical analysis per month. A minor error significantly changes the results but does not change the overall findings of research.

· Periodic Audit, COR performs review of deliverables list (table 1) and validates delivery conformance with Government OPR.

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

contractor personnel are reachable during normal government duty days and hours, 7:30 am -4:30 pm ET, or during hours mutually agreed to by the contractor and the COR.

· Periodic Audit, COR performs review of deliverables list (table 1) and validates delivery conformance with Government OPR.

· If delivery is unacceptable, COR reports non-conformance to CM and QAPC

· Monthly, COR updates submittal of deliverables under CMS Monthly QA Report

3.2.4 Surveillance Checklist (Attachment 3). The COR is responsible for developing standard procedures for Surveillance Checklists and may request QAPC assistance; the Surveillance Checklist serves as the guideline for all inspections. As a minimum, the Surveillance Checklist will include the items in the Services Summary and Deliverables Tables. The COR may also add other inspection activities/surveillance items to the Surveillance Checklist, with applicable PWS references, and obtain permission from the QAPC. These items may fluctuate throughout the course of the contract based on customer needs, identified risks, or issues related to contractor performance. The COR will document all inspections conducted using the Surveillance Checklist and maintain them in the COR folder.

3.2.5 Contractor’s Quality Control Plan (QCP). A contractor's internal actions, in the form of a QCP, are usually written to satisfy task order requirements for written procedures or to provide direction on how contractor employees are to perform. Any deviations will be treated as deficiencies/non-conformances and handled IAW paragraph 3.3.3. The COR will review the QCP IAW requirements of the solicitation and subsequent awarded task order. The COR will forward any deficiencies/non-conformances to the QAPC and CM/CO for appropriate action.

3.3 Assessing Performance. CORs must document contractor performance on each contract, as well as the scope and results of any inspections. Documentation will be maintained in the COR’s monthly log. CORs will also assess and rate Contractor performance as it relates to contract requirements. Performance Assessment may take the form of notes in the monthly log, assessment results from the Surveillance Checklist, non-conformance notifications, QA Monthly Services Summary Report, and annual Contract Performance Assessment Reports (CPAR). Each builds on the other and provides a thorough documented history of contractor performance. The COR shall provide a monthly performance report to the CO for each task order as well as annual performance reports in Contractor Performance Assessment Reporting System (CPARS).

3.3.1 Monthly Logs. The COR shall maintain a monthly log documenting contractor performance for each month during the performance of the contract. These months should follow the period of performance of the contract. The monthly log should document both good and less than desirable performance issues, concerns, highlights or non-conformances and can be used to document any correspondence with the contractor. This log serves as the basis for any formal documentation of non-conformances or deficiencies and provides the backbone for formal reports on contractor performance, such as the monthly performance report and annual CPARs. The log also provides continuity should COR duties shift in the course of contract performance.

3.3.2 Inspections. The COR may perform inspection/surveillance at any time during contract performance IAW FAR 52.246-2 through 5, as applicable. The COR will retain all audit and inspection documentation until contract closeout, unless otherwise approved by the CO. Upon completion of the task order or warranty period if applicable, the COR will turn over the COR folder to the CO.

3.3.3 Non-conformances and Deficiencies. Audit or Inspection results that fall below contractual standards shall be identified as non-conformances or deficiencies. The COR will notify the contactor IAW para 3.4 and document all non-conformances in the monthly log, referencing the specific PWS requirement that the contractor did not meet, document the name of the individual contacted, and date and time of notification. If the contractor fails to take corrective actions in a reasonable time-frame, the COR will notify the CM/CO and QAPC for further actions.

3.4 Types of Non-conformance.

3.4.1 Minor Non-conformance: A minor non-conformance is a non-conformance, which by itself does not adversely impact mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A minor non-conformance normally does not increase risk to the government.

3.4.2 Major Non-conformance: A major non-conformance is a non-conformance that adversely impacts mission, safety of personnel and/or equipment, performance (quality), schedule (delivery), or cost. A major non-conformance also increases risk to the government. An example of increasing risk would be significant number of recurring non-conformances, which indicates inadequate preventive measures or actions, thus lowering the government’s confidence that quality services will be provided, be on time, and/or be provided at cost.

3.4.3 Non-conformance Notification. If a deficiency is found during inspection of the contractor’s performance, the COR will determine the type of notification based on the category of the non-conformance (see Table 3) and pursue non-conformance resolution per paragraph 3.4.

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS.

Minor

Step 1: First Notice Step 2: Second Notice

3.4.4 First or Second Notices (see Attachment 1). As shown in Table 3, First and Second Notices provide written notification from the government to the contractor of minor non-conformances. Initial minor non-conformances should be addressed with a First Notice to the applicable contractor representative. The COR will notify both the CM/CO and the QAPC of the issue and prepare the notice for CO signature. The COR will submit the notice to the QAPC for review.

3.4.4.1 The QAPC will coordinate with the COR on the First or Second Notice NLT two business days after non-conformance notification is submitted, ensuring the First or Second Notice (attachment 1) is filled out correctly. The QAPC will provide an electronic copy of the First or Second Notice to the CO for review NLT 10 duty days after discovery of the event; if deemed appropriate the CO will issue the First and Second Notice to the contractor with a suspense date for the contractors reply, sending a courtesy copy email to both the QAPC and COR.

3.4.4.2 The contractor shall send the completed First or Second Notice to the CO and QAPC. If the contractor fails to respond by the specified due date, the QAPC will notify the CO for action and notify the Primary COR to annotate the contractor’s non-responsiveness in the CMS monthly services summary report. If the contractor fails to resolve the issue as documented in the Notice, the CO may elevate the issue to the next notification level (see Table 3). Corrective/preventive actions initiated and/or completed by the contractor will be verified by primary COR on scheduled subsequent inspection and documented accordingly.

3.4.5 Corrective Action Requests (CAR) (see Attachment 2). As shown in Table 3, a CAR provides written notification from the government to the contractor of significant performance discrepancies. The primary COR will recommend to the CM/CO and QAPC that a CAR be issued when previous notifications failed to result in corrective actions or when severe deficiencies exist. If a CAR is deemed necessary, the QAPC will assist the primary COR in filling out the CAR. The draft CAR will be routed NLT ten duty days after the event to the CO for review and signature, as the CO is the only person who has authority to issue a CAR to the contractor.

3.4.5.1 To satisfactorily close-out a CAR, the following criteria must be met: the contractor must meet the suspense; the corrective action must have already begun; and the contractor's actions must correct the deficiency and if applicable, be within specified standards.

3.4.5.2 If the corrective action is deemed UNSATISFACTORY by the FD and COR, the COR will annotate the CAR accordingly and forward it to the CO with a brief explanation, including an estimate of the government's loss due to the deficient performance. The estimate may account for loss or destruction of property, supplies, or equipment, and hours lost to re-perform the task. If the task cannot be re-performed, indicate the number of hours it ordinarily would have taken to do the task.

3.4.5.3 The COR will maintain a non-conformance log documenting all First and Second Notices and CARs. The log will include the date sent to the contractor, issue, due date for response and actual response date. If a detailed response is required, include a link to the response and include the response in the applicable COR folder tab.

3.5 Monthly Services Summary Reporting. CORs will perform services summary inspections (table 2) and update in CMS monthly.

3.5.1 COR Quality Reporting. The lead COR (or other designated primary COR) will complete a Contract Management System (CMS) monthly Quality Assurance Report. The lead or primary COR will request a login name and password at http://cms.acc.af.mil/register.aspx and complete the following:

3.5.1.1 First Name, Last Name and email address.

3.5.1.2 User Role: Contracting Officer Representative

3.5.1.3 Justification: Primary COR on (Contract Number)

3.5.2 Monthly COR Report

3.5.2.1 The primary COR certifies the essential services accomplished by the contractor and documents any issues or non-conformances that were identified during the month.

3.5.2.2 CMS will generate monthly emails to the primary COR(s) designated on the contract, monthly reports will be completed NLT the 10th calendar day of each month.

3.5.2.3 A primary COR will click on the embedded hyperlink in the email OR Log into CMS, click on my requirements, then click on appropriate contract; click on QA Monthly Rpt

3.5.2.4 The monthly report will display questions for the previous month (ex. answering questions in the month of March will display a monthly report for February)

3.5.2.5 Click on Answer Questions

3.5.2.6 Click on meets, exceeds, below standards or N/A (see Table 4) and provide justification for each answer.

3.5.2.7 After completing the Monthly Performance Report, click submit.

3.5.2.8 CMS will only allow one submitted report per month.

TABLE 4 – MONTHLY PERFORMANCE RATING DEFINITIONS

Under Corrective Action, state what corrective action the contractor has taken or is planning to take based on the contractor’s response to the non-conformance notification.

or Specific question is not applicable for evaluated period.

3.6 Annual Contract Performance Assessment Reporting System (CPARS) –

The Contractor Performance Assessment Reporting System (CPARS) http://www.cpars.csd.disa.mil/cparsmain.htm ) is the Department of Defense (DoD) Enterprise Solution for collection of Contractor Past Performance Information (PPI) as required by the Federal Acquisition Regulation (FAR). CPARS is a web-enabled application that collects and manages a library of automated Contractor report cards. An annual CPAR will be written on all contracts that exceed $1M (value of base and all options). The COR will be designated as the Assessing Official Representative in CPARS for task orders over $1M. The Program Manager on the IDIQ contracts will collect information from CORs on orders under $1M for the assessments on the IDIQ contract. Written assessment in CPARS will begin annually from the start date of the contract or task order. The COR will provide ratings and narratives in CPARS based on objective evidence from previous monthly Services Summary information, inspection logs, 1st/2nd notices, CARS, and correspondence letters. A CPARS quality checklist is available at the following link. http://www.cpars.csd.disa.mil/cparsfiles/pdfs/CPARSQualityChecklist.pdf.

4.0 WIDE AREA WORK FLOW (WAWF). The COR will accept or reject all Receiving Reports submitted by the contactor in WAWF within 7 days of submittal by the contractor. To access the receiving report, log into WAWF, select the Government, Acceptor, Acceptance Folder tab; then type in the contract and delivery order (task order) number. The Shipment Number column in WAWF is the Receiving Report number.

4.1 Validating Receiving Reports. The COR will review and validate all WAWF receiving reports (Shipment Number in WAWF) ensuring that:

· The contractor submitted a combination invoice/receiving report

· The report reflects the correct contract number

· Beginning and ending dates being billed are stated and accurate

· The correct CLIN(s) is(are) charged for billing period

· A description of the services is provided (Firm Fixed Price, Labor Hour, Travel, Materials)

· The correct amount is charged, to include applicable handling rates

· Invoiced travel was pre-approved

· Back-up documentation is attached that includes a contractor invoice with current and cumulative hours (for FFP LOE contracts) and amounts, as applicable

· A breakout of any other charges, as agreed to by the CO or required by the contract, is attached in WAWF or has been provided to the COR

4.2 Certifying and Accepting Receiving Reports.

4.2.1 Certification of services is ALWAYS performed by the appointed COR. After validation of services is performed by the COR per paragraph 4.1 above, the COR will select the “CQA” (Contract Quality Assurance) button to verify that the invoice was accurate, this step will normally select the Acceptance button also. If anyone other than the COR (typically the Resource Advisor (RA)) is accepting services for the task order, the COR MUST certify in writing to the acceptor that services have been inspected/validated, the acceptor must then state in the comments block (under Misc Info tab) that the COR has reviewed, validated and certified services/invoices. In all cases, the COR will retain documentation (electronic or hard copy) showing COR validation and certification, as well as final acceptance of Contractor invoices.

4.2.2 COR Expenditure Log. After certification of an invoice in WAWF, the Primary COR will update the expenditure log documenting/tracking certified invoice expenditures against funds allocated on the contract against each CLIN. The QAPC will provide a template, if requested. Funding belongs to the organization where the COR resides; the COR expenditure log allows the COR to ensure that funds are available for the work performed, to include travel and materials.

4.3 Rejecting Receiving Reports. If a receiving report is rejected in WAWF, the COR will go to the Miscellaneous Info tab to complete the comments block as follows:

· List details regarding all unsatisfactory services or incorrect invoice information

AND

· Instruct the Contractor to contact DFAS to have the invoice rejected back to the Contractor; this will allow the Contractor to make the same correction on both the receiving report and invoice, since combination invoices/receiving reports are required.

4.3.1 The rejecter will then return to the Header tab and click the “Reject to Initiator” block. Anyone other than the COR may reject receiving reports in WAWF, but only when services/invoices have been reviewed and rejected by the COR in writing per the paragraph above. After rejecting the receiving report, e-mail the CM/CO the contract number, receiving report number, and reason for rejection.

5.0 COR FOLDER. The primary COR will establish and maintain a COR folder for each task order; an electronic version of the folder may be kept, however, must be maintained in an area where both alternate CORs, supervisors and FC/FD will have access to it. The COR folder must contain the tabs and contents outlined below in Table 5. ALL surveillance records are considered FOR OFFICIAL USE ONLY documents, and must be marked and safeguarded as such. Surveillance records are not provided to the contractor. Documentation is kept for the life of the contract and provides necessary continuity should COR duties transition during the course of the contract. The supervisor and COR will receive instructions from the CO on disposition or archival procedures upon contract completion.

TABLE 5 – COR FOLDER TABS & CONTENTS

(Date) MEMORANDUM FOR (Contractor) ATTN: (Contractor POC)

FROM: AFDW/PKS

SUBJECT: First/Second Notice on Contract FA4890-12-D-00XX for (brief name for non-conformance)

1. Contracting Officer Representative: (First and Last)

1. Office: (COR Office symbol)

1. Date of First Notice: (dd-mm-yyyy)

1. Reference: (PWS section and paragraph; Deliverable, Services Summary (SS), or email)

1. Reference Text: (State what action the Contractor should have performed IAW the reference above)

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

1. Date response due from Contractor: (dd-mm-yyyy)

1. Contractor POC: (First and Last)

1. Contractor’s Input (Provide correction action):

1. COR Review (COR comments to reply):

1. Date Closed: (dd-mm-yyyy)

(CO can indicate //signedinitialsdate// for initial submission and manually sign the completed copy when closing to allow input in 9, 10 and 11) (CO signature block))

CC: AFDW/PKS QAPC

Contracting Officer Representative Quality Assurance Surveillance Plan Attachment 1 First or Second Notice Template

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

Measure

TBD

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