Attachment_J_CEM_QASP_FINAL_20160525.pdf

Quality Assurance Surveillance Plan

Quality Assurance Surveillance Plan (QASP)

Under Secretary of the Air Force, Office of Business Transformation and

Deputy Chief Management Officer

Executive Education

Cost Estimating Modeling (CEM) Support

Solicitation No. FA7014-16-R-5004

Contract No. TBD

COMPLIANCE WITH THIS DOCUMENT IS MANDATORY

OPR: SAF/FMCCP Reviewed by: AFCAA/TD

Ms. Sonya Cook SL, Ranae Woods

Contracting Officer Representative Functional Director or PM Program Mgr

Reviewed by: AFDW/PKQ Accepted by: AFDW/PKS

Mrs. Mary Lawrence Mr. Joshua Pak

Quality Assurance Program Coordinator Contracting Officer

Pages: 23

TABLE OF CONTENTS

Section Page

1.0 SCOPE 3

1.1 Purpose 3

1.2 Application 3

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL 3

2.1 Contract Management Locations 4

2.2 Contract Management Team 4

2.3 Contractor Key Personnel 4

3.0 CONTRACT SURVEILLANCE 4-5

3.1 Surveillance Methods 5

3.2 Surveillance Documents 6

3.3 Assessing Performance 12

4.0 WIDE AREA WORK FLOW (WAWF) 16

4.1 Validating Receiving Reports 16

4.2 Certifying Receiving Reports 16

4.3 Rejecting Receiving Reports 17

5.0 CONTRACTING OFFICER REPRESENTATIVE (COR) FOLDER 18

TABLES

1 Deliverables 6-8

2 Services Summary 9

3 Non-Conformance Notifications 13

4 Quarterly Performance Assessment Report Evaluation Categories 15

5 Performance Rating Definitions 15

6 COR Folder Tabs and Contents 18

ATTACHMENTS

1 First Notice Template 19

2 Corrective Action Request (CAR) Template 20

3 Quarterly Performance Assessment Report (PAR) Template 22

1.0 SCOPE.

The Quality Assurance Surveillance Plan (QASP) is applicable to personnel performing contract surveillance audits in accordance with (IAW) Federal Acquisition Regulation (FAR) Part 46, Quality Assurance; Department of Defense FAR Supplement (DFARS) Subpart and PGI

201.602-2, Contracting Officer Responsibilities; Air Force FAR Supplement (AFFARS)

Mandatory Procedures (MP) 5346-103, Contracting Office Responsibilities, The Quality

Assurance Program; Air Force Instruction (AFI) 63-501, Air Force Acquisition Quality

Program; and organizational policy. It is designed to provide the Contracting Officer

Representative (COR) a systematic surveillance method for each service identified in the

Performance Work Statement (PWS) for each contract. The owning Functional Director (FD) and COR develop the methods for administering and evaluating contract performance. The

Quality Assurance Program Coordinator (QAPC) and Program Manager (PM) or Contracting

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 and Program Managers (PM) for planning, preparing, performing, analyzing, and reporting Contractor performance. This QASP provides a systematic surveillance method to evaluate the services received from the Contractor, and NOT to address the details of how the Contractor accomplishes the work.

1.2 Application: This QASP is used by all parties involved with assessing Contractor performance and is for the use of FDs, CORs and CO. The Contractor may receive a courtesy copy in order to further enhance communications with the Contractor, but shall not be considered as part of the contract.

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL.

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

1500 W. Perimeter Rd

Suite 2750

Joint Base Andrews, MD 20762

2.2 Contracting Management Team.

Contracting Officer (CO) – Mr. Bumjoon J. Pak: CO duties are detailed in FAR subpart 1.602-2.

The CO is the only Government agent authorized to award or modify contracts; therefore, the

CO is the only person authorized to contractually obligate the Government. The CO is also the individual who will sign any notifications to Contractors regarding performance issues and accepts Government surveillance methods utilized for each TO. The CO approves/appoints all

CORs assigned by the Functional Director/Functional Commander.

The CO can be reached at DSN: 612-2993 or Commercial 240-612-2993.

2.2.1 Contract Manager (CM) – Ms. Cynthia I Harper (CTR): The CM is the Government agent within the contracting office who performs day-to-day administration of the contract.

The CM can be reached at DSN: 612-2996 or Commercial 240-612-2996.

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

The PM can be reached at DSN: 612-5615 or Commercial (240) 612-5615

2.2.3 Quality Assurance Program Coordinator (QAPC)-Mary Lawrence: The QAPC assists the

CO and QAM in managing the overall QA program and supports customers in developing and adhering to TO-specific QASPs.

The QAPC can be reached at DSN: 612-6140 or Commercial 312-612-6040

2.2.4 Functional Director (FD)/Functional Commander (FC). 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 and nominates COR(s) for contract oversight. The FC/FD receives contract specific training by the QAPC.

2.2.5 Contracting Officer Representative (COR) Ms. Sonya Cook: 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 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 assigned by the requiring agency (FC/FD), completed COR required training (CO/QAPC and CO led training), and appointed by the CO.

2.3 Contractor Key Personnel. TBD

2.3.1 Project Manager. The Contractor’s Project Manager is responsible for the overall execution of the task order. This individual will serve as the focal point for the PM/COR assigned to the contract and may interface with the customer, as needed.

2.3.2 Project Manager. The Project/Task Lead is responsible for technical or quality control oversight; this individual may be the Project Manager.

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.

3.1 Surveillance Methods. Three primary methods of surveillance are normally used: 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 FD/FC 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 Section 4.10 the PWS. 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 PWS. 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 surveyed 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 random sampling indicates 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, complaints will be documented, preferably on a standard form. All customer complaints shall be forwarded to the COR. Information obtained from customer complaint activities may be used by the CO for actions relating to the Contractor.

3.1.4 Contractor Annual Training. The Contractor shall ensure that all staff complete the annual training provided per the guidance of the Security Manager. This annual training will include the Combating Trafficking in Persons training IAW PGI 222.17-Combating Trafficking in Persons, the COR(s) along with the Office of Special Investigations (OSI) will conduct an

Annual Surveillance on the Contractor's performance concerning Trafficking in Persons. This

Annual Surveillance may involve an examination of the Contractor(s) and Sub-Contractor(s) business practices to include the following:

a. All paperwork pertaining to the Contractor(s) and Sub-Contractor(s) activities.

b. All electronic (e.g. e-mail, facsimile, text messaging, and telephonic) traffic pertaining to the Contractor(s) and Sub-Contractor(s) activities.

c. Facilities pertaining to the Contractor(s) and Sub-Contractor(s) activities.

d. Interviews with Contractor(s) and Sub-Contractor(s) personnel.

3.2 Surveillance Documents.

3.2.1 Deliverables. All deliverables shall 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 work day following the due date. 95% of deliverables must be received in format/by due date in accordance with the PWS. Remaining 5% or any documents needing correction must be submitted within three (3) business days.

Table 1 Deliverable Schedule:

Deliverable Item PWS Paragraph

Reference Due Date

Deliverable 1 – Signed AFCAA NDAs 3.1.1 and 4.7

Signed NDAs must be presented to the COR NLT 5 days after contract award and before any support is provided on this contract. Updates and new NDAs shall be signed and presented to the COR before additional or replacement contractor personnel are provided on this contract. The

Contractor shall provide an updated report quarterly to the

COR or as requested by the

Government.

Deliverable 2 - Monthly Status Report 5.1 10th calendar day of following month

Deliverable 3 – Signed Data Source NDAs 3.1 Due NLT 6 months of contract award and updated/added within 5 days after signing for all other data source NDAs.

Deliverable 4 - Overall Task Plan of

Action and Milestones (POA&M)

3.1.2 Within 30 days after contract

award. Updates quarterly or as requested.

Deliverable 5 – Data

Sources/Quality/Availability Report

3.1.4 Draft Report due NLT 10 days

before end of the Task 4

Final Report due NLT 10 days after the end of Task 4

Deliverable 6 –Data Collection Templates and Instructions based on PWS Task 5

3.2.1

Draft Report due NLT 10 days before end of the Task 4 and Task

Final Report due NLT 10 days after the end of Task 4 and Task 5

Reference Due Date

Deliverable 7 – Data Collection Plan and

Documented Database of all data collected

3.1.3 Draft Report due NLT 10 days

before end of the Task 3

Final Report due NLT 10 days after the end of Task 3

Deliverable 8 – Requested Studies, Analyses Reports, and Other Required

Program Reports; Documented Method sets/tools

3.3 Draft Report due NLT 10 days

before end of the study period

Final Report due NLT 10 days after the end of the study period.

Deliverable 9 – Task Change Notices

(TCN)

All task areas The Contractor shall track, manage and provide the Government with a log or report showing any and all

TCNs on a quarterly basis or per the request of the COR or CO.

The Government will provide the

Contractor with additional guidance after contract award.

Deliverable 10 - Management Capability

Plan

3.1.2.c and 4.1 Within 30 days after contract award. Updates quarterly or as requested.

Deliverable 11 – Meeting Agenda and

Minutes

All task areas The Contractor shall provide the

COR or PM with an agenda of any

Government directed meetings that the Contract is to attend. The agenda will be due within 48 hrs of the meeting. The Contractor shall document the discussion items, action items and any ‘way ahead’ directions from the meetings. The

Meeting Minutes are due to the

COR or PM within five (5) days of the meeting.

Reference Due Date

Deliverable 12 – Travel Report All task areas The Contractor shall notify the

COR or PM at least ten (10) days prior to travel for approval. The

Contractor shall provide an estimated cost for the trip, description, length of days and number of travelers to the COR for approval. A Trip Report showing actual costs, receipts, description of the trip, meeting minutes or action items and any other information that will be directed by the Government will be submitted within five (5) days after returning from the trip. Receipts of all charges over $75.00 will be submitted with the invoice for that trip and noted in the Trip Report.

Deliverable 13 – Draft of all final submissions for policies, white papers, briefings, and reports as instructed by the

Government for the procedures and processes for the collection conducted for this contract.

All Sections Draft Reports due NLT 60 days before the end of the contract.

Deliverable 14 – Final submissions for policies, white papers, briefings, and reports as instructed by the Government for the procedures and processes for the data collection conducted for this contract.

All Sections to include Task 7 -

Product

Finalization

Final Reports due NLT 30 days before the end of the contract or as instructed by the COR/CO.

3.2.2 Services Summary. The Services Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the

COR will use to validate/inspect these tasks.

Table 2 Services Summary:

Performance

Objective

PWS

Reference

Performance

Threshold

Incentive/Remedy

Provide qualified people at Contract start date

PWS 3.0,

4.0 & 4.7

Performance is acceptable when:

Qualified personnel are on the job at contract start, unless previously negotiated by the CO.

Performance of this objective will be annotated in the Contractor Performance

Assessment Reporting System (CPARS)

Rating.

Failure to meet the delivery date within

75% staffed on day 1 and 100% staffed within 5 days for Key Personnel, IAW, PWS 4.7.1 will result in a reduction of the fixed fee amount by 20% of quarterly fixed fee amount.

Effectively replaces/ substitutes personnel

PWS 3.0,

4.0 & 4.7

Performance is acceptable when:

a) Vacancies are filled with qualified personnel within 5 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

Performance of this objective will be annotated in the Contractor Performance

5 days for Key Personnel and 8 days for all other Personnel will result in a reduction of the fixed fee amount by

15% of quarterly fixed fee amount, if standards are not met.

PWS

Reference

Performance

Threshold

Incentive/Remedy

Completion of

Signed Data Source

NDAs.

PWS 3.1.1 Performance is acceptable when:

Signed source agency

NDAs are provided within 6 months of contract award. As well as, assist in identifying other non-

AF programs for data collection, and ensure full and open access to data subject to applicable security and/or proprietary rights for all identified

OEM contractors and major subcontractors for those identified programs.

Performance of this objective will be annotated in the Contractor Performance

This is a critical requirement; therefore, failure to meet delivery date for at least

90% of NDAs (to include source agency within 6 months of contract award and any other required NDAs within 2 months after identification) will result in a reduction of the fixed fee amount by

20% of quarterly fixed fee amount and/or termination of the contract if standards are not met.

Plan of Action &

Milestones

(POA&M)

PWS 3.1.2 Performance is

A POA&M with the minimum requirements, IAW, PWS 3.1.2., describing the contractor’s approach to satisfy all requirements that includes each weapon system commodity group is provided within 30 calendar days after contract award. As well as, providing recommended changes/updates to the government at the

Quarterly (every three months) meetings or as needed by direction of the government.

annotated in the CPARS Rating.

10 days will result in a reduction of the fixed fee amount by 10% of quarterly fixed fee amount, if standards are not met.

PWS

Reference

Performance

Threshold

Incentive/Remedy

Monthly Status

Report

PWS 5.1 Performance is

The Monthly Status

Report is submitted not later than the 10th calendar day of the following month. The report executive’s summary must include all of the items identified in PWS 5.1, items a – g (the burn rate schedule sheet identified in item g is a mandatory item).

2 days will result in a reduction of the fixed fee amount by 10% of quarterly fixed fee amount, if standards are not met.

Provide final documents and deliverables based on POA&M action items as directed by

Task Direction

Memorandums

(TDMs)

PWS Para

5.0 and

Para 10.6

White Papers, PowerPoint presentations, etc. due in accordance with the

Government guidance.

Due in format and at the time agreed upon by the Government and the contractor as requirement develops throughout the mission.

Failure to meet the delivery date will result in a reduction of the fixed fee amount by 25% of quarterly fixed fee amount, if standards are not met.

NOTE: The reduction of fixed fee will be calculated in accordance with the Attachment A

(Service Summary) and Attachment B (CEM Fee Schedule). Attachment B – CEM Fee

Schedule will be completed by the Government prior to award and the Fee Schedule will be incorporated into the contract. Attachment B is an example showing the calculations based on withholding 7.5% of the fixed fee until all contractual obligations and deliverable are received from the Contractor then an invoice will be submitted to the Government for that withheld fee.

3.2.2.1 Incentive/ Remedy Process:

This paragraph describes the process for evaluating the Contractor’s performance and the assessment of incentives or penalty based on performance requirements defined in the Service

Summary. Contracting Officer’s Representatives (COR) advised and reports on recorded contractor performance to the Contracting Officer (CO). The COR will monitor the Contractor’s performance and maintain written records of the Contractor’s performance to ensure a fair and accurate evaluation based on the Performance Thresholds.

3.2.2.2 Incentives:

Performance of the objectives will be annotated in the CPARS Rating. Meeting the program objectives and providing support services above and beyond the standard requirements will be noted in a positive statement for the contractor’s past performance.

3.2.2.3 Remedy (Penalty):

The COR will review the Contractor’s performance against the Performance Threshold. If the

Contractor fails to meet any of the specified Performance Threshold, the Government will levy a penalty in accordance with Remedy description. The penalty will be applied to the total quarterly billable invoices for Fixed Fee CLIN.

3.2.2.4 Excusable Deviation from Performance Threshold and Related Assessment:

The Prime Contractor and Subcontractors, at any tier, shall not be liable for failing to meet

Performance Threshold if a performance failures is caused by and occurrence beyond the reasonable control of the Prime Contractor and/or Subcontractors and without its fault or negligence. Such occurrence includes acts of God or the public enemy, acts of the Government in either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, unusually severe weather, delays of common carriers and sanction Government delays;

the Prime Contractor shall notify the CO of any such occurrences. Notification of any performance failure must occur within but no later than five calendar days from its occurrence.

The Prime Contractor shall include details regarding the performance failure, its cause, and subsequent remedy or plan of action for remedy. The CO will review all details provided and determine if the situation will be deemed an excusable deviation from the Performance

Thresholds.

3.2.2.5 Appeals:

Any appeal to the penalty decision will be provided to the CO and adjudicated ty the AFDW/PK

Senior Contracting Official. All appeals must be made in writing and provide substantiation to the disputed facts no later than 5 business days from written notification of the CO’s final penalty determination. The decision from the appeal authority will be the final decision.

3.2.3 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.

3.3 Assessing Performance. CORs must document Contractor performance on each contract, as well as the scope and purpose of any inspections. Documentation will be maintained in the

COR’s folder. CORs will also assess and rate Contractor performance as it relates to contract requirements. Performance Assessment may take the form of notes, assessment results from the

Surveillance Checklist, non-conformance notifications, quarterly Performance Assessment

Reports (PAR) and annual Contract Performance Assessment Reports (CPAR). Each builds on the other and provides a thorough documented history of Contractor performance.

3.3.1 Inspections. The COR may perform inspection/surveillance at any time during contract performance IAW FAR 252.246-2 through 5, as applicable. The COR will retain all audit and inspection documentation until contract closeout, unless otherwise approved by the CO.

3.3.2 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 3.3.3.2 and document all non-conformances, 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.

3.3.2.1 Types of Non-conformance.

3.3.2.1.1 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.

3.3.2.1.2 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 recurring non-conformances, which indicates inadequate preventive measures or actions, thus lowering the Government’s confidence that quality services will be provided on time and at cost.

3.3.2.2 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.

3.3.2.2.1 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 provide a final, signed copy to the CM/CO and QAPC. The CO will provide the First notice to the contractor with a suspense date for the contractors reply. If the Contractor fails to respond by the specified due date, the

COR will notify the CO/QAPC for action and annotate the Contractor’s non-responsiveness in

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS.

Non-conformance Category Notification Type

Minor

Step 1: First Notice

Step 2: Corrective Action Request (CAR)

Major CAR the quarterly PAR. If the Contractor fails to resolve the issue as documented in the Notice, the

COR should elevate the issue to the next level (CAR). Corrective/preventive actions initiated and/or completed by the Contractor will be verified by CORs on the scheduled inspection and documented accordingly.

3.3.2.2.2 Corrective Action Requests (CAR) (see Attachment 2). As shown in Table 3, a CAR provides written notification from the Government to the Contractor of significant performance discrepancies. The 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 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.

3.3.2.2.2.1 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.

3.3.2.2.2.2 If the corrective action is deemed UNSATISFACTORY by the COR, annotate the

CAR accordingly and forward it to the CO with a brief explanation, including an estimate of the

Government's loss due to the 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.

3.3.2.2.3 The COR will maintain a non-conformance log documenting all First Notices and

CARs. The log will include the date sent to the Contractor, issue, due date for response and actual response date. If a detailed response is required, include a link to the response and include the response in the applicable COR folder tab.

3.3.3 Quarterly Services Summary Reporting – CORs will perform services summary inspections (table 2) and document in PAR.

3.3.4 Quarterly Performance Assessment Report (PAR) (Attachment 4). The COR will accomplish quarterly PARs documenting Contractor performance for the preceding quarterly performance period. This is a critical document giving the CO performance oversight on all services and ensures all products during the quarterly period were provided to the Government

IAW all contract and TO requirements. The QAPC will notify/suspense the COR for providing information on the Contractor’s performance. The COR will provide the both QAPC and FD a copy of the completed report.

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

3.3.4.2 Performance Rating Definitions. The COR rates each of the quarterly PAR categories, as applicable, based on the Contractor’s actual performance during the reporting period (see Table 5 below). These ratings can also serve as a basis for CPARs. Ratings will not be arbitrary or reflect an emotional assessment of the Contractor’s performance. Any ratings other than ‘Meets

Standards’ must be appropriately justified. For instance, if the COR rates the Contractor’s performance as ‘Exceeds Standards,’ the COR must show what PWS was exceeded and how that benefitted the Government.

TABLE 5 – PERFORMANCE RATING DEFINITIONS

Rating Definition

Exceeds

Standards

Contractor performance meets contractual requirements and exceeds some/many to the Government’s benefit. A Contractor may still receive this rating if there were few minor performance problems for which corrective actions taken by the

Contractor were effective. Note: To justify this rating, identify significant events and state the benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an ‘Exceeds Standards’ rating. Also, there should be NO significant weaknesses identified in the category evaluated.

Meets

Standards

Performance meets contractual requirements. There may be some minor performance problems for which corrective actions taken by the Contractor appear or were satisfactory. Note: To justify this rating, there should have been only minor problems, or major problems from which the Contractor recovered without impact to the contract. Also there should be NO significant weaknesses identified.

Below

Standards

Performance does NOT meet some contractual requirements. Contractor performance reflects a serious problem(s) or more than three minor issues for which the Contractor has not yet identified corrective actions or corrective actions have not been successful. Any proposed actions appear only marginally effective, were not fully implemented, or were ineffective. Note: To justify this standard, identify an event(s) that the Contractor had trouble overcoming and state how it

TABLE 4 – PERFORMANCE ASSESSMENT REPORT (PAR) EVALUATION

CATEGORIES

Category Criteria

Quality of Product or Services

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

Schedule

Assess the timeliness of the Contractor against completion of the contract, TOs, milestones, delivery schedules, or administrative requirements (e.g., efforts that contribute to or effect a schedule variance).

Business Relations

Assess the Contractor’s ability to integrate and coordinate all activities needed to execute the contract; specifically the timeliness, completeness and quality of problem identification, corrective actions, the Contractor’s history of reasonable and cooperative behavior, customer satisfaction.

Management of

Key Personnel

Assess the Contractor’s performance in selecting, retaining, supporting, and when necessary, replacing key personnel.

impacted the Government. This rating should be supported by referencing any non-conformance notification sent to the Contractor.

3.3.5 Annual Contract Performance Assessment Reporting System (CPARS) –

The Contractor Performance Assessment Reporting System (CPARS) http://www.cpars.csd.disa.mil/cparsmain.htm ) is the Department of Defense (DoD) Enterprise

Solution for collection of Contractor Past Performance Information (PPI) as required by the

Federal Acquisition Regulation (FAR). CPARS is a web-enabled application that collects and manages a library of automated Contractor report cards. An annual CPAR will be written on all contracts that exceed $1M total contract value. The COR (or PM) will be designated as the

Assessing Official Representative (AOR) in CPARS; the written assessment in CPARS will begin annually from the start date of the contract and forwarded to the Contract Manager within

60 days of the contract start date anniversary. The AOR will use objective evidence from previous quarterly PARS, monthly Services Summary, inspection logs, 1st notices, CARS, and correspondence letters for CPARs assessment. A CPARS quality checklist is available at the following link. http://www.cpars.csd.disa.mil/cparsfiles/pdfs/CPARSQualityChecklist.pdf.

4.0 WIDE AREA WORK FLOW (WAWF).

The COR will accept or reject all Receiving Reports submitted by the Contactor in WAWF within 15 days of submittal by the Contractor when possible. 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

Beginning and ending dates being billed are stated and accurate

The correct CLINs are charged for billing period

A description of the services is provided

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 http://www.cpars.csd.disa.mil/cparsmain.htm http://www.cpars.csd.disa.mil/cparsfiles/pdfs/CPARSQualityChecklist.pdf 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.

4.3.1 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.

4.3.2 The rejecter will then return to the Header tab and click the “Reject to Initiator” block.

Anyone other than the COR may reject receiving reports in WAWF, but only when services/invoices have been reviewed and rejected by the COR in writing per the paragraph above. After rejecting the receiving report, e-mail the CM/CO the contract number, receiving report number, and reason for rejection.

5.0 COR FOLDER.

The Primary COR will establish and maintain a COR folder for each task order. The COR folder must contain the tabs and contents outlined below in Table 6. ALL surveillance records are considered FOR OFFICIAL USE ONLY documents, and must be marked and safeguarded as such. Documentation is kept for the life of the contract and provides necessary continuity should

COR duties transition during the course of the contract. The FD/FC and COR will receive instructions from the CO on disposition or archival procedures upon contract completion.

TABLE 6 – COR FOLDER TABS & CONTENTS

Tab Title Items to Include

1 General Correspondence

2 COR Appointment Letter(s) Assignment/nomination letter(s), appointment letter(s) and Government/Contractor relationships guidance

3 COR Training Training certificates for Phase I and Phase II training

4 Contract/Task Order, Modifications, PWS, Pricing

Contract for current level of effort, any modifications and most current

PWS/amendment on contract, and Contractor’s contract/task order pricing

5 Quality Assurance Surveillance

Plan, Surveillance Checklist

Contract/task order QASP, approved surveillance checklist, and completed surveillance checklists

6 Contractor’s Quality Control Plan If applicable

7 First & Second Notices, Corrective

Action Reports (CAR)

Non-conformance log, First and Second Notices and CARs issued to Contractor

8 Contractor Deliverables CDRLs, deliverable specified in contract/task order, reports, etc.

9 Quarterly Performance Assessment

Reports (PAR)

10 WAWF Invoices & Attachments If electronic, must be available upon request and for the life of the contract

11 COR Expenditure Log Updated with latest invoice and funding

12 DD Form 254 If applicable

13 Additional Documentation The COR will maintain a written or electronic log which can be used to assist in tracking burn rates, minor deficiencies and progress on the task order or any other information the COR deems necessary or appropriate.

Attachment 1

First or Second Notice Template

(January 15, 2016)

MEMORANDUM FOR (TBD)

FROM: (CO’s Name and Office Symbol)

SUBJECT: First/Second Notice for Contract for Business Engineering & Technical

Assistance on – contract (#TBD)

1. Contracting Officer Representative: (Ms. Sonya Cook)

2. Office: SAF/FMCCP

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

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

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

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

(CO signature block))

Quality Assessment Surveillance Plan

Attachment 2

Corrective Action Request (CAR)

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. DEFICIENCY 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.

Attachment 3

PAR

8. QUALITY ASSURANCE PERSONNEL (QAP)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. QAP RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT

RECURRENCE

11. QAP DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

QUARTERLY PERFORMANCE ASSESSMENT REPORT (PAR)

COR: Report Month:

Organization: Date Submitted:

Contract No.: Contractor:

Contract Title:

Contractor Team Lead:

Method of Performance Evaluation

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

RATING: Exceptional Very Good Satisfactory Marginal

Unsatisfactory

TRAVEL: Date______ Destination________________

(COR signature)

PERFORMANCE SUMMARY

CRITERIA:

a. Quality –

b. Schedule –

c. Cost Control – N/A

d. Business Relations –

e. Management –

f. Small Business –

g. Other Areas –

a. Personnel Attraction/Retention:

b. Security

TECHNICAL PERFORMANCE:

DEFICIENCIES:

AREAS FOR IMPROVEMENT:

ADDITIONAL COMMENTS: