Attachment_10_FIAR_IDIQ_QASP_Final_KR.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FA7014-17-R-5002

AIR FORCE

FINANCIAL IMPROVEMENT & AUDIT READINESS (FIAR)

SUPPORT

INDEFINITE DELIVERY / INDEFINITE QUANTITY (IDIQ)

25 Oct 2017

REVISIONS

REVISION DATE DESCRIPTION INITIALS &

DATE

Original 10/25/2017 Original Document KMR

TABLE OF CONTENTS

Section Page

1.1 SCOPE 4

1.2 Purpose 4

1.3 Application 4

1.4 Combatting Tracking in Persons (CTIP) 4

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL 4

2.1 Government Program Management Office Location 4

2.2 Government Program Management Team 5

2.3 Contractor Key Personnel 7

3.0 CONTRACT SURVEILLANCE 9

3.1 Surveillance Methods 10

3.2 Surveillance Documents 11

3.3 Assessing Performance 12

4.0 Wide Area Work Flow (WAWF) 13

5.0 CONTRACTING OFFICER REPRESENTATIVE (COR) FOLDER 14

ATTACHMENTS

1 Performance Assessment Report (PAR)

2 Customer Compliant Form 17

3 Corrective Action Request (CAR) Template 18

4 Appendix 1: Surveillance Matrix 20

APPENDIX A:

Deliverables

Services Summary

Quality Assurance Surveillance Plan

1.1 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; DoDI 5000.72,; DoD Standard for

Contracting Officer’s Representative (COR) Certification; Air Force Instruction (AFI) 63-

138, Acquisition of Services; Air Force Instruction (AFI) 63-501, Air Force Acquisition

Quality Program; and organizational policy. The QASP 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 Task Order (TO). The

Quality Assurance Program Coordinator (QAPC) has developed the methods for administering and evaluating contract performance. The owning Functional Director (FD) and Program Manager (PM) will review these methods, which are then accepted or rejected by the Contracting Officer (CO).

1.2 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.

1.3 Application: This QASP is used by all parties involved with assessing Contractor performance and is for the use of the FD, PM, QAPC, CORs, Contract Manager (CM) and

CO. The Contractor may receive a courtesy copy in order to further enhance communications between the Government and the Contractor, but shall not be considered as part of the contract.

1.4 Combat Trafficking in Persons: The Contractor shall also ensure that each of their staff completes the annual training per the direction of the Government Security Manager to include the Combat Trafficking in Persons Requirement that IAW PGI 222.17. The

Government 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

2.1 GOVERNMENT PROGRAM MANAGEMENT (Government PM) LOCATION

AND KEY PERSONNEL.

2.2 This effort is contracted through AFDW PKA Division. The address for

Contracting Management is:

1500 W. Perimeter Rd

Suite 2750

Joint Base Andrews, MD 20762

2.3 Government Program Management Team.

2.3.1 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.

2.3.2 Contract Manager (CM) The CM is the Government agent within the contracting office who performs day-to-day administration of the contract.

2.3.3 Program Manager (PM) The PM holds overall responsibility for the success of the acquisition and supports the program regarding program reviews, program status, program performance, and actual or anticipated program problems. The PM assists customers with requirements development and definition, PWS modifications, deficiency resolution, and manages the overall risk and past performance (CPARS) programs. The PM is responsible for accepting Contractor invoices in WAWF.

2.3.4 Quality Assurance Program Coordinator (QAPC) The QAPC holds overall responsibility for the quality assurance program. The QAPC designs IDIQ and TO level

QASPs to ensure appropriate inspection has occurred prior to acceptance of Contractor work products and services. The QAPC provides guidance and trains CORs on Contractor oversight responsibilities, and reviews contract performance documentation provided by the

COR on a regular basis to ensure performance is compatible with contract requirements. The

QAPC is also responsible for certification of contract services in WAWF.

2.3.5 Functional Director (FD)/Functional Commander (FC) FD/FCs are the mission owners of the service to be or already acquired, and are responsible for coordinating and prioritizing resources such as program scope, time, and cost, to bring about the successful completion of the contract. FD/FCs review contract performance documentation provided by the COR on a regular basis to ensure performance is compatible with mission objectives. The FD/FC is responsible for ensuring properly trained CORs are available with sufficient technical expertise in order to adequately perform Government contract quality assurance of contracted services. The FD/FC receives contract specific training by the CO/QAPC.

2.3.6 Primary Contracting Officer Representative (COR) The Primary COR is ultimately responsible for executing the QASP. 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 proficiency in Contractor surveillance and evaluation procedures. The COR must also have enough knowledge of Contractor activities to perform Government contract quality assurance of both monthly services and products provided by the Contractor. The

COR cannot assume duties until nominated by the requiring agency (FD/FC) or CO, completed COR required training (DAU, QAPC and CO led training), and appointed by the

CO.

Alternate Contracting Officer Representative (COR) executes QASP surveillance through all phases of the program. Alternate COR(s) will notify the applicable IDIQ Primary COR and

SAF/FMF FIAR PM of Contractor performance issues impacting the program. Alternate

COR(s) should be at a level where other duties don’t prevent proper oversight of Contractor performance. The Alternate COR must maintain both technical competency and proficiency in Contractor surveillance and evaluation procedures. The Alternate COR must also have enough knowledge of Contractor activities to properly perform Government contract quality assurance of both monthly services and products provided by the Contractor. The

Alternate COR cannot assume duties until nominated by the requiring agency (FD/FC) or

CO, completed COR required training (DAU, QAPC and CO led training), and be appointed by the CO.

2.3 Contractor/ Key Personnel

2.3.1 Administrative/Program Manager: The Contractor’s Administrative/Program

Manager is responsible for the overall execution of the task order. This individual will serve as the focal point for the CM/CO and/or PM assigned to the IDIQ contract and may interface with the customer, as needed.

2.3.2 Task Lead: The Project/Task Lead for each Task Order is responsible for technical or quality control oversight,

2.3.3 Partner: The Partner is responsible for overseeing the entire project and serves as the PMO lead and final authority in reviewing and approving all deliverables.

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 program management and Quality Control (QC) actions to meet the terms of the contract. However, due to the complexity and criticality of the services being performed by the Contractor, the Government cannot rely solely on the Contractor’s quality program and must have a method to oversee the entire contracting process. The Government does this through the QASP and can inspect or test all services and products called for by the contract, to the extent practicable, at all times and places, during the term of the contract. The foundation of this relationship is built upon regular, objective, fair, and consistent COR evaluations of Contractor performance against contract requirements, along with the ability to discuss inspection results, trends, and items of mutual interest with the Contractor. The COR uses the methods in this QASP to achieve this goal.

3.1 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 Methods. For the FIAR program, three primary methods of surveillance are normally used: one hundred percent inspection, periodic audits, and Contractor self-reporting. 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 COR/QAPC to ascertain whether or not Contractor performance is compatible with contract and mission objectives and by the CO for actions relating to the Contractor.

3.2.1 One Hundred Percent Inspection/Validation. Inspection is defined as conformity evaluation by observation and judgment accompanied as appropriate by measurement, testing, or gauging. This method will be used for all Contractor deliverables (tangible items). CORs will use the One Hundred Percent Inspection method to evaluate all reports delivered under paragraph 3.2 of the QASP. The COR will make accept/reject recommendations to the QAPC and CO for these products based on the criteria and performance standards as outlined in the

Deliverables and/or Services Summary portion of the PWS. The COR also documents all results of inspections actions, and subsequent Contractor re-performance taskings, if applicable.

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

3.2.3 Contractor self-reporting. Appropriate for tasks such as system maintenance where the Contractor can provide system records that document performance, i.e. Risk Log, FIP Status Log.

3.2.4 COR Limitations: CORs are the "eyes and ears" of the PM and CO relative to actual contract performance and are allowed to provide technical clarification to the Contractor on work defined in the PWS. Remember: CORs WILL NOT direct work, direct re-accomplishment of work, change the contract, or formally interpret the contract. The CO, in coordination with SAF/FMF FIAR Support PM, Primary CORs, and functional area/technical experts, will resolve these types of issues.

3.2.5 The Government acknowledges its responsibility to provide accurate and timely information to the Contractor throughout the performance of this contract. If the Contractor believes the Government has not provided: (1) requested information in a reasonable amount of time (determined by complexity of generating/delivering the information and timeframe allowed); or (2) accurate or complete information/documentation, the Contractor shall notify the applicable COR, as well as the Quality Assurance Program Coordinator (QAPC), and

CO. This notification shall identify what was requested, when, of whom, and expected delivery date. The CO shall investigate the matter. If it is determined the Government is not meeting its responsibilities, the notification date/time marks the start of Government delay.

The delay ends when the COR verifies delivery. The CO will consider such delays when determining the Contractor’s accountability in meeting contract timelines on a case-by-case basis.

3.2.6 In addition to surveilling items in the Services Summary, the Government is required to conduct an Initial Contract Performance Review IAW AFI 63-138 paragraph 6.4. The initial evaluation of Contractor performance is a joint determination by the multi-functional team that the Contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract. This review shall take place within 30 days after the Contractor assumes full performance responsibilities. (i.e. after completion of transition/mobilization). Areas of particular interest are:

3.2.6.1 Contractor’s business relationship with the SAF/FMF FIAR Support PM from contract award, through transition, to full first month’s performance.

3.2.6.2 Contractor provides personnel and deliverables in accordance with Contractor proposal.

3.2.6.3 Quality and timeliness of Contractor’s first deliverables.

3.2.6.4 Contractor’s implementation of their Quality Control Plan; see paragraph 3.2.7.

3.2.7 Surveillance Documentation. The Primary COR is responsible for developing standard procedures for conducting conformance evaluations of Contractor’s performance/products and maintaining traceability of objective evidence for all conformance/nonconformance. As a minimum, the Surveillance Documentation will include the items in the Services Summary and Deliverables Tables by annotating the evaluation results in the Monthly COR Report. The COR may also add other inspection activities/surveillance items to the Surveillance Documentation, with applicable PWS references. 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/acceptance conducted using the Surveillance Documentation and maintain them in the COR folder (either hard or electronic copy).

Contractor’s Quality Control Plan (QCP). A Contractor's internal inspection system, in the form of a QCP, is written procedures which provide direction on how Contractor performs quality oversight of contract performance and deliverables. Once submitted, the QAPC will evaluate whether the QCP meets PWS requirements and make a concern/no concern recommendation to the CO. Once accepted, any deviations from the QCP by Contractor personnel will be treated as non-conformances and handled IAW paragraph 3.3.2. The COR will forward any potential non- conformances to the QAPC and CO for appropriate action.

3.3 Assessing Performance. CORs must document Contractor performance for this task order, as well as the scope and purpose of any inspections. Documentation of all inspections and acceptances will be maintained by the Primary CORs and annotated in the monthly report

IAW paragraph 3.3.5 by the Primary CORs. Primary CORs will also assess and rate Contractor performance as it relates to contract requirements. Performance Assessment may take the form of emails to the AFDW FIAR Support CM, non-conformance notifications, and annual

Contract Performance Assessment Reports (CPAR). Each builds on the other and provides a thorough documented history of Contractor performance. There are specific task areas that will be assessed/rated to drive greater contractor accountability for work performed. As addressed in the Services Summary, these areas will be weighed heavily in evaluation for annual CPAR, based on clear stratification of “Satisfactory”, “Very Good”, and “Excellent” performance measures. The Gov’t should provide regular feedback to the contractor, via monthly evaluations or other informal ad-hoc feedback, to allow for course correction with goal of contractor achieving better than “Satisfactory”.

3.3.1 Inspections. The COR may perform inspection/surveillance at any time during contract performance IAW FAR 52.212-4 (Alt 1) and 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. Audit or Inspection results that fail to meet or comply with contractual requirements shall be identified as non-conformances; non-conformance determination is made by the CO/QAPC. The Primary COR will provide a summary of the issue, referencing the specific PWS/TO requirement that the Contractor did not meet, plus the objective evidence that supports the COR’s conclusion NLT 2 duty days after non-conformance discovery to usaf.jbanafw.afdw-staff.mbx.afdw-fiar-follow-on-contract@mail.mil. If the CO/QAPC determines a non-conformance has occurred, follow the procedures in paragraph 3.3.2.2 for Contractor notification. All non- conformances will be documented IAW paragraph 3.3.2.2.3. All non-conformances will be reported IAW paragraphs 3.3.5 and 3.3.6.

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 may 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 (or has the reasonable potential to impact) 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 corrective 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 nonconformance is found during inspection of the Contractor’s performance, the CO will determine the type of notification based on the category of the non-conformance (see Table 3) and pursue non-conformance resolution per paragraph 3.3.2.2.1.

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS.

Non-conformance Category Notification Type

Minor Step 1: First Notice

Step 2: Second Notice

Major Corrective Action Request (CAR)

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 CO to the Contractor of

Minor Non-conformances. The QAPC will coordinate with the Primary COR on the

First or Second Notice no later than (NLT) two business days after non-conformance notification is provided to AFDW CM, 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 SAF/FMF FIAR PM and the Primary

COR.

mailto:AFFIARSupport@langley.af.mil mailto:AFFIARSupport@langley.af.mil mailto:AFFIARSupport@us.af.mil

The Contractor shall send the completed First or Second Notice to the SAF/FMF PM. 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 COR

Monthly report. If the Contractor fails to resolve the issue as documented in the notice, the

CO may elevate the issue to the next level (a Second Notice or CAR). Corrective/preventive actions initiated and/or completed by the Contractor will be verified by Primary COR on scheduled subsequent 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 Primary COR will recommend to the

CO and QAPC that a CAR be issued when previous notifications failed to result in corrective actions or when a Major Non- conformance exists. If a CAR is deemed necessary, the QAPC will assist the Primary COR in filling out the CAR. The draft

CAR will be routed by the QAPC NLT 10 duty days after discovery of the event to the CO for review, signing, and sending to the Contractor for their action.

3.3.2.2.2.1 To satisfactorily close-out a CAR, the following criteria must be met: the

Contractor must meet the suspense date; the Contractor must adhere to their QCP regarding corrective action; the corrective action must have already begun; any required updates to the Contractor’s QCP will have been made and reviewed by the Primary COR; the

Contractor's actions must correct the non-conformance; and if applicable, be within specified standards.

3.3.2.2.2.2 If the corrective action is deemed unsatisfactory by the QAPC and Primary

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 unsatisfactory 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 perform the task.

3.3.2.2.2.3 The QAPC 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.

3.3.3 Monthly COR Reporting – A Primary COR will perform services summary inspections (paragraph 3.2.2) and update in monthly; the monthly report can only be filled out once per month.

3.3.4 COR Quality Reporting – The Lead COR (or other designated Primary COR) will complete HQ AFDW’s Monthly COR Report.

3.3.5 Monthly COR Report

3.3.5.1 The Primary COR certifies the essential services accomplished by the Contractor and documents any issues or non-conformances that were identified during the month.

3.3.5.2 The COR will generate monthly COR reports that will be completed NLT the 10 th calendar day of each month.

3.3.5.3 The monthly report will include questions for the previous month (ex.

answering questions in the month of March for a monthly report for February)

TABLE 4 – MONTHLY PERFORMANCE RATING DEFINITIONS

Rating Definition

Exceeds

Standards

Contractor performance exceeds contractual requirements and is beneficial to the

Government. To justify exceeds standards, state which PWS or SOW requirement(s) was exceeded (to include the paragraph number) along with how exceeding this requirement was a benefit to the Government.

Meets

Standards

Contractor performance meets contractual requirements. To justify meets standards, specify the PWS paragraph/requirement and state that the Contractor met the requirement.

Below

Standards

Contractor performance does NOT meet some contractual requirements. To justify below standard, identify an event(s) that the Contractor had trouble overcoming and state how it impacted the Government. This rating should be supported by referencing any non-conformance notification sent to the Contractor.

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.

N/A Contractor was not contractually required to perform specific task or

Specific question is not applicable for evaluated period.

3.3.6 Annual Contract Performance Assessment Reporting System (CPARS) –

The Contractor Performance Assessment Reporting System (CPARS)

(http://www.cpars.gov/main/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 SAF/FMF FIAR PM will be designated as the Assessing Official Representative (AOR) in CPARS. NLT 30 days prior to the end of the yearly contract Period of Performance (PoP), each TO Primary COR will provide COR CPAR inputs/annual assessment, written in a MS Word document, to the

SAF/FMF FIAR Support e- mail box. The CPARs process begins at the end of each PoP and must be completed within 120 days. The SAF/FMF FIAR PM will use objective evidence from each TO Primary COR’s assessment, Monthly Services Summary, any First or Second

Notices, CARS, and correspondence letters for CPARs assessment. The CPARS evaluations must also consider the specific task areas that will be assessed using the “Satisfactory”, “Very

Good”, and “Excellent” performance measures. Refer to para 3.3 and the Services Summary.

As the AOR, the SAF/FMF FIAR PM will review the inputs and compile them into draft ratings which will be discussed with the CORs prior to submitting them to the AO (timeline:

w/in 30 days of the end of the PoP). The Contractor has 60 days to review and concur/non-concur with the ratings in the CPAR system, at which time the Reviewing Official (RO) will adjudicate all non-concur claims, provide a final ruling and close the CPARs assessment before the end of the 120 day CPAR rating period.

4.1 WIDE AREA WORK FLOW (WAWF). To provide documentation that will withstand the contracting audit process, COR oversight and certification of the

Contractor’s performance is needed to justify the payment of invoices in WAWF. The

Primary COR for each Task Order will provide the SAF/FMF FIAR Support PM a

“Certificate of Services” for each contract invoice period to document Contractor performance and customer receipt of services. The SAF/FMF FIAR Support PM will provide a Certificate of Services request to the Primary CORs to initiate the documentation process. Upon receiving the Certificate of Services request, the Primary http://www.cpars.gov/main/cparsmain.htm)

COR for each Task Order will review and confirm the services provided, and provide confirmation via e- mail to the SAF/FMF FIAR Support PM. The certification of services is attached in WAWF and used by the SAF/FMF FIAR Support PM (as the Acceptor) to justify the payment of invoices. This documentation, combined with the Contractor's WAR

Reports, copies of the COR's Team Update Meetings/Internal-Process Review documentation of Contractor surveillance and performance (meeting minutes, validation/acceptance of AU/FIP/AWP deliverables) will be used as supporting documentation of Contractor services provided.

4.2 The QAPC will certify, and the PM will accept or reject all Receiving Reports submitted by the Contractor in WAWF within 7 days of submittal by the Contractor.

4.3 Validating Receiving Reports. The SAF/FMF FIAR PM 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 and TO 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, etc., 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 TO, is attached in WAWF or has been provided to the COR

4.3.1 Certifying and Accepting Receiving Reports. Certification of services is ALWAYS performed by the QAPC. Any non-conformances provided to the Contractor during the invoice period will be annotated in the miscellaneous block of WAWF. The PM will validate the accuracy of the receiving report per paragraph 4.1. and confirm with the Primary COR that the invoice was accurate and services were provided in accordance with the contact except as noted in the miscellaneous block via an e-mail message. The QAPC will review the COR-provided certificate of services e-mail and reply to the PM that services have been inspected/validated

IAW the contract. The acceptor (either PM or QAPC) will state in the comments block (under

Misc Info tab) that the COR has reviewed, validated and certified services/invoices. After validation of the receiving report per paragraph 4.1 above, the acceptor will select the “CQA”

(Contract Quality Assurance) button, which will automatically place check marks in the CQA and Acceptance boxes, and then select the Acceptance button to complete the process. In all cases, the QAPC will retain documentation (electronic or hard copy) showing COR validation and certification.

4.3.1.1 To provide documentation that will withstand the contracting audit process, COR oversight and certification of the Contractor’s performance is needed to justify the payment of invoices in WAWF. The Primary COR for each Task Order will provide the SAF/FMF FIAR

Support PM a “Certificate of Services” for each contract invoice period to document

Contractor performance and customer receipt of services. The SAF/FMF FIAR Support PM will provide a Certificate of Services request to the Primary COR(s) to initiate the documentation process. Within three working days of receiving the Certificate of Services request, the Primary COR will review and confirm the services provided, and provide confirmation via e-mail to the S A F / F M F FIAR Support PM). The certification of services is attached in WAWF and used by the SAF/FMF FIAR Support PM (as the Acceptor) to justify the payment of invoices. This documentation, combined with the Contractor's WAR

Reports, copies of the COR's documentation of Contractor surveillance and performance

(meeting minutes, validation/acceptance of deliverables) will be used as supporting documentation of Contractor services provided.

4.3.2 Expenditure Log. After certification of an invoice in WAWF, the PM will update the expenditure log documenting/tracking certified invoice expenditures against funds allocated on the contract against each CLIN. The expenditure log allows both the PM and the CORs to ensure that funds are available for the work performed, to include travel and materials.

4.4 Rejecting Receiving Reports. If a receiving report is rejected in WAWF, the PM or

QAPC 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

4.4.1 The rejecter will then return to the Header tab and click the “Reject to Initiator” block. 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 an electronic COR folder for each task order. 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. 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 5 – COR FOLDER TABS & CONTENTS

Tab Title Items to Include

1 General Correspondence General Correspondence may be archived electronically, i.e., e-mail, PDF copies of e-mail, etc..

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

3 COR Training Training certificates for DAU, QAPC Led and CO

Led 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 Documentation

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

Primary COR must have a copy for applicable TO.

6 Contractor’s Quality Control Plan Maintained on the FIAR SharePoint

7 Contractor Listing of Key Personnel Contract Start/upon replacement of Key Personnel

8 First & Second Notices, Corrective

Action Reports (CAR)

Non-conformance log, First and Second Notices and

CARs issued to Contractor

9 Contractor Deliverables CDRLs, deliverable specified in contract/task order, reports, meeting minutes, etc.

10 WAWF Invoices & Attachments Maintained by SAF/FMF FIAR PM

11 Travel Expenditure Maintain Contractor estimated pre-travel expenditures and completed travel invoices.

12 DD Form 254 If applicable

6.0 Performance Rating Definitions

In evaluating the quality of contractor’s performance, the following performance ratings may be used.

Performance

Rating

Criteria

Excellent /

Outstanding

Performance meets contractual requirements and exceeds many to the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly effective.

Very Good Performance meets contractual requirements and exceeds some to the government benefits. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

Good Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the contractor were satisfactory.

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

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

Attachments:

Attachment 1: Performance Assessment Report

Attachment 2: Customer Complaint Form

Attachment 3: Corrective Action Report (CAR)

Appendix 1: Surveillance Matrix

Appendix A: Deliverables and Service Summary

Attachment 1: Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACT/TASK ORDER

NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM

REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX

WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR NON-

CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-

CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

Attachment 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

Attachment 3: 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. 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.

8. QUALITY ASSURANCE PERSONNEL (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. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

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Appendix 1 - Surveillance Matrix

PWS

Paragrap h

Performance Objective / Elements

Standards / AQL Inspection Calculation / Ratings

What How/ Method When/ Freq

3.1 Performance Objective (PO1) Rollup assessment of Performance Elements, to develop an overall rating for this objective.

<< If there is weighting, or other risk issues that influence the overall assessment, document them here. >>

3.1.1 PE 1 for PO 1 From

Roadmap:

CDRL XYZ

Complaints Feedback

X-Ref to description of methodology:

M1 e.g.: As Delivered

3.1.2 PE 2 for PO 1