Attachment_6__QASP_26_April_2018.pdf

Attachment #6

Quality Assurance Surveillance Plan

AIR FORCE DISTRICT OF WASHINGTON

CONTRACTING DIRECTORATE

Date: 26 April 2018

Contract Name: BUSINESS PROCESS REENGINEERING (BPR) AND POLICY

DEVELOPMENT FOR MATERIEL MANAGEMENT AND GROUND TRANSPORTATION

Quality Assurance Surveillance

COMPLIANCE WITH THIS DOCUMENT IS MANDATORY

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

Reviewed by:

Davis Oishi, USAF Contracting Officer Representative (COR)

Reviewed by: AFDW/PKO

TSgt. Stacey Little

Quality Assurance Program

Coordinator (QAPC)

Accepted by: AFDW/PKS

Michelle.L.Pederson

Contracting Officer (CO)

TABLE OF CONTENTS

Section Page

1.0 SCOPE 3

1.1 Purpose 3

1.2 Application 3

1.3 General Policies 3

2.0 MANAGEMENT LOCATIONS AND KEY PERSONNEL 3

2.1 Management Locations 3

2.2 Contracting Management Team 4

2.3 COR Management

2.4 Contractor Key Personnel

3.0 CONTRACT SURVEILLANCE 5

3.1 Surveillance Methods 6

3.2 Surveillance Documents 7

3.3 Assessing Performance 9

3.4 Types of Non-Conformance 10

3.5 Monthly Services Summary Reporting 11

3.6 Annual Contractor Performance Assessment Reporting System 12

4.0 WIDE AREA WORK FLOW (WAWF) 12

4.1 Validating Receiving Reports 13

4.2 Certifying Receiving Reports 13

4.3 Rejecting Receiving Reports 14

5.0 CONTRACTING OFFICER REPRESENTATIVE (COR) FOLDER 14

TABLES

1 Deliverables 7

2 Services Summary 8

3 Non-conformance Notifications 10

4 Monthly Performance Rating Definitions 12

5 COR Folder Tabs and Contents 14

ATTACHMENTS

1 First or Second Notice Template 16

2 Corrective Action Request (CAR) Template 17

3 Surveillance Checklist Template 20

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. 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. The QASP is used by all parties involved with assessing Contractor performance under a contract. 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 entire 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 task order Contracting Management is:

1500 West Perimeter Road, Suite 2750

JB Andrews NAF, MD 20762

2.2 AFDW/PKS 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 is Michelle Pederson, michelle.l.pederson2.civ@mail.mil 240-612-6170

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

The CS is Paula Schwenk, paula.s.schwenk.civ@mail.mil, 240-612-6185

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 is TSgt Stacey Little, stacey.m.little3.mil@mail.mil 240-612-6183

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 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 is JEANNE I. HARDRATH, Col, USAF Chief, Logistics Readiness

Division, 703-697-5978

2.3.2 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 mailto:michelle.l.pederson2.civ@mail.mil mailto:paula.s.schwenk.civ@mail.mil mailto:stacey.m.little3.mil@mail.mil 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 is Davis Oishi, Davis.oishi.1@us.af.mil , 703-695-1015

2.4 Contractor Key Personnel. Company Name – Company email address– To Be

Determined (TBD)

2.4.1 Project/Task Lead. The Project/Task Lead is responsible for assigning work to contractor personnel and technical or quality control oversight. This individual will serve as the focal point for the CM, CO, COR;

Contractor Project/Task Lead(s) name, phone number and email address

3.0 CONTRACT SURVEILLANCE. The COR function is responsible for a wide range 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 goalof.

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.

mailto:Davis.oishi.1@us.af.mil

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.

3.1.4 Combating Trafficking in Persons. The COR shall stay aware of the requirements of

FAR Clause 52.222-50 (c), (d), and (f) (Combating and Trafficking in Persons). The contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons. The COR will monitor contractor's performance regarding trafficking in persons. The COR shall immediately notify the

Contracting Officer of non-compliance with FAR 52.222-50. The Contracting Officer shall convey the information to the DoD Combat Trafficking in Persons (CTIP) Law Enforcement

Support Office of under Secretary of Defense (OUSD) Personnel and Readiness (P&R) Defense

Human Resources Activity (DHRA). http://ctip.defense.gov Department of State's Office to

Monitor and Combat Trafficking in Person is http://www.state.gov/j/tip.

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. The contractor shall provide deliverables in the format pre-approved by the COR (word,pdf, excel).

4.1 Table of Deliverables

http://ctip.defense.gov/ http://www.state.gov/j/tip

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. Inspection of each task will be documented in the

COR folder.

Performance Objective Task/Paragraph Performance Threshold and

Surveillance

Provide the functional, technical and administrative support services necessary to accomplish Materiel Management policy associated with DOD 4140.1-R, DoD Supply Chain Materiel Management, DODI 5000.64, Accountability and Management of DOD Equipment and Other Accountable Property, DOD Financial Improvement and Audit Readiness guidance, and AFI 23-101 that enable AF BPR of business processes associated with accountability, supply chain

3.1 Business Process Reengineering and Policy Development— Materiel Management

100% on time delivery based on required delivery date.

Document Quality:

Multiple Revisions may be required—100% turn-in of requested documents, with a maximum of 3 deficiencies.

Exceeding a maximum of 3 deficiencies on the accuracy and completeness of documents may delay payments to the contractor.

PWS CDRL Deliverable or Milestone To Medium Delivery Date

3.1 A001 Working Summary Session

Notes

COR Electronic, hardcopy

As required

3.1 A002 Decision Support Documentation COR Electronic, hardcopy

As required

3.2 A003 Schedule for Enterprise

Adoption of CMV criteria

COR Electronic, hardcopy

Within 30 DACA

3.2 A004 Auditing Methodology/schedule

recommendations (Remote and In-person)

COR Electronic, hardcopy

Within 60 DACA

3.2 A005 Conduct Audits (Remote and In-

person)

COR Electronic, hardcopy

As required/based on enterprise schedule

3.2 A006 Installation Progress Reports COR Electronic, hardcopy

Within 30 days of audit completion

3.3 A007 Work Breakdown Schedule &

Integrated Master Schedule

COR Electronic, hardcopy

Within 30 DACA

3.3 A008 Weekly Activity Report (WAR) COR Electronic, hardcopy

Weekly

3.4 A001 Working Summary Session

Notes

COR Electronic, hardcopy

As required

3.4 A002 Decision Support Documentation COR Electronic, hardcopy

As required

4.0

A009 Kickoff Meeting Briefing COR Electronic, hardcopy

Within 15 DACA

4.0 A010 Kickoff Meeting Minutes COR Electronic, hardcopy

Within 20 DACA management, and support equipment and related IT systems.

All reports, plans, and documentation should be properly staffed, delivered on time and without error.

100% resolution of all issues, accuracy and completeness of final draft.

Provide the functional, technical and administrative support services necessary to accomplish Ground Vehicle Training and Policy support.

Research, gather, analyze and evaluate existing ground vehicle guidance and lesson plans and benchmark industry training best practices in order to develop and publish standard training guide, Lesson Plans for each class of ground vehicles for operator training and licensing. These artifacts will include industry best practice training techniques All documents should be properly staffed, delivered on time and without error.

3.2 BPR and Policy Development – Ground Vehicle Training Development and Delivery Support

100% on time delivery based on required delivery date.

Document Quality:

Multiple Revisions may be required—100% turn-in of requested documents

90% accuracy and completeness of drafts. Exceeding a maximum of 3 attempts to achieve the accuracy and completeness of documents may delay payments to the contractor

100% resolution of all issues, accuracy and completeness of final draft.

Provide administrative support services necessary to develop, update and maintain a Work Breakdown Schedule, an Integrated Master Schedule, Weekly Activity Reports and Kickoff Briefing and Meeting Minutes. All reports, plans, and documentation should be properly staffed, delivered on time and without error.

3.3 Program

Management Support

100% on time delivery based on required delivery date.

Document Quality:

Multiple revisions may be required—100% turn-in of requested documents

A maximum of 3 deficiencies on accuracy and completeness of drafts. Exceeding a maximum of 3 deficiencies on the accuracy and completeness of documents may delay payments to the contractor.

100% resolution of all issues, accuracy and completeness of final draft.

Provide the functional, technical and administrative support services to accomplish AF Distribution policy development. All reports, plans, and documentation should be properly staffed, delivered on time and without error.

3.4 Air Force

Distribution (Optional)

100% on time delivery based on required delivery date.

Document Quality:

Multiple revisions may be required—100% turn-in of requested documents

A maximum of 3 deficiencies on accuracy and completeness of drafts. Exceeding a maximum of 3 deficiencies on the accuracy and completeness of documents may delay payments to the contractor.

100% resolution of all issues, accuracy and completeness of final draft.

Staffing of Contractor Personnel

3.1 Business Process Reengineering and Policy Development— Materiel Management 3.2 BPR and Policy Development – Ground Vehicle Training Development and Delivery Support

3.3 Program

Management Support

3.4 Air Force

Distribution (Optional)

100% Inspection

The government shall not be billed on firm fixed price orders for positions left vacant over 15 working unless the vacancy is due to government delay and otherwise approved by the Contracting Officer.

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 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/TO 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.

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.

TABLE 3 – NON-CONFORMANCE NOTIFICATIONS.

Non-conformance Category Notification Type

Minor

Step 1: First Notice

Step 2: Second Notice

Major Corrective Action Request (CAR)

3.4.5 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 Monthly Performance Rating Definitions.

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.

3.6 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

IDIQ contracts and all task orders 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 http://www.cpars.csd.disa.mil/cparsmain.htm http://www.cpars.csd.disa.mil/cparsfiles/pdfs/CPARSQualityChecklist.pdf

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 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, 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 TO, 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 FILE.

The Primary COR will establish an electronic COR file in Wide Area Work Flow eBusiness

Suites/CORTool. The COR and the COR Supervisor/ FC/FD will gain access to the

CORTool/WAWF. All surveillance records, memorandum for records, monthly COR reports and trip reports are considered FOR OFFICIAL USE ONLY documents, and must be marked and safeguarded in the CORTool/WAWF. Documentation is kept for the duration of the contract and provides necessary continuity should COR duties transition during the course of the contract.

Attachment 1

First or Second Notice Template

(Date)

MEMORANDUM FOR (Contractor)

ATTN: (Contractor POC)

FROM: AFDW/PKS

SUBJECT: First/Second Notice on Contract (brief name for non-conformance)

1. Contracting Officer Representative: (First and Last)

2. Office: (COR Office symbol)

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

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

5. Reference Text: (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))

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

8. Contractor POC: (First and Last)

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

10. COR Review (COR comments to reply):

11. 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: Contracting Officer Representative

EXHIBIT 3

CORRECTIVE ACTION REPORT (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. MAJOR MINOR

FINDING:

FINDING IMPACT:

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

Block 5.

8. CONTRACTING OFFICERS REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

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

PREVENT RECURRENCE

11. CONTRACTOR RESPONSE

ACCEPTED REJECTED

12. CLOSE DATE

CAR Instructions

Block 1. Enter Contractor Name

Block 2. Enter Contract Number

Block 3. Enter Contract Name or Type of Service

Block 4. Enter Functional Area of the Contract

Block 5. Enter the assigned suspense date given the contractor to provide a response to the

CAR.

Block 6.

a. All CARs will be tracked with a Control Number.

b. The COR (Primary or Alternate) is the Issuing Authority for all CARs.

c. The control number will be made up of the contract number; the last two digits of the calendar year and a three digit number starting with 001 and progressing upward throughout the calendar year.

d. The COR will attach all CARs to their performance evaluation report.

Block 7. Check the block that indicates whether the identified deficiency is a Major or Minor finding. Definitions of Major and Minor findings are as follows:

a Major Finding. A condition having a significant adverse effect on the quality of the activity under review such as:

Failure to meet a Performance Threshold

Significant mission degradation in any contractor operated function.

A situation that is likely to result in hazardous or unsafe conditions for individuals or any other

Government resources coming into contact with the work.

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

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

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

b. Minor Finding. A departure from established standards having little bearing on service provided. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring (failure to provide adequate corrective action to prevent reoccurrence of findings). In this case, the minor finding should be elevated to the level of a major finding and a new CAR initiated.

Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, section, paragraph and subparagraph and must make a brief but complete quotation of the contract reference.

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

Normal suspense time for contractor response is ten working days.

Block 8. The COR initiating a CAR signs and dates the report.

Block 9. The COR or designee signs and dates the report.

Block 10. Upon review of the contractor’s reply, the initiator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The COR accepts or rejects the contractor’s response.

Block 12.

a. The COR enters a close out date after acceptance of the contractor’s response.

b. The COR will forward the CAR to the contractor. The COR will attach copies and record results of any reports in the Monthly Performance Report. Copies of completed CARs will be maintained in the Performance Assessment folder. If a CAR is not deemed closeable due to incomplete or unacceptable contractor response, the CAR will be returned to the contractor for additional information.

Description Reference

Surveillance

Method/

Measure

Date

Planned

Date

Completed

Exceeds (E), Met (M) or

Below (B)

Standard Results/Remarks

Review

Monthly log

PWS

paragraph

3.0

30 days after contract start by

COR

TBD