Attachment_12_-_QASP_Grounds_Maint_-_8_Mar.pdf

QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)

FOR

GROUND MAINTENANCE SERVICE

Section A – Purpose

1. This Quality Assurance Surveillance Plan (QASP) has been developed to provide Contracting Officer Representative (COR) an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract.

2. This plan is based on the premise that the Contractor is responsible for contract management and quality control, not the Government. The Government’s objective in having the service provided is to obtain exceptional Ground Maintenance services. The results the Acquisition Team (Team) is striving to achieve in managing the acquisition for quality Ground Maintenance services.

A contract to provide the service is the best means of achieving that objective and results.

3. This plan describes the method(s) used to evaluate Contractor provided services, and not the details of how the Contractor accomplishes the work. Contracting Officer Representative (COR) may utilize various surveillance methods as a means to evaluate the Contractor’s performance.

The surveillance procedures identified in this plan, in concert with the Contractor’s quality control procedures, will assure the Government of acceptable Contractor performance.

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

5. This plan is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained.

Section B – Roles and Responsibilities of the Acquisition Team (Team)

The Team will plan and mange this service contract throughout the life of the requirement. The Team shall support and its members shall perform:

Business/acquisition strategy that promotes best value decisions that will meet customer requirements and foster partnerships with industry

Develop, implement, and execute performance based acquisition strategy

Market research to ensure best commercial practices

Source selection which ensures best value selection based on requirements

Contract performance management, to include collection of past performance information

Provide support to leadership, as required, to ensure dissemination of acquisition information

Ensure funding is adequate and within approved funding baselines

Manage risk to ensure mission performance is within cost and schedule constraints

Identify opportunities to improve performance throughout the life of the acquisition and recommend changes to the QASP

Membership. An Acquisition Team (Team) is established for each acquisition; it creates an environment that shapes and executes the service requirement throughout its entire life. The members work together to ensure success. The Team is responsible for acquisition planning, development, and performance management for new and follow-on service contracts.

Together, the team builds the acquisition strategy, purchase request package and solicitation, and executes performance management.

The Team membership will be individuals holding the positions listed herein. The Team may be comprised of the following positions:

Services Designated Official (SDO)

Functional Commander/Director (FC/D) over the functional area Contracting Squadron Commander Contracting Officer (CO) Contracting Officer’s Representative(s) Supervisor (CORSUP) Quality Assurance Program Coordinator (QAPC) Contract Administrator (CA) Contracting Officer’s Representative(s) (COR(s)) in the functional area Environmental, Legal, Manpower, Finance, Records Management and Safety

(Optional). These members may be called to help research or provide guidance on an issue that arises during the acquisition process.)

Contractor (Becomes a member after award of contract.)

1. Services Designated Official (SDO)

a. Must complete COR Management Training

b. Is the individual authorized IAW 10 U.S.C. 2330, to exercise responsibility for the management and oversight of the acquisition of contract services (AFI 63-101)

(AFFARS 5302.101)

c. Ensure services are being obtained at the most cost effective and efficient means and IAW Air Force policy.

d. Ensure an adequately planned and resourced management approach to monitor contractor performance including quality assurance & tracking procedures

e. Ensure the performance plan effectively monitors contractor performance.

f. AFI 63-101, CHAPTER 4.10.1.2, for services acquisitions below $100M, the SDO is responsible for conducting & documenting annual execution reviews. Report content for acquisitions above SAT and less than $100 million shall be determined by the respective SDO.

2. Contracting Squadron Commanders/Chiefs of the Contracting Offices/AFMC/AFSPC Center-level PKs/Chiefs of Performance management Offices

a. Ensures a Quality Assurance Program Coordinator (QAPC) is appointed to integrate the quality contract requirements into the quality assurance program.

b. Ensures functional area leadership receives tailored training for PBSA and Quality Assurance (QA).

c. Ensures QAPC individual training plans are tailored to the local mission and local QAPC responsibilities.

d. Ensures consistent guidance to customers given by QAPC and other functional areas such as Acquisition Centers of Excellence or similar offices.

e. Serves as the Installation Business Advisor to senior leadership

3. Functional Commander/Director

a. Identifies mission essential services, to include developing the necessary documents in accordance with DoDI 3020.37, Continuation of Essential DoD Contractor Services During Crisis.

4. COR Management (COR Supervisor – CORSUP)

a. Complete required training on the contracting requirements associated with the quality assurance program IAW MP5301.602-2(d) and any MAJCOM/DRU procedures

b. Nominates qualified individuals as CORs, primary and an alternate.

c. May review Contractor performance documentation, prepared by Contracting Officer Representative (COR), to ensure performance is compatible with contract and mission objectives while supporting a higher level of Contractor performance, and fostering synergistic partnerships.

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

e. Ensures CORs maintain proficiency and evaluate the CORs job performance not less than annually. Ensures all personnel within the functional area who may have contact with Contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

f. Ensure participation in the pre and post-award processes and performance of prospective COR/COR duties/responsibilities are properly addressed in the annual performance appraisal

g. Evaluate the performance of COR duties as part of their performance assessments throughout the period of the contract

5. Contracting Officer (CO)

a. Determine the nature of the work/requirement (Type A, B, or C) as specified in the Office of the Under Secretary of Defense (OUSD) (Acquisition Technology & Logistics (AT&L)) Memorandum, 29 Mar 10, “DoD Standard for Certification of COR for Service Acquisitions”

b. Determine if prospective COR(s) is/are qualified and acceptable. If unqualified or unacceptable, must identify specific deficiencies, notify the requiring activity, and request additional information or a new COR nomination

c. Ensures COR Initial Training and contract-specific training (to include refresher training) is scheduled and provided to prospective COR(s)

d. Appoint COR(s) via the COR Designation Memorandum and forward a copy of the fully executed COR Designation Memorandum to the COR, COR Supervisor, Contractor, QAPC, and to the contract administration office (if applicable)

e. Review the COR’s reports for completeness/accomplishment

f. Provide an assessment on COR performance to the COR Supervisor, as requested

g. If COR reports and/or performance are inadequate, provide a written assessment and discuss performance with the COR

h. If COR reports and/or performance continue to be inadequate, provide a written assessment and discuss COR performance with COR management

i. In cases where COR performance continues to be poor, terminate the COR Designation in writing and request a COR replacement. (The requiring activity shall provide a COR replacement to ensure continuous contract monitoring by a qualified individual.)

j. When the requiring activity requests termination of COR Designation, terminate the COR Designation in writing. (The termination memorandum shall be executed by the CO and acknowledged by the COR and COR Supervisor. Include the signed Termination of COR Designation memorandum in the official contract file.)

k. Forward a copy of the fully executed Termination of COR Designation memorandum to the COR, COR Supervisor, QAPC, and the contract administration office (if applicable)

l. Ensure acquisition processes (i.e., market research, gathering past performance, source selection, solicitation, evaluation, and award) are aggressively performed

6. Contract Administrators (CA)

a. Perform acquisition processes (i.e., market research, gathering past performance information, source selection, solicitation, evaluation, and award)

b. Ensure minutes are taken and maintain a written record of all MFT meetings to include action items and milestones, which should be distributed to the CORs and

QAPC

c. Assess COR performance periodically, as requested by CORSUP

d. Provide contract-specific training to CORs

7. Contracting Officer Representative (COR)

a. Provide information necessary to assess actual or potential personal conflicts of interest and immediately notify the CO if subsequent situations arise

b. Initiate request for required COR training/COR refresher training to ensure required training is completed prior to contract award IAW OUSD (AT&L) Memorandum, 29 Mar 10, “DoD Standard for Certification of COR for Service Acquisitions”

c. Participate, as requested, in requirements definition/pre-award activities

d. Ensure participation in the pre-award process and performance of prospective COR/COR duties/responsibilities are properly addressed in the annual performance appraisal

e. Establish and maintain a COR file IAW DFARS PGI 201.602-2(ii) and MP 5301.602-2(d)

f. Remain abreast of changes to terms and conditions of the contract resulting from contract modifications

g. SHALL NOT appoint, delegate, or re-delegate COR duties/responsibilities to another individual (Only a CO may designate a COR and delegate duties/responsibilities to a

COR)

h. Provide reports on contract performance to the CO through the CORTT. If advised by the CO that reports are inadequate, ensure follow-on reports address issues expected by the CO

i. When advised by the CO or CORSUP that COR designation will be terminated, ensure reports/records are made available to the CO, CORSUP, and a successor COR, if one is designated by the CO

j. If circumstances change and there is a reasonable expectation that the designated COR cannot perform effectively, (e.g., personal conflict of interest, change in assignment), the COR shall notify the CO, CORSUP and request the CO terminate the COR Designation and take action to designate a successor COR

k. Notify CO immediately of any performance deficiencies using the Performance Assessment Report (PAR) and track/follow up on PARs. Use of PAR form optional.

l. Submit requests to make changes to the contract with detailed Government cost estimate (in writing) to the CO. (It takes an average of 30 days to modify a contract to increase/decrease services.)

m. Prepare a Contractor Performance Assessment Report (CPAR) annually

n. Ensures the Contractor complies with the requirements of FAR Clause 52.222-50(c), (d), and (f) (Combating Trafficking in Persons)

o. Fulfill any other duties specifically identified in the CO’s COR Designation Memorandum. (This list of duties may differ according to each COR Designation Memorandum.)

8. Quality Assurance Program Coordinator (QAPC)

a. Train CORs and COR Management (COR Supervisor and SDO) on the contracting requirements associated with the quality assurance program in accordance with MP5301.602-2(d) and any MAJCOM/DRU procedures

b. Support the MFT in the development of contract quality assurance requirements, specifically ensuring requirements are clearly stated and enforceable

c. Assist the CO in providing refresher training in accordance with MP5301.602-2(d) and OUSD (AT&L) Memorandum, 29 Mar 10, “DoD Standard for Certification of COR for Service Acquisitions”

d. Assist, as required, with the evaluation of Contractor Quality Control Plans (CQCP)

e. Maintain the organization’s COR management system database (e.g., DoD Contracting Officer’s Representative Tracking (CORT) Tool at https://arcy.army.mil/DODCOR/). Duties include maintaining:

(1) A record of all COR designations and terminations of designations, to include COR’s acknowledgement of their duties, by contract number and CO’s name, and

(2) A record of all COR and COR management training, including refresher training regardless of provider (e.g., QAPC, CO, Contract specialists, CA, Defense Acquisition University (DAU), or commercial training provider)

f. Assist in preparing the PWS and QASP, as requested

9. Environmental, Legal, Manpower, Safety, Finance, Records Management POCs can:

a. Review and provide input for acquisition service requirement

10. Contractor shall

a. Provide innovative ideas that promote best value business decisions on this service contract to meet customer requirements

b. Comply fully with the terms and conditions of the contract/task order

c. Recommend changes to the contract that will provide more effective operations or eliminate unnecessary costs

d. Ensure that non-compliance of contract/task order requirements are identified and corrected and prevents recurrence

e. Maintain a CQCP, if applicable, that compliments the QASP

Section C – Service Summary and Method of Surveillance PERFORMANCE ASSESSMENT. This section identifies the process that measures success towards achieving defined performance objectives or goals defined within the performance thresholds in the Services Summary or the process of assessing progress towards achieving the objectives/goals developed in this Quality Assurance Surveillance Plan

(QASP).

1. Surveillance Approach. The intent of this plan is to primarily rely on the contractor’s internal quality control processes, changing the government’s role from “oversight” to “insight”. The team’s original surveillance approach may not stay the same throughout the duration of the contract; therefore, the government should be prepared to periodically update the surveillance approach when necessary. The goal of our surveillance approach is to gain confidence in the contractor’s way of doing business and then adjust the level of insight to a point that maintains that confidence.

a. Quality assurance shall be based on the Government’s evaluation of results, not the frequency or method of performance. All key performance objectives must meet the prescribed standards stated in the Services Summary to be regarded as acceptable.

b. The following is a list of the key performance objectives that will be verified as contractually compliant by government personnel; however, inspection of any contract requirements is authorized.

c. Each performance objective includes a government determined performance threshold and the procedures used to ensure this standard is met.

PERFORMANCE

OBJECTIVE (PO)

PWS

PARAGRAPH

PERFORMANCE

THREASHOLD

METHOD OF

SURVEILLANCE

PO-1 – Maintain Improved Grounds

a. Mow

b. Edge

c. Trim

d. Weed Control

e. Leaf Removal

f. Fertilization

g. Aeration

h. Prune shrubs

1.1.1 - 1.1.4

1.1.7 - 1.1.11

Excellent: 0 defects month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1-3 defect month

Satisfactory : 4 defects per month

Marginal: 5 defects per month Unsatisfactory: More than 5 defects per month

PWS

PARAGRAPH

PERFORMANCE

THREASHOLD

METHOD OF

SURVEILLANCE

PO-2 – Operate and Maintain Irrigation System

1.1.5 inclusive Excellent: 0 defects per month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1-3 defects per month

Satisfactory : 4 defects per month

Marginal: 5 defects per month

PO-3 – Debris, Trash and Litter Policing

1.1.6 inclusive Excellent: 0 defects per month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1 defects per month Satisfactory: 2 defects per month Marginal: 3 defects per month

Unsatisfactory: More than 3 defects

PO-4 – Maintain Semi- Improved Grounds

a. Mow Semi-improved

Grounds

b. Trim Semi-improved

Grounds

1.2 inclusive Excellent: 0 defects per month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1-3 defects per month Satisfactory: 4 defects per month Marginal: 5 defects per month

PO-5 – Maintain BASH (Bird Area Strike Hazard)

a. Mow BASH Grounds

b. Trim BASH Grounds

1.3 inclusive Excellent: 0 defects per month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1 defects per month Satisfactory: 2 defects per month Marginal: 3 defects per month

PO-6 – Maintain Vegetative Beds, Flower, Inert Beds, Rock Beds, and related Areas

1.5 inclusive Excellent: 0 defects per month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1 defects per month Satisfactory: 2 defects per month Marginal: 3 defects per month

PO-7 – Perform Snow and Ice Removal

1.7 inclusive Excellent: 0 defects per month Customer Complaint;

100% Inspection;

Periodic Validation

Very Good: 1 defects per month Satisfactory: 2 defects per month Marginal: 3 defects per month

PWS

PARAGRAPH

PEFORMANCE THREASHOLD

METHOD OF

SURVEILLANCE

PO-8 – Tree Pruning and Tree Removal

1.8.1 inclusive Excellent: 0 defects per tasking 100% Inspection;

Periodic Validation Satisfactory: 1 defect per tasking

Unsatisfactory: More than 1 defect per tasking

Section D – Surveillance Procedures

1. Surveillance Schedule

a. The COR will develop a surveillance schedule, based on this Plan. The schedule shall be completed no later than the first calendar day before the beginning of the period it covers.

Copies of the surveillance schedule shall be provided to the Contracting Officer via the DoD Contracting Officer Representative Tracking Tool (CORTT) for their review and approval/rejection. Surveillance schedules, when completed, shall be marked “For Official Use Only,” and shall not be shown to the Contractor.

b. Changes to the surveillance schedule shall be sent to the Contracting Officer. The COR shall document the reason(s) for changes to the surveillance schedule, and maintain the documentation in the COR files with the corresponding surveillance schedule that was changed.

2. Surveillance

a. It is essential that the COR conduct the exact number of surveillances on the surveillance schedule for an effective quality assurance program. COR shall document surveillance as it is conducted. The COR may use a format which works best for them, unless CO specifies differently in writing. However it must include all required elements. Must be signed and dated by the COR and by the contractor’s representative if there are items which needs correction.

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

c. The COR shall record surveillance results. Surveillance documentation shall include as a minimum, the date, time, and location the surveillance was conducted, rating results of the surveillance (i.e. Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory), contract paragraph number referencing the requirement, a short description of the requirement being surveyed, applicable remarks, signature of COR conducting the surveillance. When COR determine that Contractor performance is unacceptable, the specific reason for the unacceptable performance shall be recorded on the CORs surveillance documentation. This document will be input into the DoD CORTT for the Contracting Officer’s approval/rejection.

d. Combating Trafficking in Persons The COR/ACOR will verify and monitor that the Contractor has policies and procedures in place to prohibit any activities on the part of contractor employees that support or promote trafficking in persons as part of ongoing surveillance of performance of contract services. The Contractor or the COR/ACOR shall immediately bring to the attention of the Contracting Officer any non-compliance with contract clause FAR 52.222-50, Combating Trafficking in Persons. Additional information on DoD’s efforts to combat trafficking in persons can be found at the following website: http://www.dodig.mil/Inspections/IPO/combatinghuman.htm and the DFARS Procedures, Guidance, and Information 222.17.

3. Quality Control

The contractor shall utilize its own internal Quality Control processes in the performance of this contract. The quality control plan and supporting documentation shall be made available to the Government for review upon request. In order to supplement the contractor’s quality control program, government personnel will verify contractor compliance with mission essential performance requirements. The Contracting Officer’s Representative (COR) will verify the key performance objectives. It is the responsibility of the Contracting Officer’s Representative (COR) Management and COR, to review these key objectives to assess their applicability and recommend the addition or subtraction as conditions warrant.

4. Customer Complaints a COR shall ensure complaint procedures are made available to all customers.

b Any base employee observing unacceptable services, incomplete, not performed, or performed improperly, should immediately contact the COR. COR shall receive, document and validate or invalidate all complaints.

c If the complaint is invalid, the COR shall contact the customer and explain why the complaint was invalid.

d COR shall issue the Contractor a corrective action notice (can use the Corrective Action Report/CAR form) for all valid customer complaints. COR shall document when the complaint is resolved, and document the customer notification in their records.

e If the Contractor challenges the validity of any complaint, and the COR and Contractor cannot come to agreement, the complaint in question shall be forwarded to the Contacting Officer (CO) for resolution.

f Complaints will be tracked and if the performance threshold is exceeded, the COR shall notify the Contacting Officer in writing so that the appropriate action can be taken.

g If the COR identifies recurring instances of unsatisfactory performance, they may request to review the contractor’s internal quality control processes to ensure that they are sufficient.

h All valid customer complaints shall be re-performed if applicable, as soon as possible after notification, but prior to the next service period. Re-performance however does not eliminate the customer complaint and it still applies against the contractor’s performance threshold, if applicable.

i If the contractor challenges the validity of the complaint and the COR and contractor cannot come to agreement, the customer complaint will be forwarded to the Contracting Officer (CO) for resolution. Customer complaints will be tracked and if the performance threshold is exceeded, action will be taken by the CO in accordance with the applicable Inspection/Acceptance clause.

5. Periodic Validations Periodic surveillance/inspection is the type of surveillance that is based upon selecting samples for evaluation on other than 100% inspection or on a statistically random basis.

Periodic validations can be accomplished weekly, monthly or quarterly using a checklist method.

Section E – Surveillance of Non-Service Summary (SS) Items The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. Therefore, COR will conduct surveillance for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in Section F of this plan, entitled, Unacceptable Performance.

Section F – Unacceptable Performance

1. Unacceptable Performance a When the Contractor’s performance is deemed unacceptable, COR shall attempt to determine the cause of the unacceptable performance. If any Government action, or lack of action, caused the unacceptable performance, the unacceptable performance shall not be counted against the Contractor. The COR shall take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. When the unacceptable performance is not the result of Government action, or lack of action, COR shall promptly notify the Contractor and issue a corrective action request to the Contractor, including a suspense date, and ensure the corrective action is taken. COR shall direct the Contractor to re-perform the service, if possible, without additional cost to the Government. Unacceptable performance re-performed by the Contractor shall still count as unacceptable performance. If the Contractor challenges the validity of the CORs unacceptable surveillance findings, and the COR and Contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution.

b The COR shall maintain a log of all correction action requests issued to the Contractor.

The log shall contain the date issued, Contractor, description of unacceptable performance, suspense date, and closeout date. All corrective action requests and logs shall be maintained by the COR for the life of the contact.

2. Remedies for Unacceptable Performance.

a. In accordance with the contract Inspection of Services Clause 52.246-4, if any of the services do not conform to the contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to (if applicable) the termination of health care workers and recruitment of substitute health care workers that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may -

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the task order price to reflect the reduced value of the services performed.

This may include a reduction in the number of paid hours to reflect the total non-performance period.

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

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

(2) Terminate the contract or task order for default.

Section G – Certification/Acceptance of Services

1. These reports are essential for identifying areas that are nonconforming and whether the

Contractor has satisfied the basic requirements of the PWS. All documentation shall be submitted with all validated customer complaints and corrective action reports (CARs). COR is to contact CO via phone or email informing them the documentation has been submitted.

The CO shall review the submitted documentation and either approve or reject the report within 10 days for notification.

2. COR shall certify receipt of Contractor services. The COR shall certify that services were received, in accordance with the terms and conditions of the contact. The COR shall certify receipt of contracted services via the Wide Area Workflow (WAWF) website. Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties.

3. COR are responsible for scheduling and completing WAWF training from the base Accounting and Finance Office.

Section H – Contractor’s Quality Control Plan

1. In accordance with the PWS, the Contractor shall establish and maintain a Quality Control

Plan to ensure the requirements of the contract are provided as specified. The Contractor shall provide a Quality Control Plan describing the inspection system for the requested services listed in the PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of unacceptable services. The Contractor shall update the plan as changes occur and changes shall be submitted for review and acceptance by the Contracting Officer. The Contractor’s quality control plan shall contain, as a minimum, the following items:

a. A description of the inspection system to cover all services. Description shall include specifics as to the areas to be inspected on a scheduled and unscheduled basis, frequency of inspections, and the title and organizational placement of the inspector(s).

b. A description of the methods to be used for identifying and preventing defects in the quality of service performed.

c. A description of how the records will be kept. Records must document all inspections and corrective or preventive actions taken.

2. Contractor Inspection Records. Records of inspections shall be kept and made available to the Government throughout the contract performance period and for the period after contract completion until final settlement of any claims under this contract.

Section I – Contract Management

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

COR shall conduct, document, track, and analyze Contractor performance via surveillances in accordance with Section C, Service Summary and Method of Surveillance, above.

a. The surveillance results shall be maintained as Past Performance Information (PPI) and utilized to submit information into the annual Contractor Performance Assessment Report System (CPARS). Surveillance results, along with the Contractor’s submittals will be used to develop metrics to track Contractor’s overall compliance with contract terms and conditions.

b. The Contractor shall maintain and implement a quality control plan to ensure the contract services conform to the requirements of the performance work statement.

COR shall monitor Contractor’s performance against the Contractor’s quality control plan along with the QASP.

c. The Team shall conduct periodic progress meetings, not less than quarterly, to review the Contractor’s performance. At these meetings the Contracting Officer will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor will also notify the Contracting Officer, in writing, of any work being performed, if any, that the Contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues.

2. Documentation Requirements

a. Thorough documentation of unperformed or poorly performed work is essential for tracking Contractor performance throughout the period of performance. This documentation provides the Contracting Officer (CO) with Contractor status as it applies to the performance criteria and award fee data (if applicable). The CORs, as trained inspectors, will document deficient work by compiling facts describing the inspection methods and results. The CORs will develop documentation to substantiate nonconformance with the terms of the contract. The documentation, together with any recommendations, will be forwarded to the contract administrator, who will decide whether to elevate the problem to the Contracting Officer (CO) for corrective action.

b. The CO via a Designation Letter authorizes/delegates inspection and acceptance to the COR. The CORs are required to maintain accurate records of the Contractor’s performance and keep the CO informed of all data pertaining to Contractor status.

c. At a minimum the CORTT files shall contain the following documentation, however COR will need to consult with the CO to obtain an updated copy of any missing documentation:

1. Contract Surveillance Report/Status Reports Surveillance report/Surveillance Reports shall be uploaded into the CORT tool and maintained by each COR who is assigned to accomplish quality assurance for a performance requirement. If more than one COR (including Primary & Alternate CORs) is involved in the surveillance of the contract, one COR will be identified as the individual who will create the report. This report will include documentation from all the CORs involved.

2. Miscellaneous Documents should include:

a. Request for COR Support Memorandum from the CO

b. COR Nomination Memorandum from the CORSUP

c. COR Designation Letter signed by all required parties.

d. Copy of PWS (updated versions also)

e. Copy of revised QASP

f. Copy of SDO’s Certificate of Completion for required training

g. Copy of CORSUP’s Certificate of Completion for required training

3. Documentation which should be included in the COR file

a. Customer complaint documents

b. Corrective Action Reports (CARs) – both open and closed and a log to manage CAR numbering

c. Surveillance correspondence

d. OPSEC CLC 107 training certificate

e. Initial COR (COR Phase I) Training Certificate

f. Contract Specific (COR Phase II) Training Certificate

g. Completed Annual COR File Review Form

4. The CORT Tool file may also contain any other sections or information that the COR finds useful or CO requires.

3. Initial Contract Performance Review

a. All services acquisitions with a value in excess of $150,000 will be reviewed by the Team within 30 days of the contractor’s full assumption of contract workload (for example, end of transition, phase-in, or similar event). The purpose of the review is to determine if the contractor successfully completed transition, is fully operational, and is within other performance parameters required by the contract.

The review shall be documented, identifying any negative information concerning contract execution and any corrective actions necessary. The SDO may waive the initial evaluation for contractors that have continued performance under a successor contract award (prior incumbent, or for contractors which have otherwise demonstrated full compliance with contract start-up.

b. Separate initial contract performance reviews are not required when they would duplicate reviews held and reported under Award Fee or Award Term plan provision.

4. Annual Execution Review

a. All services acquisitions with a value in excess of $150,000 will be reviewed annually by the Contracting Officer and the SDO. The review shall be conducted and documented prior to issuing the notification of the government’s intent to exercise an option to ensure identification of any negative variations in schedule and/or other significant performance measures required by the contract. If significant variations exist, include an explanation of the causes for the variance and an assessment of the contractor’s corrective action plan.

Appendix 1 – Surveillance Report

Evaluation Criteria - Monthly CPAR Rating

Listed below is COR guidance for assessing the Contractor’s performance. On each Surveillance Reports the Contractor will be evaluated in each of the following categories if applicable for each Service Summary Item or PWS task item.

A. Quality of Product or Service Assess the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., specified technical, professional, environmental, or safety and health standards). List and assess any sub-elements to indicate different efforts where appropriate. For example: Are reports/data accurate? Does the service provided meet the specifications of the contract? Does the Contractor’s work measure up to commonly accept technical or professional standards? Assess the degree of Government direction required to solve problems that arise during performance. Did the contractor supply some aspect which was of a higher level of service or workmanship (still within the PWS) which enhanced the project and was a benefit to the government?

B. Schedule Assess the timeliness of the Contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance). This assessment of the Contractor’s adherence to the required delivery schedule should include the Contractor’s efforts during the assessment period that contributes to or effect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation. Remember a faster delivery does not always mean a higher rating. If the faster delivery does not benefit or is a detriment to the government, then a higher rating cannot be given and may constitute a lower rating depending upon the severity of the impact.

C. Cost Control Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost. For example: Does the Contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the Contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the Contractor’s budgetary internal controls adequate?

D. Business Relations Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the Contractor’s history of reasonable and cooperative behavior (to include timely identification and resolution of issues in controversy), and customer satisfaction. For example: Is the Contractor oriented toward the customer? Is interaction between the Contractor and the government satisfactory, or does it need improvement? Also, in making the assessment, include the adequacy of the Contractor’s accounting, billing, and estimating systems; and the Contractor’s management of Government Property (GFP), if a substantial amount of GFP has been provided to the Contractor under the contract.

E) Management of Key Personnel Assess the Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel. For example: How well did the Contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the Contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the Contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

Rating Criteria

For each Surveillance Report, COR will assign one of the following ratings for each category (i.e.

Quality of Product or Service, Schedule, Cost Control, Business Relations, Management of Key Personnel, and Other) if applicable.

EXCEPTIONAL: Far beyond what is usual in magnitude or degree; surpassing what is common or usual or expected.

This kind of performance exceeds contractual requirements resulting with much benefit to the Government without going outside of the scope of work. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems (if any) for which corrective actions (if any) taken by the Contractor were highly effective.

Note: To justify an Exceptional rating, the COR will identify significant event(s) and state how it was a benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

VERY GOOD: Better than or superior to the average.

This kind of performance meets or exceeds contractual requirements resulting with some benefit to the Government without going outside of the scope of work. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems (if any) for which corrective actions taken by the contract were effective.

Note: To justify a Very Good rating, the COR will should identify the significant event and state how it was a benefit to the Government. Also there should have been no significant weaknesses identified.

SATISFACTORY: Performance meets the requirements.

This kind of performance meets only the minimum contractual requirements. The contractual performance of the element or sub-element could contain some minor problems for which corrective actions taken by the Contractor appear or was satisfactory.

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

MARGINAL: Just barely adequate or within a lower limits.

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

Note: To justify Marginal performance, the COR will identify significant event(s) in which the Contractor had trouble overcoming and state how it impacted the Government.

UNSATISFACTORY: Not meeting requirement(s) or the action of not fulfilling a service or needs, not adequate recompense (compensation for loss).

This kind of performance does not meet contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the Contractor’s corrective actions appear or were ineffective.

Note: To justify an Unsatisfactory rating, the COR will identify a significant event(s) in which the Contractor had trouble overcoming and state how it impacted to Government. However, a singular problem could be of such serious magnitude that it alone constitutes an unsatisfactory rating.