Attachment_4-_Quality_Assurance_Surveillance_Plan.pdf

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QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

FOR

Better Business Deals Course

Solicitation/Contract Number- FA8601-16-R-0023

Coordination and Review:

COR Supervisor Date

Contracting Officer Date

Quality Assurance Program Coordinator Date

Functional Director/Commander/ Services Designated Official (optional) Date

November 2015

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Part 1

PERFORMANCE

MANAGEMENT

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INTRODUCTION

Purpose: This Quality Assurance Surveillance Plan (QASP) has been developed in accordance with FAR 46.401, DFARS 237.172 and DFARS 246.401 to meet the needs of the organization, assess contract success, assess and document contractor performance in accordance with the requirements set forth in the Performance Work Statement, (PWS). The QASP also provides the Contracting Officer Representative (COR) an effective and systematic surveillance method for each listed service. In addition, this implements the Multi-Functional Team (MFT) concept. The goal of the MF T is to give all members/stakeholders the ability to maintain the highest quality representative service to our customers and propose/initiate improvements throughout the life of the contract. Under this concept, continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the customer. The signatures, on the attached charter signature page, indicate membership in the MFT. Changes of team members will require an amendment to the charter signature page.

1. OBJECTIVE

1.1 The Better Business Deals Course objective of subject contract is to provide quality business education to Air Force acquisition personnel. The QASP will provide oversight capability to make certain that the contractor is delivering products and/or services that conform to contract requirements. It will also identify the methods used for evaluation and surveillance of the contractor.

2. GOALS OF THE MULTI-FUNCTIONAL TEAM

2.1 The MFT should strive to achieve efficiencies in the contract performance and improved customer support. The team is composed of stakeholders in the acquisition process. The goal of the team is to define the requirement in performance based terms, assure contractor compliance with contract requirements and ensure that the contract as written continues to meet the needs of functional organization. In addition, another goal is implementation and execution of the acquisition strategy to ensure support of the mission. The role entails planning, programming, and budgeting for adequate funds, ensuring program execution within the approved funding, developing the milestones and managing execution to ensure the contract supports mission requirements within the approved scheduled baseline, and ensuring the program maintains accountability, and planning and managing of this service.

3. ROLES AND RESPONSIBILITIES

3.1 Chief of the Contracting Office (COCO):

3.1.1. Serves as Business Advisor to Wing Commanders, Group Commanders, AFMC Center-level Commanders and other Headquarters Directors (as appropriate).

3.1.2. Ensure compliance with Federal Acquisition Regulation and supplements.

3.1.3. Assures Functional Area leadership receives training.

3.1.4. Updates the Wing Commanders, Group Commanders, Air Force Materiel Command (AFMC)

Center-level Commander and other Headquarters Directors annually on the health of the service acquisitions.

3.1.5. Ensures personnel on the Multi-Functional Team (MTF) receive the appropriate level of training to meet local needs.

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3.2. Functional Director/Commander (FD/FC):

3.2.1. Ensure requirements documents developed by the Multi-Functional Team ((MFT) satisfy mission requirements, are performance based, foster innovation, and define metrics. Metrics should provide meaningful measurements of the contractor progress aimed at attaining desired outcomes.

3.2.2. Identify mission essential services in accordance with DFARS 237.76 and determines necessary documents in accordance with DoDI 1100.22, Policy and Procedures for Determining Workforce Mix.

3.2.3. Review the COR documentation on a regular basis to ensure performance is compatible with contract and mission objectives.

3.3. Contracting Officer (CO):

3.3.1. Ensures the acquisition processes (i.e. performing market research, gathering past performance information, performing source selection, issuing solicitation, performing evaluations and awarding the contract) are aggressively performed.

3.3.2. Participates in Multi-Functional Team meetings.

3.3.3. Delegates authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract. Informs the contractor of the names, duties, and limitations of authority for all Contracting Officer Representative (COR) assigned to the contract.

3.3.4. Manages CORs assigned to the contract.

3.3.5. Advises the Multi-Functional team.

3.4. Quality Assurance Program Coordinator (QAPC):

3.4.1. Coordinates all aspects of the Quality Assurance program.

3.4.2. Support and attends all meetings, as requested.

3.4.3. Provides training to CORs, and COR Management.

3.4.4. Maintains records of COR and COR Management training.

3.5. Contract Negotiator/ Specialist/Administrator:

3.5.1. Participates in meetings.

3.5.2 Ensures open communication is maintained between all parties during the life of the contract.

3.5.3 Perform site visits to evaluate COR surveillance/performance in accordance with the attached Site Visit Assessment Form.

3.6 Contracting Officer Representative (COR) Supervisor:

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3.6.1 Nominates primary and alternate COR in writing.

3.6.1.1 Ensures nomination package specifies nominee’s qualifications, and training.

3.6.2. Ensures COR is afforded the necessary resources (i.e. times, supplies, equipment,) to perform the designated functions.

3.6.3. Reviews the contractor performance documentation prepared by COR on a regular basis to ensure performance is compatible with contract and mission objectives.

3.6.4. Evaluates COR on performance of their COR duties as part of performance assessment throughout the period of the contract

3.6.5.1 Solicits input on COR’s performance, from the CO.

3.7. Contracting Officer Representative (COR):

3.7.1. Participates in meetings, performing/assisting in market research, gathering past performance information, evaluating proposals, assists in preparing the PWS, and QASP.

3.7.2. Performs inspections to evaluate and document the contractor’s performance, notifies the Contracting Officer of any significant performance deficiencies. Submit monthly inspections records to the Contracting Officer.

3.7.3. Maintains documentation, and recommends improvements to the surveillance procedures and PWS throughout the life of the contract.

3.7.4. Recommends changes as necessary to the contract, PWS, or other requirements to provide more effective operations or eliminate unnecessary costs.

3.7.5. Aware of the requirements of FAR Clause 52.222-50 (c), (d), and (f) (Combating and Trafficking in Persons).

3.8. Legal, Finance, and Engineering POCs:

Other POCs shall coordinate, review and provide input as needed by the multifunctional team.

3.9. Contractor:

3.9.1. Complies fully with the terms and conditions of the contract.

3.9.2. Participates in meetings as requested.

3.9.3. Maintains and implements a Quality Control Plan (QCP).

3.9.4 .Ensures that non-conforming contract services are identified, and correct. QCP is revised to prevent recurrence.

3.9.5. Tenders to the Government for acceptance only those services that conform to contract requirements.

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3.9.6. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

3.10. Multi-Functional Team (MFT): This is a customer-focused team composed of stakeholders in the acquisition process. The team provides support, promotes good business decisions, to meet customer requirements, fosters partnerships, develops a performance-based acquisition, develops technical requirements, and the independent government cost estimate. The team is also responsible for managing contract performance in accordance with assessing and documenting contractor performance, identifying opportunities to improve performance, and completing and reporting annual performance reviews in the Contract Performance Assessment Reporting System (CPARS) as required for managing the acquisition. Members of the multi-functional team assist in contract assessment, determining whether or not the contract, as written, continues to effectively meet the needs of the customer. After contract award, the contractor may become a member of the MFT.

4. PERFORMANCE MANAGEMENT- (CONTRACT ASSESSMENT)

4.1 Metrics:

4.1.1. Market research will be used as a tool throughout the life of the contract to ensure the most current, efficient, and effective assessment methods and techniques of the commercial marketplace are applied to the performance of services under the contract. At a minimum, market research (including an informal survey of customers) will be conducted annually prior to exercising the option for an additional performance period. The results of the market research/survey of customers will be utilized in making the decision as to whether it is appropriate and in the Government’s best interests to exercise the option. These results will be documented in the PCO’s Determination and Findings (D&F) supporting option exercise if that course of action is selected.

4.1.2. MFT meetings will be scheduled throughout the life of the contract. Attendees at specific team meetings will vary based on the circumstances or issues to be covered at each meeting. Continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the customer. Team members will consider whether the contract includes tasks which are no longer required;

whether there are needs related to the contract’s purpose which are not covered by the contract; and whether any customer complaints regarding contract scope have been received. The success of the contract is dependent upon a combined effort of all members of the MFT.

4.1.3. An option to evaluate the effectiveness/success of the contract, a customer survey can be conducted prior to exercising the contract option period. The survey addresses the following:

4.1.3.1. Are you satisfied that the contract and as currently written, are meeting your objectives?

4.1.3.2. Do you feel the contract is meeting the schedules, and costs and performance as expected?

4.1.3.3. Are there any changes that need to occur to improve the contract?

4.1.3 4. Are there any complaints regarding the contract?

4.1.3.5. Is Customer service meeting your expectations?

4.1.3.6. Any other comments regarding the contract?

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4.1.4. All performance assessment data will be reviewed. If performance improvement is necessary, the corrective action will be requested from the contractor

5. PERFORMANCE ASSESSMENT:

5.1 This QASP is based on the premise that the contractor, not the Government, is responsible for the management and quality control actions needed to meet the standards of the contract.

5.2 Following is the approach the team will use to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

5.2.1 A Services Summary (SS) will be included in the PWS. This document will summarize the performance objectives and performance thresholds required by the Government in the contractor’s performance. These performance objectives will directly relate to mission essential items. The performance thresholds briefly describe the minimum acceptable levels of service required for each objective, and are critical to mission success.

5.2.2 COR will perform QA procedures following the QASP

5.3 INITIAL PERFORMANCE REVIEW:

5.3.1 The initial evaluation of contractor performance shall take place within 30 days after the contractor assumes full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

5.3.2. Initial Performance Review Criteria:

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

5.3.2.2. Schedule. Assess the timeliness of the contractor against contract requirements, task orders, milestones, delivery schedule, and administrative requirements (e.g., efforts that contributes to or effects the schedule variance).

5.3.2.3. Cost. Assess the contractor’s ability to remain within cost. (i.e. cost performance will be reported only if other than Firm Fixed Price). The assessment will include a discussion of the contractor’s effectiveness in forecasting, managing, and controlling contract cost, as applicable.

5.3.2.4. Management/Performance. Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

5.3.2.5. Staffing. Assess the contractor’s performance in selecting, retaining, supporting and replacing when necessary, personnel.

5.3.2.6. Special Interest Items. Assess any significant modification to the contract made since contract award.

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5.3.3 Applicable for acquisitions greater than or equal to $100M) Results of the initial performance review shall be reported by plain text e-mail or other expedient means to the PEO. Negative variations in cost, schedule, staffing, and/or [performance shall be reported with an assessment of the root causes and corrective action plan. The report shall include an assessment of schedule, management, technical, and cost performance. Special interest items to be included in the initial performance report are significant modifications to the contract made since contract award.

5.3.4 Assessment Values:

5.3.4.1 Green—No issues.

5.3.4.2 Yellow—Issue(s) but contractor has an adequate mitigation or corrective action plan in place.

5.3.4.3 Red—Issue(s) with inadequate or no contractor’s mitigation or corrective action plan. Any “red” assessment shall include the government proposed actions with respect to the failing contractor.

6. REVISIONS to the QASP.

6.1. Revisions are the responsibility of the MFT. The COR periodically reviews the PWS and QASP for any required changes. Any proposed changes shall be submitted to the Contracting Officer for approval prior to implementation. This is a living document and can be changed anytime, but the Contracting Officer must accept changes.

7. CONTRACT PERFORMANCE ASSESSMENT REPORTING SYSTEM (CPARS) (applicable if contract is for over $1 million)

7.1. CPARS will be updated documenting contractor performance. The Assessing Official Representative (AOR) will be the COR; and the reviewing official will be Functional Director/Commander. The contractor also has input prior to finalization.

7.1.1. The website for CPARs is: https://www.cpars.gov

8. CONTRACTING OFFICER REPRESENTATIVE TRACKING TOOL (CORT)

8.1 The COR, CORs, CO and CA shall comply with the DoD requirements for participation in the CORT. The CORT User’s Guide may be accessed at the following link:

https://cs.eis.af.mil/airforcecontracting/knowledge_center/COR/CORT/AFMC%20COR%20Tool%20Reso urces/Home.aspx

9. COMBATING TRAFFICKING IN PERSONS:

9.1 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 https://cs.eis.af.mil/airforcecontracting/knowledge_center/COR/CORT/AFMC%20COR%20Tool%20Resources/Home.aspx https://cs.eis.af.mil/airforcecontracting/knowledge_center/COR/CORT/AFMC%20COR%20Tool%20Resources/Home.aspx http://ctip.defense.gov/ http://www.state.gov/j/tip

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MULTI-FUNCTIONAL TEAM MEMBERSHIP

Solicitation/RFP/Contract Number __________________ ` Type of Service: _________________________________

Functional Director/Commander: __________________ Date: __________________

COR: __________________ Date: __________________

COR: ___________________ Date: __________________

COR Supervisor: _ __________________ Date: __________________

Chief of Contracting**: ____________________ Date: __________________

Contracting Officer: ___________________ Date: __________________

Contract Specialist/Administrator: __________________ Date: __________________

QAPC: ____________________ Date: __________________

Financial Analyst**: ____________________ Date: __________________

Legal: ** ____________________ Date: __________________

Small Business**: ____________________ Date: __________________

Contractor*: _____________________ Date: __________________

Designated Official** _____________________ Date: __________________

Accepted By: _____________________ Date: __________________ Contracting Officer

*Optional -Contractor (signs after award) will have limited authority in the Multi-Functional Team, so as to not be involved in any inherently governmental responsibilities.

** As applicable

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QASP

Part 2

ASSESSMENT

MANAGEMENT

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SERVICES SUMMARY (SS)

PERFORMANCE OBJECTIVE, PERFORMANCE THRESHOLD,

AND

METHODS OF ASSESSMENT

Performance

Objective

PWS

Para.

Performance Threshold

Method of Assessment Remedy

SS-1 Compliance of Quality Control Plan

1.6 No more than 0

instances.

100% Inspection Non-compliance

Re-performance

SS-2

Project Management Plan (PMP)

1.3.1 No more than 0

instances of typos per report. Typos shall be corrected within 1 workday of notification.

SS-3

Instructional Material

1.3.3 The materials shall

be submitted on time with no more than 0 instances of typos per report.

Typos shall be corrected within 1 workday of

SS-4

Initial Course Delivery for evaluation by AFIT

1.3.4 No more than 0

instances of typos per report. Course will accomplish educational objectives. Typos shall be corrected within 1 workday of notification. Course defects will be corrected prior to first course offering to students.

SS-5

Student Materials

1.3.7 The materials shall

be submitted on time with no more than 0 instances of typos per report.

Typos shall be corrected within 1

100% Inspection Re-performance

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SS-6

Course evaluation/feedback

1.3.8 Average of 4.0 on a

Likert scale of 1 – 5 (or similar such as a

4.5 on a 1 – 6 scale), no complaints

100% Inspection Re-performance

SS-7

Quarterly Progress Review (QPR)

1.3.9 The materials shall

be submitted on time with no more than 0 instances of typos per report.

Typos shall be corrected within 1 workday of notification.

100% Inspection Re-performance

SS-8

Quarterly Cost Report

1.3.10 The materials shall

be submitted on time with no more than 0 instances of typos per report.

Typos shall be corrected within 1 workday of

*The procedures set forth in the Inspection of Services Clause will be used to remedy all deficiencies. The re-performance times will be based upon sensitivity of the issue.

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QASP

SURVEILLANCE PROCEDURES

INTRODUCTION

1. These surveillance procedures have been developed to provide the COR instructions on how to perform surveillance and document findings on this contract for functional and technical support for the Better Business Deals contract.

1.1. Under the Inspection of Services clause the COR has the right to inspect any aspect of the contractor performance at any time during the contract performance, whether or not it is included on the Services Summary (SS). Non-SS items are to be developed by the COR.

1.2 .Any nonconformance with contract requirements is a “defect”. The term “defective” is used to reference to a service output in the SS that does not meet the outputs associated with the standard.

1.3. This (QASP) is based on the premise that the contractor and not the government are responsible for the management and quality control actions to meet the terms of the contract. The Performance Threshold recognizes that the contractor is not a perfect manager and that unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the contractor to operate within specified Performance Thresholds. CORs are to be objective, fair, and consistent in evaluating contractor performance against the standards.

1.4. Following is the approach the team will use to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

1.4.1. A Services Summary will be included in the Performance Work Statement. This document will summarize the performance objectives and performance threshold required by the Government in the contractor’s performance. These performance objectives will directly relate to mission essential items.

The performance thresholds briefly describe the minimum acceptable levels of service required for each objective, and are critical to mission success.

1.4.2. CORs will perform quality assurance procedures contained herein.

2. PERFORM SURVEILLANCE: The four most common methods of surveillance are explained below.

2.1 Customer Complaint: When the customer (using activity/facility) discovers unacceptable performance or a defect in service, he/she will prepare a customer complaint form, identifying the discrepancy.

The customer will keep one copy and forward a copy to the COR either manually or electronically. The COR will review the item and determine if the complaint is contractually valid. If valid it is forwarded to the contractor for corrective action. Customer complaints may be submitted on the Customer Complaint Record (CCR). If a customer notifies the COR either verbally or by email of a complaint, but does not submit a CCR, the COR will generate a CCR and document the complaint. The CCR will then be submitted to the contractor for his corrective action (CA). When the contractor documents the corrective action proposed to prevent future defects, the COR will evaluate the proposed CA and forward the record to the Contracting Officer for final dispensation. The Contracting Officer will, in turn, send copies of dispositionals CCRs to the COR and the contractor for their records.

2.2. Periodic Surveillance: When periodic surveillance is used, inspections shall be performed at the frequency and sample size identified on the sample guide. The frequency of inspection is established (i.e. daily, [Type text] Page 15 weekly, monthly, quarterly), but the specific time of occurrence need not be specified. The results will be recorded on the inspection record. When the COR discovers unacceptable performance in service the COR will generate a Corrective Action Report (CAR) and identify the discrepancy. Valid defects should be forwarded to the contractor for corrective action. When the contractor documents the corrective action proposed to prevent future defects, the COR will evaluate the proposed corrective action and forward the information to the Contracting Officer for their records.

2.3.100% Inspection: In this inspection the COR inspects 100% of all items/services to ensure compliance. The results will be recorded on the Inspection Record. When the COR discovers unacceptable performance in service the COR will generate a Corrective Action Report (CAR) and identify the discrepancy.

Valid defects should be forwarded to the contractor for his corrective action. When the contractor documents the corrective action proposed to prevent future defects, the COR will evaluate the proposed corrective action and forward the information to the Contracting Officer for their records.

2.4. Random Inspection: In random sampling, the COR uses a statistically based sample pattern. When the COR discovers unacceptable performance or a defect in service, he/she will generate a CAR identifying the discrepancy. The CAR will then be submitted to the contractor for CA. When the contractor documents the CA proposed to correct observed defects (if possible) and prevent future defects, the COR will evaluate the proposed CA and forward the record to the CO for final dispensation. The CO will, in turn, send copies of reviewed CARs to the COR and the contractor for their records.

3.0 UNACCEPTABLE PERFORMANCE.

3.1 The COR must always notify the contractor of deficiencies observed. This may be accomplished in person or electronically, but any verbal communication must be supplemented in writing. The Contractor should sign the document upon notification by the COR. The contractor will annotate on the report provided by the COR the CA he/she will take to correct the defect and prevent its recurrence, and will return the completed report to the COR. If the contractor refuses to sign, annotate this on the notification.

4.0 REMEDIES FOR UNACCEPTABLE PERFORMANCE.

4.1. In accordance with the contract Inspection of Services clause, if any of the services do not conform to 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 termination of Contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may:

4.1.1. Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

4.1.2. Reduce the contract 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.

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

4.1.3.1 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

4.1.3.1.1. Decrease the invoice amount in relation to performance;

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4.1.3.1.2. Cure Notice

4.1.3.1.3. Show Cause Notice

4.1.3.1.4. Terminate the contract.

4.1.4. The Contracting Officer will determine the action to be taken against the contractor, such as reductions in fee/price in accordance with the Inspection of Services clause. The CO’s disposition of the deficiency will be annotated on the form and the COR and contractor will be notified of action.

5.0. COR MONTHLY INSPECTION REPORT.

5.1 COR shall submit an assessment report and attach all Corrective Action Reports, Performance Assessment Reports, and validated customer complaints to the CO and no later than 5 working days following the month in which the actual surveillance occurred. The report shall be signed and dated by the COR and provided to the COR Management regularly for review, prior to sending the information to the Contracting Officer. Validated customer complaints and all documentation will be used to support Contractor ratings in the Contractor Performance Rating System (CPARS) (applicable if contract is over 1 million)).

6.0 WIDE AREA WORKFLOW (If applicable)

6.1 The COR will certify receipt of contractor services via the Wide Area Workflow (WAWF) website.

https://wawf.eb.mil.

6.1.1. Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties.

6.2. CORs are responsible for obtaining, scheduling, and completing WAWF training from the Base Accounting and Finance Office.

https://wawf.eb.mil/

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SS-1 Quality Control Plan (QCP)

PWS, Paragraph 1.6

1. Method of Surveillance: 100% Inspection

2. Lot Size: 1

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per delivery.

Performance is unacceptable when 1 or more defects are discovered per delivery.

5. Sampling Procedure: The report will be inspected 100%.

6. Inspection Procedure:

a) Perform inspection of the reports to insure accuracy. QCP shall contain all requirements in accordance with the PWS requirements in paragraph 1.6.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of the checklist. Any defects or non-conformance observation shall be recorded as unacceptable. The COR will detail the specific reason to the attention of the contractor’s representative. Request the contractor to sign, date and detail his/her corrective action(s) on the deficiency record.

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-inspections to determine if the contractor adequately re-performed and service is acceptable.

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The contractor must manage the corrective actions and provide conformance in meeting the contractual requirements. If any government action, or lack of action, were cause for unacceptable performance, the deficiency shall not be counted as a defect.

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance

Reports, and Customer Complaint Records CAR) for monthly submittal to the Contracting Office.

f) The COR will submit the documentation to the COR Management for review/coordination regularly before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the contractor is not required to perform any service during the month, a negative report is required.

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SS-2 Project Management Plan PWS, Paragraph 1.3.1

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per month.

Performance is unacceptable when 1 or more defects are discovered per month.

a) Perform inspection of the reports to insure accuracy. Project Management Plan shall contain all requirements in accordance with the PWS requirements in paragraph 1.3.1.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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SS-3 Instructional Materials PWS, Paragraph 1.3.3

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per month.

Performance is unacceptable when 1 or more defects are discovered per delivery.

a) Perform inspection of the reports to insure accuracy. Initial Instructional Material shall contain all requirements in accordance with the PWS requirements in paragraph 1.3.3.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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SS-4 Initial Course Delivery PWS, Paragraph 1.3.4

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per month and the course meets educational objectives. Performance is unacceptable when 1 or more defects are discovered per month and/or the course fails to meet educational objectives.

5. Sampling Procedure: The course will be inspected 100%.

a) Perform inspection of the course delivery to insure accuracy. The course shall be evaluated for correct content, per paragraph 1.3.4.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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SS-5 Student Materials PWS, Paragraph 1.3.7

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per delivery and the materials meet the educational objectives. Performance is unacceptable when 1 or more defects are discovered per month and/or the course fails to meet educational objectives.

5. Sampling Procedure: The course materials will be inspected 100%.

a) Perform inspection of the student materials to insure accuracy. The student material shall be inspected to verify requirements are met in accordance with the PWS requirements in paragraph 1.3.7.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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SS-6 Course Evaluation/Feedback PWS, Paragraph 1.3.8

1. Method of Surveillance: 100% Inspection for each course offering

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when the course receives an average of 4.0 on a Likert scale of 1 – 5 (or similar such as 4.5 on a scale from 1 - 6) in each area of the survey (i.e., instructors, materials, accomplishing educational objectives). Performance is unacceptable if one offering averages are below 4.0 (out of 5.0) in any area.

5. Sampling Procedure: The evaluations will be inspected 100%.

a) Perform inspection of the course survey. Each survey must receive an average of 4.0 to meet requirements of the contract per paragraph 1.3.8.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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SS-7 Quarterly Progress Reviews PWS, Paragraph 1.3.9

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per delivery.

Performance is unacceptable when 1 or more defects are discovered per delivery.

5. Sampling Procedure: The Progress review will be inspected 100%.

a) Perform inspection of the progress reviews to verify it meets all requirements of the PWS per paragraph 1.3.9.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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SS-8 Quarterly Cost Reports PWS, Paragraph 1.3.10

3. Sample Size: 1

4. Performance Threshold: Performance is acceptable when 0 or fewer defects are discovered per delivery.

Performance is unacceptable when 1 or more defects are discovered per delivery.

5. Sampling Procedure: The review will be inspected 100%.

a) Perform inspection of the reports to insure accuracy of invoiced cost in accordance with the PWS requirements in paragraph 1.3.10.

b) COR will record the inspection status as A= acceptable or U-unacceptable, in the applicable column of

COR will detail the specific reason to the attention of the contractor’s representative. Request the

c) The contractor will be requested to state what action will be taken to correct the deficiency and preclude reoccurrence. If the contractor refuses to acknowledge the deficiency, the COR shall annotate on the deficiency record, the contract representative’s name, date and time of notification. The C0R shall establish a reasonable timeframe for re-performance, based upon sensitivity of the issue, and perform re-

d) The contractor shall be required to correct, if possible, all defects detected by the COR. The requirements. If any government action, or lack of action, were cause for unacceptable performance, the

e) The COR will collect all pertinent documentation (Checklists, Contract Monitoring and Surveillance before forwarding it to the Contract Administrator, ensuring receipt monthly. The COR shall photocopy all documentation for inclusion into his/her contract files prior to forwarding the originals. If the

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Inspection Record

- COR Surveillance Checklist

Method of Assessment: A = Acceptable U =Unacceptable CONTRACTOR'S NAME: N/A= Not applicable

CONTRACT NUMBER:

LOCATION: Building #

A U N/A DATE TIME COR SIGNATURE

SS-1 Compliance of QCP Paragraph 1.6

SS-2 Project Management Plan Paragraph 1.3.1

SS-3 Instructional Material Paragraph 1.3.3

SS-4 Initial Course Delivery Paragraph 1.3.4

SS-5 Student Materials Paragraph 1.3.7

SS-6 Course Evaluation Paragraph 1.3.8

SS-7 Quarterly Progress Reviews Paragraph 1.3.9

SS-8 Quarterly Cost Reports Paragraph 1.3.10

DEFICIENCIES NOTED:

See Corrective Action Report (CAR)

COR’S SIGNATURE: DATE:

COR MANAGEMENT SIGNATURE: DATE:

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THIS FORM ADDRESSES REQUIREMENTS IN THE CONTRACT THAT SHOULD BE

PERIODICALLY INSPECTED, BUT ARE NOT ADDRESSED IN THE SERVICES SUMMARY. ANY

DEFICIENCIES NOTED SHALL BE REPORTED TO THE CONTRACTOR USING A

CORRECTIVE ACTION REPORT.

NON- SS INSPECTION FORM

Date

NON-SS Items Checked (Description and PWS Paragraph number)

ACC UNAC

C

COR Initials

COR’S

SIGNATURE:

COR MANAGEMENT SIGNATURE: DATE:

2-3 Items Checked per Month

NON-SS Inspection Form

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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. 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

Customer Complaint Record Template, Feb 05 (SAF/AQCP) One copy each for Complainant, COR, Contractor, and Contracting Office

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CORRECTIVE ACTION REPORT (CAR)

Continuation Sheet

(Number to correspond with applicable Item Number on reverse)

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

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Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

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. A date must be entered for a Major CAR. A date is optional at the discretion of the COR initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director are the Issuing Authority for his/her contract CORs generating CARs. By providing the control number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The control number will be made up of the first two letters of the name of the site or contract, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding. See (QASP), paragraph 6.1.4, for the definitions of Major and Minor findings and associated explanations.

2. Finding: 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 complete brief quotation of the contract reference.

3. State the impact that the finding has or could have on the accomplishment of the mission that the contract provides.

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days.

The suspense date should reflect this unless the finding requires a greater amount of time to come to solution. Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract CORs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the contractor’s reply, the originator 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 selects Accept or Reject after reviewing the contractor’s response.

Block 12. The COR enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the contractor and report accordingly in the monthly Certificate of Service (COS) or other applicable contracting officer services report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the Issuing Authority forwards the open CAR back to the contractor for additional information.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

r

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MEMO FOR FILE - Site Visit Assessment Form

CONTRACT/ORDER: FA8601-

COR NAME(S): Yes No Purpose: The Contract Administrator/Specialist will meet with the COR(s) and conduct an on-site inspection To ensure proper procedures are being accomplished.

1. Does COR have a copy of the COR appointment Letter from COR Supervisor and CO?

2. Has COR submitted inspection records monthly?

3. Does COR properly conduct surveillance procedures?

4. Are COR's inspection records /documents accurate?

5. Does COR understand contract terms, Surveillance procedures and document requirements?

6. Were any problems noted regarding COR performance?

7. Does COR need additional training?

8. Does the COR have a copy available of the following:

Contract Training records Invoices Monthly Inspection records COR authorization letter signed by CO

Comments/Questions:

Contract Administrator/Spec COR SIGNATURE Date: