Section_J_Atch_18 _SEWS_II_QASP.pdf

SECTION J, ATTACHMENT 18, QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Section J, Attachment 18 Quality Assurance Surveillance Plan (QASP): FA8723-16-R-0005

SHARED EARLY WARNING SYSTEM (SEWS) PRIME CONTRACT RE-COMPETE

(SEWS II)

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Contract No.: FA8723-16-X-XXXX

ATTACHMENT 18

23 SEPTEMBER 2016

Air Force Materiel Command

Air Force Life Cycle Management Center

Battle Management Directorate

Strategic Warning and Surveillance Systems Division

(AFLCMC/HBQS)

Shared Early Warning System (SEWS)

Quality Assurance Surveillance Plan (QASP)

For

Contract No.: FA8723-16-X-XXXX

23 SEPTEMBER 2016

ROBERT D. WAIDER, Lt Col, USAF JAMEY CIESIELSKI Program Manager Procuring Contracting Officer Strategic Warning and Surveillance Strategic Warning and Surveillance Systems Division Systems Division

1.0 PURPOSE

The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to ensure it receives the services under Contract Number FA8723-16-X-XXXX as identified by the performance objectives in the Contractor provided Performance Work Statements (PWSs). This plan will focus on the level of performance required, not the methodology or process. This document incorporates information derived from the Service Delivery Summary matrix within each PWS. This QASP has been developed and adheres to FAR 46.401, DFARS 246.401, DFARS 237.172, and DoD policy. This QASP will be used by the SEW System Program Office (SPO) and the Contracting Officer’s Representative (COR) to ensure compliance and progress at meeting mission objectives on the support service contract.

The QASP is designed to ensure delivery of the desired mission support services with the required performance and within cost and on schedule. The QASP will also provide the COR an effective systematic surveillance method for each item listed in the Services Delivery Summary Section of each PWS. The premise of this contracting effort is for the Contractor to assume responsibility for the work they produce. The QASP intent is changing the Government's role from "oversight" to "insight"; focusing on determining if the desired end results are met, versus evaluating if each individual task is performed and deducting when the Contractor fails to meet the standard. This QASP is a living document and shall be revised or modified as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of contractor performance is maintained.

2.0 OBJECTIVE

2.1 DESCRIPTION OF WORK:

The primary focus of SEWS is to provide Missile Event Information (MEI) to U.S. allies. The Contractor sustains and upgrades the SEW system of systems, CDF, displays at the COCOMS, and Foreign Military Sales (FMS) customer locations through Contractor Logistics Support (CLS). SEWS and its contractors work within International Traffic in Arms Regulations (ITAR) and other governmental regulations/policies regarding interfacing with foreign nationals. SEW SPO members and its contractors frequently travel to the SEWS locations for site surveys, installations, ongoing upgrades, testing, familiarization training, and systems sustainment. The Contractor shall provide services as directed by each negotiated PWS, which include: Transition, Sustainment, FMS Sustainment Cases, Research and Test, and Equipment/Technical Refresh.

2.2 CONTRACT:

The contract type is Single Award Indefinite Delivery/Indefinite Quantity (SA IDIQ).

3.0 ROLES AND RESPONSIBILITIES

3.1 PROCURING CONTRACTING OFFICER (PCO):

The PCO is the only person with the authority to direct the Contractor in the performance of their duties under the contract and to make interpretations of and changes to the contract.

The PCO will:

1. Will assign, as a minimum, a primary and an alternate COR.

2. Delegate authority for inspection/acceptance to COR in accordance with the terms and conditions of the contract.

3. Inform the Contractor in writing of the names, duties and limitations of authority for all COR assigned to the contract.

4. Ensures COR assessments are input to the COR Tracking-Tool (CORT-T).

5. Review contractor performance documentation (prepared by the COR) on a regular basis to ensure performance is compatible with contract and mission objectives.

6. Issues contract modifications as necessary.

7. Takes appropriate action should unacceptable contract performance occur.

3.2 PROGRAM MANAGER (PM):

The PM ensures requirements documents satisfy mission requirements, are performance-based, foster innovation, and define metrics. The PM will:

1. Prepare each PWS and QASP and obtains PCO coordination on the final products.

2. Provide support to leadership, as required, through performance metrics, data, or briefings to ensure dissemination of acquisition information.

3. Provide reports for early warnings of significant variances in cost, schedule or performance.

4. Ensure funds are within approved funding baselines.

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

Develop, implement, and manage milestones to ensure the acquisition supports mission requirements.

6. Oversees contractor performance assessment data, including writing Contractor Performance Assessment Reporting System (CPARS) reports.

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

3.3 CONTRACT OFFICER REPRESENTATIVE (COR):

The COR develops, manages, and implements the Quality Assurance Program. The COR is responsible for monitoring, assessing, recording, and reporting on Contractor compliance with the terms and conditions of the contract. These individuals will have primary responsibility for completing quality assurance monitoring forms that will be used to document the inspection and evaluation of the Contractor’s performance. The COR will maintain surveillance documentation, notify the PCO of any significant performance deficiencies, and recommend improvements to the QASP and each PWS throughout the life of the acquisition. The COR will:

1. Assess the contractor’s performance against the PWSs and manages the performance in accordance with the QASP.

2. Immediately notifies the PCO of any significant performance deficiencies.

3. Certify acceptance of services, or promptly rejects non-conforming services as delegated.

4. Each COR will complete training IAW AFFARS MP 5301.602-2(d) and contract specific training provided by the contracting office before they perform Contractor surveillance.

5. Recommend any changes necessary to the contract, PWSs, QASP, or other requirements to provide more effective operations or eliminate unnecessary costs.

6. Maintain COR appointment, training information, and surveillance assessment documentation (within the CORT-Tool) throughout the life of the contract

7. Update senior leadership annually on the health of service acquisitions.

3.4 CONTRACTOR:

The Contractor shall ensure that a Government acceptable quality control system is provided and maintained. The Contractor is required to provide all services identified in the QASP and PWS. Additionally, the Contractor shall:

1. Comply fully with the terms and conditions of the contract.

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

3. Where applicable, recommend changes to the contract that will provide more effective operations or eliminate unnecessary costs.

4.0 SURVEILLANCE APPROACH

4.1 PURPOSE:

This section details the method to be used in verifying compliance with the contract requirements. The key elements of this process are the Government identified performance thresholds. The performance thresholds will dictate the Government surveillance requirements. The COR documentation of Contractor performance should be accomplished as the observation is completed, thus preventing loss of information. All documentation generated in the performance of this plan will be “For Official Use Only”.

4.2 SURVEILLANCE APPROACH:

Government personnel will verify Contractor compliance with designated performance requirements. The COR will verify that performance thresholds are met. The surveillance approach is meant to gain confidence in the Contractor's way of doing business and then to adjust the level of insight to a point that maintains that confidence. With this approach, the surveillance method may not be one that stays the same throughout the duration of the contract. It is the responsibility of the PCO and COR to review the critical requirements to assess their applicability and recommend the addition or subtraction of requirements as conditions warrant. Changes to critical requirements will be performed through the appropriate contract vehicle. Methods of surveillance can include:

4.2.1 PERIODIC INSPECTION:

These items will be inspected using periodic surveillance (e.g., daily, weekly, monthly, quarterly) as determined by the COR. The results of the periodic surveillance inspections may be used as the basis for actions toward the Contractor. In such cases, the applicable Inspection of Services clause becomes the basis for the contracting officer’s actions.

Examples of periodic inspection are the integrated Contractor Program Management Review (PMR), Integrated Master Schedule (IMS), Joint Engineering Review Board (JERB) documents, and other status reviews, any and all tests, health checks, upgrades, any opportunity for the Government to take note, or at the request of the Government.

4.2.2 CUSTOMER COMPLAINT:

The COR is the point of contact to address customer complaints. The AF Form 714, Customer Complaint Record, or a similar locally devised form may be used for this purpose (see Appendix 2) as well as email and verbal conversation records. Complaints and any resulting resolution of such complaints must be documented with the information required.

Customer complaint forms become a permanent part of the COR surveillance records.

Customers include but not limited to SEW SPO, COCOMs, COCOM-sponsored customers, FMS and non-FMS customers, and Air Force Space Command (AFSPC).

4.2.3 QUALITY INDEX:

This is an indicator of SEW System Requirements Document (SRD) compliance. Similar to a quality metric that measures what is being performed.

4.2.4 THIRD PARTY AUDITS:

Contractor evaluation by a third party organization that is independent of the SEW SPO and the Contractor. All documentation supplied to, and produced by, the third party should be made available to the SEW SPO by the third party. Parties conducting the audit may include but not limited to SPAWAR, USSTRATCOM/J65, Defense Contract Management Agency (DCMA), and the Inspector General (IG).

4.2.5 TREND ANALYSIS:

Data gathered and methods to monitor the Contractor’s on-going performance over time.

Data used to analyze contract conformance.

4.2.6 CONTRACTOR METRICS:

Metrics used to measure performance objectives. These metrics are usually developed and maintained by the Contractor to include reports of system functionality. Examples of Contractor metrics include System Availability Monthly Executive Summary (SAMES), Trouble Tickets, and Program Hours Worked (PHW).

4.2.7 100% INSPECTION:

Performance is inspected and evaluated every time it is performed.

4.2.8 RANDOM SAMPLING:

The COR will select to review random sampling of tasks and products to assess if the level of performance is acceptable as a whole.

4.2.9 UPON DELIVERY:

Performance and quality will be determined every time upon the delivery of the product.

4.3 SURVEILLANCE FOLDER:

CORs, who are assigned to accomplish quality assurance (QA) for a performance requirement, will develop and maintain a surveillance folder. The folder is typically contained in a hardcopy, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. The folder will be labeled with “For Official Use Only”. The surveillance folder will contain as a minimum the following documents and be set up using the COR File Index (Appendix 3).

4.3.1. APPOINTMENTS:

This section should include, at a minimum; COR Nomination letters, the PCO's Letter of Delegation, and a copy of the PCO’s letter to the contractor appointing the COR to the contract. Training certificates are also included here.

4.3.2 CONTRACT DOCUMENTS:

The contract with all modifications, directive document references, pertinent terms defined by the contract, equipment listings, each PWS, and the QASP.

4.3.3 SURVEILLANCE DOCUMENTATION:

The folder should include minutes of performance meetings that are held with the COR, PCO, and the Contractor to instill good communication and resolve issues before they become substantial problems. The Quality Audit Report documenting results from situations that detect a functional area is out of acceptable tolerances. The Contractor Performance Assessment Reports (CPAR) that the PM inputs annually in the Contractor Performance Assessment Reporting System (CPARS) is also filed in this section.

4.3.4 INSPECTION PAPERWORK:

Documented surveillance inspections performed by the COR will be kept in this section. The COR will keep an Inspection Report (see Appendix 4). The Inspection Report is a chronological log of the actions taken in the accomplishment of QA of the assigned requirements. The purpose of this report is to supplement the inspection records and to provide a complete picture of the Contractor's performance in this functional area. The types of information that may be included are details of inspections or data gathering, conversations or meetings with the Contractor, notes and comments that support the inspection paperwork.

4.3.5 UNACCEPTABLE PERFORMANCE DOCUMENTATION:

This section is used for filing all documentation associated with contract quality assurance, (e.g., Corrective Action Reports (see Appendix 5) correspondence, the PCO’s inputs/determinations, Cure Notices, Show Cause, and all supporting documentation.)

4.3.6 FINAL ACCEPTANCE AND FUNDING ISSUES:

A copy of receiving reports or letter of acceptance for each month should be maintained here. This is also the place to keep paperwork for future changes to the contract (e.g., addendums, AF Form 9s, options) that must be worked during the life of the contract.

4.4 DEFICIENCY REPORTING:

The COR will provide a copy of any unresolved deficiencies associated with customer follow-up collections and customer complaints to the Contractor's program manager to afford him/her the opportunity to show that the problem is already being worked. If evidence is shown that the contractor has already documented the deficiency and timely corrective action is working the problem, the Government will not issue a deficiency. The COR, Contractor, and PCO will participate in a monthly or as needed progress meeting to discuss contract performance, resolve issues, discuss customer complaints, and provide positive interaction and feedback to all parties. The COR will evaluate the contractor's action in correcting the cited deficiency and assure effective and timely corrective action. The COR’s report will include any defects associated with performance thresholds on the Service Delivery Summary (SDS), regardless of who identified the deficiency.

5.0 DOCUMENTATION REQUIREMENTS

5.1 GENERAL:

The COR is required to maintain accurate records of the Contractor's performance in accordance with each individual Task Order/Delivery Order and keep the PCO informed of all data pertaining to Contractor efforts. Monthly and Quarterly documentation to record, evaluate, and report contractor's performance is essential. This effort provides the PCO with the contractor’s current status as it applies to the performance criteria. Every effort should be made to make this report to the PCO as accurate as possible.

5.2 ACTIVITY LOG:

The COR will document activities to supplement the inspection records and to provide a complete picture of the contractor's performance. The purpose is to identify deficiencies early to provide the Contractor with an opportunity to correct said deficiencies. Types of information that may be included are details of inspections, conversations of meetings with the contractor, notes and comments that will be used to identify the need for additional surveillance.

5.3 INSPECTION REPORT:

The COR is required to provide a summarized report to the PCO detailing the results of critical requirement verifications and reporting all discrepancies associated with the performance thresholds on the SDS. This includes deficiencies identified by the contractor.

This information will be used as a basis for the COR’s CPAR.

5.4 CERTIFICATION OF SERVICES:

Certification of services is performed by COR via Wide Area Work Flow (WAWF) system. At the end of each billing period, contractor inputs invoice information in the WAWF system.

WAWF automatically notifies appropriate COR via email of pending invoice. COR accesses WAWF and verifies accuracy of contractor’s data. If data is correct, COR certifies invoice and payment is conducted by Defense Finance Accounting System (DFAS). If COR encounters errors in contractor’s invoice, COR consults with the Contractor to mutually rectify data. If contractor disagrees with COR, issue is forwarded to the PCO for resolution. Proper and timely submission of monthly invoicing is the sole responsibility of the Contractor.

6.0 PERFORMANCE REQUIREMENTS

6.1 SERVICES DELIVERY SUMMARY (SDS):

The SDS, located at Appendix 1, is a general representation of the Government expectations. Negotiated SDSs, located within each PWS, capture the service requirements that can be measured and are important to the overall operational requirements addressed within each PWS. The SDS includes Performance Objectives that describe the desired end result or outcome the contractor shall achieve. The Performance Thresholds state the minimum acceptable level of the performance in terms of quality, timeliness, and quantity.

The measurement criteria have been co-developed by the Government and Contractor teams. The PWS paragraphs reference the details of the Performance Objective in the PWS and as defined in the SEW SRD.

NOTE: The Performance Objective is merely a reference point for Government personnel and does not relieve the Contractor of any contractual requirements. The SDS provides the Method of Surveillance. One or more of the methods in section 4 above will be referenced in this section.

6.2 NON-SDS ITEMS:

Everything that is written into each PWS is required to be provided by the Contractor, thus everything in each PWS is subject to Government surveillance.

6.3 CONTRACTOR PERFORMANCE ASSESSMENT REPORT (CPAR):

At the completion of each delivery period, the COR is required to complete a narrative summary of Contractor past performance. The data will be entered annually by the into the CPAR system. The COR will forward their CPAR assessment electronically to the PCO who will review, add comments and forward to the contractor. The Contractor has 30 days to concur, non-concur and/or make comments. All questions to include user ID and password issues will be addressed to the CPAR focal point located within the contracting unit. The approval authority for final CPAR entries is the Strategic Warning and Surveillance Systems Division Chief. The CPAR assessment will address all of the following elements:

6.4 QUALITY OF SERVICE:

In accordance with CPAR Guidance, the Government will assess the Contractor’s conformance to contract requirements, specifications, the SEW SRD, and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety health standards).

6.4.1 SCHEDULE:

Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedule or administrative requirements (e.g., efforts that contribute to or affect the schedule variance).

6.4.2 COST CONTROL:

Assess the Contractor’s performance in helping the government save money, to include but not limited to, improving processes, submitting value engineering change proposals, and seeking the best value on cost reimbursement items.

6.4.3 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, customer satisfaction, and timely award and management of subcontracts.

6.5 MANAGEMENT OF PERSONNEL:

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

6.5.1 PERFORMANCE RATINGS:

The Contractor Performance Assessment Report (CPAR) is a method of incentivizing contractor performance through global documentation of accomplishments and failures.

Used consistently, CPAR is a positive and highly motivating method. This QASP calls for frequent reviews of Contractor performance by the Government. The Government will utilize CPAR and provide written feedback to improve Contractor performance. The Government will provide written feedback reports to the Contractor at least semi-annually, with more frequent feedback reports as necessary.

The ratings used for the CPAR Past Performance Assessment Report are described by one of the following five adjectives: Exceptional, Very Good, Satisfactory, Marginal and Unsatisfactory. These terms are subjective and are not derived through use of any mathematical computations or formulas. The COR will rate each of the above assessment elements using one of the following ratings. The COR will support each rating with a written narrative summary. The criterion for each rating is reflected below:

6.5.1.1 EXCEPTIONAL: Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with few problems for which corrective actions taken by the contractor were highly effective.

6.5.1.2 VERY GOOD: Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with some problems for which corrective actions taken by the contractor were effective.

6.5.1.3 SATISFACTORY: Performance meets contractual requirements. The contractual performance of the element or sub-element contains some problems for which corrective actions taken by the contractor appear or were satisfactory.

6.5.1.4 MARGINAL: Performance does not meet some 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.

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

7.0 FAILURE TO PERFORM

The Contractor may receive deductions or even termination based on failure to perform. The following criteria apply for determining appropriate action:

7.1. NOTIFICATION:

The COR shall notify the Contractor of failure to meet standards through QA monitoring forms, documentation or evaluations in a prompt and timely manner.

7.2 DEDUCTIONS:

The government has the right to deduct a specific dollar amount for failure to meet performance standards. Deductions are specified as “no fail” items. Refer to U.S.

Sustainment Incentive Fee Plan.

7.3 TERMINATION:

If the PCO determines that the Contractor has failed to perform to the extent that a termination for default is justified, the PCO shall issue a notice of termination, consistent with FAR Part 49.

Appendix 1 – Proposed Services Delivery Summary (SDS)

Table 1. Service Delivery Summary

Performance Objective

Performance Objective PWS Section Threshold (Acceptable Quality

Levels)

Method of Surveillanc e

Program Management

The Contractor shall utilize industry best practices and enterprise level systems to provide insight into contract cost, schedule and performance factors. The Contractor shall, subject to Government approval, implement common processes, procedures, and maintenance practices where feasible. The Contractor shall demonstrate resource stewardship and transparency by employing industry standards for maintenance management, systems engineering, project management, customer centered mission support, safety, security, environmental, quality management, and other logistical functions.

The Contractor meets applicable security requirements included in the DD Form 254, DoD Contract Security Classification Specification. All incidents involving Contractor personnel at all locations will be reported to the PCO/COR and PM.

Zero (0) security incidents. Ensure security directives are complied with 100% of the time.

Periodic Inspection;

Trend Analysis;

Contractor Metrics

The Contractor maintains an overarching IMS IAW with CDRL XX0A – Integrated Program Management Report (IPMR).

IMS deliverables are current, accurate, and do not contain omissions.

The IMS contains no more than three

(3) program/schedule errors per Delivery.

Upon CDRL review;

Weekly Meetings

The Contractor shall implement and perform a disciplined risk management process across all aspects of the SEWS, focusing on system performance, technical requirements, cost, and schedule. The Contractor shall proactively identify issues and risks to the Government as they are aware of concerns, and manages/mitigates them to meet PWS, SRD, and mission requirements.

Provide status of program and technical risks to include Government and Contractor program risks.

Weekly Meeting;

Monthly Program Review

Measurement of the Contractor’s synergy of operations as to how well they are cross-utilizing/sharing human capital

Provide status of efficiency report maintained to facilitate cross-utilized resource sharing.

Monthly Program Review

The Contractor provides timely and accurate financial reports and informs Government of issues pertaining to costs that impact project overruns and under-runs. Timeliness for the CFSR is defined in the CDRL XX03 – Contractor Funds Status Report (CFSR); the Financial Actuals Report is due monthly 14 calendar days after the accounting month cut-off; the PHW is due within 10 workdays of each quarter’s end.

Zero (0) late financial report deliveries over the life of the contract; Issues pertaining to all cost overruns and under-runs addressed in financial reports.

100% Surveillance;

Periodic Inspection;

Trend Analysis;

Contractor Metrics

Systems Engineering

Apply repeatable and tailored SE principles and practices to all aspects of SEWS II. Establish and implement a structured SE program appropriately tailored to the cost, schedule, performance, risk, and technical complexities. The SE program should bring value to the Program Office. The Contractor provides systems engineering support as required to ensure that PWS, SRD, and mission requirements are met, including:

CCB addresses engineering aspects (risk, safety, resources, schedule, etc.).

All engineering aspects will be addressed in CCB slides or minutes.

Periodic inspection;

random sampling

Maintain the SEWS-unique architectures

SEW architectures updated 15 business days after return from on-site OM&S trips and maintained in the IDE.

Periodic inspection;

random sampling

Cybersecurity security assessment

Must be within 5% of independent verification

Upon delivery

Mission System Sustainment

The operational users receive MEI data at the TDP per the performance requirements of the SRD. The Contractor must also meet the requirements of the PWS by:

Sustain the SEW system to meet the performance standards specified by the SEW SRD.

As specified in the SEW SRD. Periodic inspection;

Contractor metrics;

Customer complaint

Monitor and provide 24x7x365 support to ensure that data is passing to the remote locations and the TDPs display the data properly.

24x7x365 support is provided 100% of the time.

Periodic inspection;

Contractor metrics;

Customer complaint

When any issues occur that impact system performance, including communications outages, the Contractor shall:

Identify a problem exits and log (trouble ticket) the outages, including planned outages, IAW CDF procedures.

100% Log of trouble tickets

Periodic inspection;

Contractor metrics;

Customer complaint

On critical outages (no SEW data to customer) – the Contractor shall:

Report via direct contact (in person/over phone) to the SEW SPO POC and via email to the applicable Combatant Command (COCOM) point of contact within one (1) hour of being notified of the outage.

On non-critical issues/outages (SEW data still being delivered to customer) – the Contractor shall:

Report via email to the SEW SPO and the applicable Combatant Command (COCOM) point of contact within one (1) business day.

100% reporting of critical outages within one (1) hour

100% reporting of non-critical outages within one (1) business day

Contractor’s metrics reports of system functionality.

During degraded system performance, the Contractor shall:

Coordinate, and facilitate resolution by working with any Contractors, vendors, suppliers, and other agencies to keep the SEWS fully functional to meet the SRD, ORD and FMS Case requirements

Resolved 90% of issues without Government intervention.

Periodic inspection;

Contractor metrics;

Customer complaint

On critical outages (no SEW data to customer) – the Contractor shall:

Present a restoral plan within two (2) hours

On non-critical issues/outages (SEW data still being delivered to customer) – the Contractor shall:

Present a restoral plan within two (2) business days

Percentage of Government Accepted Restoral Results (RR):

At a minimum, the RR% was 75% as expressed as the percentage of RRs required (RRR) the Government accepted (RRA):

RR% = RRA / RRR

Periodic inspection;

Contractor metrics;

Customer complaint

Appendix 2 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF

COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION BUILDING

NUMBER

INDIVIDUAL PHONE

NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 3 – Contracting Officer’s Representative File Index

Tab 1 COR Appointment Letters, Duties & Responsibilities Letters, and Training Certificates for Initial, and Refresher Training

A. Primary COR

B. Alternate CORs

C. Copy of Letter to Contractor Appointing CORs to this contract

Tab 2 Contract Documents

A. Contract with all Modifications (chronological order)

B. PWS

C. Quality Assurance Surveillance Plan

Tab 3 Surveillance Documentation

A. Minutes of Performance Meetings

B. Contract Administrator/COR Supervisor’s Quality Audits

C. Contractor Performance Assessment Reports

Tab 4 Inspection Paperwork

A. Surveillance (Includes the COR’s Activity Log, COR Inspection Schedule, and documented Surveillance Inspections Paperwork.)

B. Government-Furnished Equipment Inventory Review

Tab 5 Unacceptable Performance Documentation

A. Contract Discrepancy Reports with all supporting documentation

B. Cure Notice/Show Cause and supporting documentation

C. Customer Complaint Record

Tab 6 Final Acceptance and Funding Issues

A. Acceptance Documents

B. AF Form 9, Funding Requests

Appendix 4 – Example for Surveillance Folder (COR Inspection Report)

Date:

COR:______________________________________

Contractor:_________________________________ Contract Number:

Delivery Order: _____________________________

__________ The Contractor has met all the requirements of the contract.

__________ The Contractor has not met all the requirements of the contract. These are summarized in this report and are supported by the QAP periodic inspection checklists and customer complaints attached to this report.

Summary of Discrepancies and/or Exceptional performance:

Appendix 5 – Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (CAR)

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

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE

DATE

6. CONTROL

NUMBER

7. DEFICIENCY:

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. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN

TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

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 all CAR inputs.

Block 6. All CARs will be tracked with a Control Number. The SEWS Program Manager is the Issuing Authority for his/her contract Contracting Officer’s Representative (COR) 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. Deficiency: Briefly state what the identified deficiency is.

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. Deficiency 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.