Atch_02,_QASP,_Target_Demolition.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

CONCRETE TARGET DEMOLITION AND DISPOSAL SERVICES

HOLLOMAN AIR FORCE BASE

NEW MEXICO

Table of Contents

Section A – Purpose

Section B – Roles and Responsibilities of the Multi-Functional Team (MFT)

Section C – Service Summary and Method of Surveillance

Section D – Surveillance Procedures

Section E – Surveillance of Non-Service Summary (SS) Items

Section F – Unacceptable Performance

Section G – Certification/Acceptance of Services

Section H – Contractor’s Quality Control Plan

Section I – Contract Management

Appendix 1 – Monthly Surveillance Schedule

Appendix 2 – Performance Assessment Report (PAR)

Appendix 3 – Corrective Action Log

Appendix 4 – Corrective Action Report (CAR)

Appendix 5 – Contractor Performance Assessment Reporting System (CPARS) Evaluation Rating………………….…………………………………………………………..………………………30

Section A – Purpose

1. This Quality Assurance Surveillance Plan (QASP) has been developed to provide the Contracting Officer Representatives (COR) an effective and systematic method to evaluate contractor provided services as required by the terms and conditions of the contract. This plan implements the guidance of Air Force Federal Acquisition Regulation Supplement (AFFARS) MP 5301.602(d) and the Guidebook for the Acquisition of Services, with respect to the government’s quality assurance requirements.

2. The role of government quality assurance (QA) is to ensure contract standards are achieved. In conducting surveillance, CORs are to be objective, fair, and consistent in evaluating contractor performance against the performance standards.

3. 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 Multi-Functional Team (MFT)

1. Installation Contracting Division Chief

a. Serves as Business Advisor to senior leadership.

b. Provides the health of services acquisitions to senior leadership annually. Provides

Management and Oversight of the Acquisition of Services Process (MOASP) reports on service acquisitions to the MAJCOM for consolidation. Subjects may include the effectiveness of the performance assessment and performance management of the service acquisition, the effectiveness of performance objectives, contract cost changes, acquisition planning, strategic sourcing issues, and the centralized multi-functional team, effectiveness of the multi-functional team and senior leadership business objectives.

c. Ensures the multi-functional team exercises acquisition authorities and responsibilities according to the Federal Acquisition Regulation (FAR), Department of Defense Federal Acquisition Regulation Supplement (DFARS), and AFFARS.

2. Program Manager (PM)

a. Execute management and oversight for the delivery of contractually acquired services.

b. Specifically identifies those services within a requirement that are mission essential in accordance with DFARS 252.237-7023.

c. Keep up-to-date on mission changes that may drive the need for a contract modification.

Coordinate with and seek advice from the Contracting Officer (CO) on a possible need for a modification based on changes within the functional mission that could affect the performance requirements of the contract.

d. Review, approve, and sign surveillance schedules prior to upcoming surveillance periods.

e. When necessary, fulfill COR appointment and supervisory duties identified in paragraph 2.10 of this instruction. Review and approve individual’s nomination as CORs to the CO to enable appropriate contract surveillance. The COR(s) should be organizationally aligned with the PM whenever possible.

f. No less than quarterly, review contractor performance documentation prepared by COR personnel to ensure performance is compatible with contract objectives.

g. Approve QASP.

h. Ensure a Contractor Performance Assessment Report (CPAR) is accomplished no less than annually by either the COR or the Chief COR. If the program is an ACAT program where services are embedded, the PM is responsible for accomplishing the CPAR.

i. Ensure assessments are consistent with the monthly surveillance reports.

j. Establish a tracking procedures to ensure MFTs are established and led by a PM as required in DoDI 5000.74.

k. Establish, lead and maintain MFT through the course of the acquisition (pre and post award).

l. Establish a governance to ensure a CPARS Assessing Official (AO) and Assessing Official

Representative (AOR) is identified. During the assessment process, provide a perception of the contractor’s overall performance. In some instances this may require the PM to be either the AO or AOR.

m. Prepare slides and brief programs greater than $100M at the AER.

3. Contracting Officer (CO)

a. Advises the multi-functional team on performance plan development.

b. Manages the listing of CORs assigned to the contract, indicating their areas of responsibilities and limitation of authority, and ensures the Contractor is notified of such.

c. Multi-functional team advisor for developing incentives/remedies, as appropriate, tied to performance objectives and performance thresholds.

d. Maintains in the contract file documentation of training provided by contracting personnel and/or the Quality Assurance Program Coordinator (QAPC) identified herein.

e. In accordance with DFARS PGI 222.1704, the CO shall notify the Geographic Combatant

Commander and/or DoD Combat Trafficking in Persons (CTIP) PM through the DoD Inspector General Hotline at http://www.dodig.mil/hotline or (800) 424-9098 and/or National Human Trafficking Hotline at (888) 373-7888.

4. Contracting Officer Representative (COR)

a. Provide technical support to the PM and CO and assist MFT in developing performance requirements in pre-award activities when requested.

b. Assist the CO and MFT in determining Quality Management System (QMS) requirements being mindful of the requirements of FAR Parts 12, 46, 52.212-4(a), 52.246, AFI 63-138 Chapter 6, and the PWS.

c. COR will aid in assessing contractor submitted QMS for congruence with pre-determined quality systems requirements.

d. Ensure contractor’s accepted QMS complies with contract requirement.

e. Ensure contractor follows the contractor’s QMS as it is written, plus the effectiveness in bring about the desired results—performance equal to or greater than the Service Summary (SS) metrics, plus an inspection and corrective action program that identifies and fixes issues without having to be identified by the Government.

f. Assist the MFT in developing a QASP or Award Fee/Incentive Plan, as applicable, prior to source selection that effectively measures and evaluates performance based activity throughout the life of the functional contract requirement. CORs ensure the QASP is updated to ensure it reflects any contract changes.

g. Promptly report performance issues to the CO in writing.

h. Draft a CPAR evaluation for contractor performance when designated as the CPAR Assessing Official Representative for a contract or task order.

i. Complete all COR required training.

j. Ensure a COR file is maintained with COR records (COR qualification where applicable, contract, modifications, minutes, invoices and payments, inspection results, QASP, Award Fee or Incentive Plan, Surveillance Schedule, etc., and MFRs on significant issues relating to the contract as required in DoDI 5000.72. These documents are required to be managed in CORT Tool.

k. Inform the CO in writing of any required changes to the contract scope/PWS.

l. Develop and publish a surveillance schedule of COR surveillance activities (labeled “For

Official Use Only”) unless processes in the applicable Award Fee/Incentive Plan delineate specific methods of surveillance unique to the acquisition. Submit to the PM, CO, and Direct Line Supervisor (only if PM and COR is the same person) for review prior to the commencement of the surveillance period.

m. Develop and publish surveillance report of COR surveillance activities. Submit to PM and CO for review.

n. Draft CARs for submission to the PM for each area of contractual non-conformity, either immediately or at the end of each surveillance period (as determined by your QASP) and forward to PM for review and the CO for issuance.

o. Assist PM and CO in verifying adequate corrective actions are taken to resolve problems.

p. Notify the CO if there is high risk of the contract costs exceeding the amount programmed (if no PM is assigned).

q. Assist CO to validate the accuracy of invoices submitted by the service provider prior to the government paying for services.

r. Ensure a CPAR is accomplished no less than annually. The CO may determine an out of cycle CPAR is required to address performance concerns.

s. Complete all COR required training.

t. Maintains surveillance over contractor compliance with CTIP requirements IAW FAR

52.222-50, Combat Trafficking in Persons. Informs the CO if the contractor/subcontractor fails to comply with the requirements of FAR 52.222-50, Combat Trafficking in Persons.

5. Multi-functional Team (MFT) also referred to as the Business Requirements Advisory Group

(BRAG)

a. Fosters partnerships with industry to ensure exchanges of information among the service industry and other business experts occur. Ensures key stakeholders participate in developing, implementing and executing the acquisition strategy.

b. Provides support to senior leadership as required (i.e., performance metrics, data, briefings).

c. Makes sure that correspondence and presentations are accurate, timely and of high quality.

Also, provides reports that provide early warnings of significant variances in cost, schedule or performance to senior leadership. Completes and reports annual performance reviews in accordance with the MOASP guidance.

d. Researches the commercial market to ensure the multi-functional team is using the most efficient and effective assessment methods, techniques, and best commercial practices in performance of the contract.

e. Develops, implements and executes a performance-based acquisition strategy, to include performance metrics that supports a higher level of contractor performance, fosters synergistic partnerships, accommodates changing or unforeseen mission needs and leverages commercial best practices.

f. Ensures the acquisition strategy aligns mission performance needs with performance-based work statements and acquisition approaches designed to deliver the desired mission support results.

g. Manages risk to ensure mission performance is within cost and schedule constraints.

h. Develops, implements and executes a source selection, if applicable, that provides an integrated assessment of the offeror’s proposal and ensures a best value source selection based on the requirements of the Request for Proposal.

i. Plans, programs, and budgets adequate funds to ensure the execution is within approved funding baseline.

j. Develops, implements and manages milestones to ensure the acquisition supports mission requirements within the approved funding baseline.

k. Identifies opportunities to improve performance throughout the life of the acquisition. This includes benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the Performance Plan to implement initiatives, and monitoring the success of implementation.

l. Assesses and manages contractor performance data, to include submitting CPARS reports.

m. Develops, implements, and executes performance measurement and management in accordance with the Performance Plan.

n. Ensures the requiring office and Contractor understand the unique programs impacting an acquisition, e.g. Air Force Hazardous Materials Management Process (HMMP), safety, security, environmental, etc.

o. Recommends changes to the performance plan.

6. Quality Assurance Program Coordinator

a. Supports the multi-functional team in the development of contract requirements specifically ensuring that requirements are clearly stated and enforceable.

b. Trains CORs on the contracting requirements associated with the quality assurance program.

c. Trains PM and COR Supervisors.

d. Provides training, documents CORs acknowledgement of their requirement to:

(1) Evaluate and document contractor’s performance in accordance with the QASP.

(2) Notify the CO of any significant performance deficiencies and provide any recommendations to improve the performance plan or PWS.

(3) Maintain surveillance documentation.

e. Assists in development of quality assurance related training as requested.

f. Maintains documentation of training provided by contracting personnel identified herein.

g. Assists the market research efforts of the multi-functional team in determining commercial quality assurance practices.

h. Assists as required with the evaluation of the contractor’s Quality Control Plans.

i. Provides refresher training annually if necessary to ensure the CORs are up to date with all required changes.

7. Contractor

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

b. Participates as a member of the multi-functional team after contract award.

c. Maintains and implements a quality control plan that is acceptable to the government.

d. Ensures that non-conformance of contract requirements are identified, corrected, and prevents recurrence.

e. Tenders to the government for acceptance only those services that conform to contract requirements.

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

Section C – Service Summary and Method of Surveillance

As a minimum, CORs will monitor, review, and report on the contractor’s performance and compliance with all Service Summary (SS) items shown below (from Section 2 of the PWS with the addition of Rating & Surveillance Methods), along with the rest of the PWS. The service requirements summarized below are performance objectives that relate directly to mission essential items. The performance thresholds referenced in the table briefly describes the minimum acceptable levels of service required for each service requirement. The performance thresholds established for each of the performance objectives are the number of defects permitted before the COR notifies the CO in accordance with FAR 52.212.4, Contract Terms and Conditions-Commercial Items and FAR 52.246-4, Inspection of Services - Fixed Price.

SS# Performance Objective PWS Section Performance Threshold Surveillance

Method CPAR Rating Criteria

Quality

Performance

The contractor shall ensure all debris from demolition of targets is removed from the work site and taken off of HAFB.

1.6.1

Targets will be removed from the work site and taken off of HAFB. All lugs will be neatly palletized and set outside of Building 1178. Zero deviations from standard.

Periodic Surveillance

100% = Satisfactory >100% = Unsatisfactory

Schedule

Urgent/Small Volume

The contractor shall complete demolition in the time allotted.

1.6.2

Target will be removed from the work site within 7 calendar days of receipt of award and taken off of HAFB. Zero deviations from standard.

Periodic Surveillance

<7 days = Satisfactory >7 days = Unsatisfactory

Routine Volume

The contractor shall complete demolition in the time allotted.

1.6.2

Target will be removed from the work site within 30 calendar days of receipt of award and taken off of HAFB. Zero deviations from standard.

Periodic Surveillance

1-30 days = Satisfactory >30 days = Unsatisfactory

Management

Contractor shall designate a lead employee for each task order.

The lead shall be responsive to phone calls and emails regarding performance of the contract. The contractor shall provide a listing of employees who will perform on task orders.

4.2.1

A lead employee shall be designated for each task order. A listing of all employees provided to Government upon request.

Zero discrepancies.

Periodic Surveillance

100% = Satisfactory >100% = Unsatisfactory

The contractor shall provide required training records for employees upon request by the Government.

4.2.2

All required training and documentation of training will be kept by contractor.

Provided to Government upon request. Zero discrepancies.

Periodic Surveillance

100% = Satisfactory >100% = Unsatisfactory

Other Areas

The contractor shall report ALL contractor labor hours (including subcontractor labor hours) required for performance of services provided under this contract via http://www.ecmra.mil.

1.7

The contractor shall completely fill in all required data fields using the following web address http://www.ecmra.mil. All data shall be reported no later than October 31 of each calendar year.

Periodic Surveillance

100% = Satisfactory >100% = Unsatisfactory

Section D – Surveillance Procedures

1. Surveillance Schedule.

a. Based on the periodic nature of performance under this contract, the COR will develop a surveillance schedule upon award of a task order, based on this plan. A locally devised form is available in Appendix 1, Monthly Surveillance Schedule. The schedule shall be completed and uploaded into CORT Tool no later than the last duty day before the surveillance period begins. Copies of the surveillance schedule shall be provided to the PM and the CO, before the start of the surveillance period. Surveillance schedules, when completed, shall be marked “For Official Use Only,” and will not be provided to the Contractor.

b. Changes to the surveillance schedule shall be sent to the PM and the CO. 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.

c. The inspection schedule shall be comprised of at least 10 percent of non-SS items, but no more than 20 percent. The schedule format is determined by the COR, PM, and CO.

2. Monthly/Quarterly Surveillance.

a. COR shall submit all Performance Assessment Reports (PAR) to the CO by the 5th workday of each surveillance period. These reports are essential for identifying areas that are nonconforming and whether the contractor has satisfied the basic requirements of the PWS.

All PAR documentation shall be submitted with all validated customer complaints and CARs.

b. 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 using a Performance Assessment Report (PAR). An example of a locally devised form is available in Appendix 2, Performance Assessment Report (PAR), to include procedures for documenting the Contractor’s performance.

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

d. 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. Satisfactory 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 the COR determines that Contractor performance is unacceptable, the specific reason for the unacceptable performance shall be recorded on the CORs surveillance documentation.

e. The COR shall identify any scheduled inspections not accomplished during a surveillance period in the surveillance report as not completed and why the surveillance was not completed.

f. If scheduled monthly surveillance requirements cannot be met, CORs include an explanation in the monthly surveillance report for each missed item. In such cases, a statement from the PM and QAPC/ACO approval for the variance is required.

Section E – Surveillance of Non-Service Summary Items

1. 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.

2. The COR will monitor the contractor’s performance regarding trafficking in persons such that non-compliance with FAR clause 52.222-50, Combat Trafficking in Persons, is reported to the

CO.

Section F – Unacceptable Performance

1. Unacceptable Performance

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, the COR will promptly notify the Contractor and prepare a draft CAR. The CAR will be sent to the CO for review and approval to issue to the contractor. The Contractor shall acknowledge receipt of the CAR and return the acknowledgement to the issuing party. The acknowledgement is to ensure the Contractor has been informed of the report and does not denote agreement with the report.

a. IAW AFI 63-138 para. 2.12.1.2 Never direct contractor’s work or the re-performance of work, assist the contractor in any task, advise the contractor on how to accomplish any task, change the contract, or interpret the contract, but rather observe and report on contractor compliance with contracted requirements.

b. IAW AFI 63-138 para. 6.10.3. Re-performance of services. Under the PBSA concepts and FAR 46.407(b), ordinarily the first corrective action required of an individual service not meeting contract requirements is the re-accomplishment of the service at no charge to the government. COR documentation of the services not meeting contract requirements denotes the contractor has to re-perform the service. However, upon advice of the technical/functional activity and the nature of the service, the CO may pursue other options.

c. If the Contractor challenges the validity of the CORs unacceptable surveillance findings, promptly report performance issues to the CO in writing. The Contractor shall be required to return all completed CARs to the COR, no later than the suspense date indicated on the CAR.

All CARs shall be uploaded into CORT Tool.

2. Contracting Officer Notification for Acceptance of Nonconforming Supplies or Services.

a. Minor Finding. A departure from established standards having little bearing on the service provided. When COR identifies a minor finding, the COR shall document the finding, and is required to notify the CO. If the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring or has occurred because the contractor has not taken proper steps to prevent recurrence.

b. Major Finding. According to FAR 46.101, means a nonconformance, other than critical, that is likely to result in failure of the supplies or services, or to materially reduce the usability of the supplies or services for their intended purpose.

If at any time COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR shall document their findings and notify the CO immediately in writing.

(1) Contractor failure to meet a performance threshold.

(2) A significant morbidity or mortality involving contractor personnel.

(3) Failure to provide adequate corrective action to preclude reoccurrence of government identified findings.

(4) Failure to provide corrective action to deficiencies identified by the contractor within a prescribed suspense period.

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

(6) Revocation of clinical privileges.

c. Critical. According to FAR 46.101, means a nonconformance that is likely to result in hazardous or unsafe conditions for individuals using, maintaining, or depending upon the supplies or services; or is likely to prevent performance of a vital agency mission.

The COR shall notify the CO in writing immediately and inform the COR Supervisor.

3. Remedies for Unacceptable Performance.

a. In accordance with FAR 52.246-4, Inspection of Services—Fixed Price, if any of the services do not conform with 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 contract personnel and recruitment of substitute 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.

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

COR shall certify receipt of contractor services each month or as required. The COR shall certify that services were received, in accordance with the terms and conditions of the contact.

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 CO. 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 multi-functional team shall utilize the following approaches, methods, and tools to manage the contract upon award:

a. COR shall conduct, document, track, and analyze contractor performance via monthly surveillances. 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, and MOASP, 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.

c. The multi-functional team may conduct periodic progress meetings, not less than quarterly, to review the contractor’s performance. At these meetings the CO 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 CO, 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. COR shall conduct, document, track, and analyze Contractor performance via monthly surveillances. The surveillance results shall be utilized to submit information into the annual CPARS. Surveillance results, along with the contractor’s submittals, and MOASP, will be used to develop metrics to track contractor’s overall compliance with contract terms and conditions, and shall be maintained as PPI.

b. Thorough documentation of unperformed or poorly performed work is essential for tracking contractor performance throughout the period of performance. This documentation provides the 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 officer for corrective action.

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

d. Per MP 5301.602-2(d), CORs will comply with all requirements in 2.0 - COR Roles and Responsibilities including: 2.1 – “The COR must have a Wide Area Work Flow (WAWF) account and be a registered DoD CORT Tool user to initiate the nomination package” and 2.4

– “Establish and maintain a COR file in accordance with DFARS PGI 201.602-2(d)(vi) in the CORT Tool…”:

e. As a minimum, the “COR Online File” shall contain the following:

(1) COR signed Designation Letter from the CO

(2) Copies of all mandatory required training

(3) Copy of the QASP

(4) Copy of the Contractor’s Quality Control Plan

(5) All PARs that have been accomplished

(6) CARs – both open and closed and a log to manage CAR numbering

(7) Monthly Surveillances and applicable correspondence filed in sub-section ‘COR Status Reports’

(8) Any other documents and/or information that the COR finds useful.

b. Contractor Performance Metrics. CORs shall submit monthly surveillance schedule reports into CORT by the 5th working day of the next month for COR Supervisor review and approval. This surveillance shall document contractor’s performance metrics of SS items, analysis of trends discovered in surveillance, CARs issued, and summary of contractor’s performance.

Appendix 1 – Monthly Surveillance Schedule

Surveillance Schedule

“FOR OFFICIAL USE ONLY”

Contract #:

Contractor:

Primary COR:

Signature:

Surveillance Period:

Alternate COR:

Signature:

Date Submitted:

SS

Reference /

PWS

Reference

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

Page 1 of 1 Form Date: 1 May 2017

First Line Supervisor Program Manager’s Signature Contracting Officer’s Signature

“FOR OFFICIAL USE ONLY”

Contract #:

Contractor:

Primary COR:

Signature:

Surveillance Period:

Alternate COR:

Signature:

Date Submitted:

SS

Reference /

PWS

Reference

17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

Instructions for Completing the

AFFAR MP 5301.602-2(d) Para 1.4.2 states, “…the CO and the COR Management (Supervisor) must ensure that individuals designated as CORs are able to dedicate sufficient time to perform effective oversight on each designated contract.”

AFI 63-138, Para 6.8.2.1.1 states, “Prior to executing a monthly/quarterly surveillance schedule, CORs coordinate the schedule through the Program Manager (PM) and CO NLT than the duty day before the schedule surveillance period begins.”

A Monthly/Quarterly Surveillance Schedule shall be submitted for approval to your PM and CO. If there are any changes, please annotate the changes and reason, indicate the revised date and annotate at the new date when the activity is to be conducted. Completed schedules shall be maintained as part of surveillance documentation in the COR contract files.

BLOCK 1: Enter contract number.

BLOCK 2: Enter contract title.

BLOCK 3: Enter name of Primary COR responsible for surveillance and COR signature.

BLOCK 4: Indicate performance period - month and year surveillance is to be accomplished.

BLOCK 5: Enter name of Alternate COR responsible for surveillance and COR signature.

BLOCK 6: Indicate the date the schedule was prepared and submitted (Must be prior to start of surveillance period).

BLOCK 7: Indicate the contract Service Summary Item and PWS paragraph from the Performance Work Statement. Indicate who will be doing surveillance (Primary or Alternate).

BLOCKs 8a through 8k Indicate which day of the month surveillances will be performed for Service Summary Items and PWS Paragraph (i.e. 1 thru 31). At least 10-20 percent of PWS Paragraphs will be evaluated each month. The entire PWS must be surveyed throughout the Performance Period.

SIGNATURE BLOCKS: First Line Supervisor, PM and CO shall sign the Surveillance Schedule.

NOTE 1: If you need another page to input your PWS/SS information, please ensure the pages are numbered.

NOTE 2: Under each day in the block, indicate “P” (Primary) or “A” (Alternate) as to who will be the individual surveying those particular areas.

NOTE 3: Inspection schedule shall be comprised of at least 10 percent of non-SS items, but no more than 20 percent.

Appendix 2 – Performance Assessment Report (PAR)

Performance Assessment Report (PAR) Evaluation Criteria

Below listed is COR guidance for assessing the contractor’s performance. On each Performance Assessment Reports (PAR) the contractor will be evaluated in each of the following categories if applicable for each SS item or PWS task item. The highest rating for PWS (non-SS) task items will be SATISFACTORY as these items normally will not contain a threshold.

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 accepted technical or professional standards? Assess the degree of government direction required to solve problems that arise during performance.

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.

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. 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 Furnished 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?

Appendix 3 – Corrective Action Log

Control #: The control number will be made up of the first two letters of the office symbol, 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., CE08-001).

Appendix 4 – Corrective Action Report (CAR)

Appendix 5 – Contractor Performance Assessment Reporting (CPAR)

Evaluation Ratings Definitions17

Rating Definition Note Exceptional Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

Very Good Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor was effective.

To justify a Very Good rating, identify a significant event and state how it was a benefit to the Government. There should have been no significant weaknesses identified.

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

To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract/order. There should have been NO significant weaknesses identified. A fundamental principle of assigning ratings is that contractors will not be evaluated with a rating lower than Satisfactory solely for not performing beyond the requirements of the contract/order.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated 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.

To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

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 a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).