Initial_QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Version v2--- 28 May 2019

1. Contract or Task Order Title:

Advanced Wireless Services-3 (AWS-3) 2025-2110 Spectrum Management/Coordination System (SMCS)

2. Purpose:

QASP Task numbers are aligned with PWS paragraph numbers.

· PWS Paragraph 6.1: Task 1 – Program Management

· PWS Paragraph 6.2: Task 2 – SMCS Development

· PWS Paragraph 6.3: Task 3 – SMCS Operations and Maintenance

· PWS Paragraph 6.4: Task 4 – Disaster Mitigation Support

· PWS Paragraph 6.5: Task 5 – Transition-Out of Contract & Continuity of Services

3. Roles and Responsibilities:

The following personnel shall oversee and coordinate surveillance activities:

Program/Project Manager (PM) – The PM provides program oversight and supports the Contracting Officer Representative’s (COR’s) performance assessment activities.

Contracting Officer (KO) – The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The KO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Finally, the KO shall determine the final assessment of the contractor’s performance.

Contracting Officer’s Representative (COR) – The COR is responsible for providing continuous technical oversight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the KO. The COR is required to provide an annual performance assessment to the KO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

4. Primary Method of Surveillance:

A mix of random sampling and 100% inspection will be utilized to assess deliverables and outcomes under this effort. Inspection of deliverables will include reviews and assessments by the Government.

Random Sampling is scheduled for monitoring the technical performance of the following items:

· Task Management and Documentation

· Meetings and Reviews

· Software Development and Design

· Software Functionality

· Software Testing

· Operations, System Administration, and Help Desk Support

· Emergency Release and Deployment

· Disaster Mitigation

· Information Disclosure and Equipment Management 100 Percent Inspection is scheduled for the following items:

· Cost and Schedule monitoring of items whose technical performance is monitored via random sampling

· 100 Percent Inspection. This is usually the most appropriate method for infrequent tasks or tasks with stringent performance requirements, e.g., where safety or health is a concern. With this method, performance is inspected/evaluated at each occurrence. 100 percent inspection is too expensive to be used in most cases.

· Random Sampling. This is usually the most appropriate method for recurring tasks. With random sampling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained. Computer programs may be available to assist in establishing sampling procedures.

Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performance surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The Acceptable Quality Level (AQL) performance Standard Table should be used to form the foundation of the COR’s inspection checklist.

5. Performance Standards:

Schedule Requirement: AQL is achieved when acceptable deliverables are provided to the Government per their baseline scheduled delivery date and in accordance with Section 11 of this PWS. Any required revisions are to be resolved within one (1) week, unless otherwise stipulated, and accepted by the KO and/or COR.

Cost Requirement (For CPFF CLINs): AQL is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Routine inspection of delivered product through random sampling.

100% inspection of actual delivery date compared to required delivery date.

100% inspection of invoices and planned-versus-actual financial reports

· Prepares for and leads meetings, reviews, and conferences.

· Presents material that comprehensively responds to the requirement and is understandable by the target audience.

· Prepares accurate materials that require little or no editorial rework.

· Delivers a Kickoff Meeting that comprehensively covers planning, scheduling, software development, and management topics.

· Delivers Monthly Reviews that comprehensively cover development, operations, management, and maintenance topics.

· Provides analyses that are accurate and meet the DSO’s requirements.

Schedule Requirement: AQL performance is achieved when acceptable deliverables are provided to the Government per their baseline scheduled delivery date and in accordance with timelines specified in this PWS. The contractor must conduct a Kickoff Meeting within forty-five (45) days of starting the PoP.

Cost Requirement (For CPFF CLINs): AQL is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Inspection of meeting and review materials, minutes, and associated deliverables by random sampling.

100% inspection of actual delivery date compared to required delivery date.

100% inspection of invoices and planned-versus-actual financial reports

· Implements a comprehensive agile development process that includes requirements analysis, development, testing, deployment, problem solving, and documentation

· Implements a process and development velocity that is consistent with the Software Development Plan

· Captures user generated requirements for continual SMCS enhancement

· Provides a mechanism for prioritizing SMCS development requirements

· Ensures SMCS is compliant with Government reference architecture

· Implements a modular open systems architecture within SMCS

· Implements a cadence of deliveries consistent with proposed schedule

· Delivers all required documentation with each SMCS release

· Exercises robust configuration management and version control Schedule Requirement: AQL Performance is achieved when software activities and deliveries are conducted in accordance with baselined schedules, consistent with the proposed approach. At a minimum, the contractor shall deliver two (2) operational releases in the base year, three (3) operational releases in the first option year, two (2) operational releases in the second option year, two (2) operational releases in the third option year, and one (1) operational release in the fourth option year.

Cost Requirement (For CPFF CLINs): AQL is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Random Sampling of project deliverables 100% inspection of actual events to baselined events 100% inspection of invoices and planned-versus-actual financial reports

· An initial SMCS operational release that meets documented requirements in the SRS, provided as GFI

· SMCS releases that perform all required functionality and capabilities defined by any requirement document provided as GFI or created in the course of contract execution

· SMCS releases that are successfully deployed into operations, with correct configurations, complete capabilities, and proper connectivity

· Continually enhanced SMCS capabilities throughout the PoP to meet evolving requirements

· Rapid fixes to any bugs through the deployment of emergency releases

· SMCS releases that result in successful operational status

· SMCS interfaces that are consistent, accessible, and meet user requirements

· SMCS releases that possess robust cybersecurity and are free from bugs, defects, viruses and other abnormalities

· SMCS releases that assure confidentiality, authenticity, information integrity, secure access control, and non-repudiation of information Schedule Requirement: AQL performance is achieved when software activities and deliveries are conducted in accordance with baselined schedules, consistent with the proposed approach.

Cost Requirement (For CPFF CLINs): AQL performance is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Random Sampling of project deliverables 100% inspection of actual events to baselined events 100% inspection of invoices and planned-versus-actual financial reports

· Conducts testing in accordance with approved plans and procedures

· Conducts testing that reveals software deficiencies

· Ensures the delivery of high-quality products that are free from defects and meet all operational and performance requirements

· Delivers Government Acceptance Testing that validates each SMCS release: meets specified requirements and is suitable for deployment Schedule Requirement: AQL performance is achieved when software testing is conducted in accordance with baselined schedules, consistent with the proposed approach.

Cost Requirement (for CPFF CLINs): AQL performance is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Random Sampling of project deliverables 100% inspection of actual events to baselined events 100% inspection of invoices and planned-versus-actual financial reports

· Receives at least 90% positive feedback from training recipients’ surveys on the thoroughness, comprehensibility, relatability, and effectiveness of training.

· Provides comprehensive training materials that account for all critical elements of SMCS use, to include: Use instructions of SMCS, SMCS account creation, SMCS business processes, and the operational context of SMCS.

· Ensures that training materials can be accessed on-demand by SMCS users

· Ensures that the SMCS training program includes step-by-step instructions and visual/interactive content to describe functional and technical instruction, by user role.

· Conducts at least two (2) in-person and/or virtual training events per year

Random Sampling of project deliverables

· Maintains the help desk Monday through Friday during core hours (9am-5pm Eastern)

· Determines root causes of defects and resolves defects through agile development process.

· Ensure any infrastructure environments are properly maintained and do not adversely impact operations (e.g., software licenses, hardware maintenance, or spare procurement).

· Manages user accounts and ensure access by the SMCS user community.

· Ensure accessibility: SMCS is never inaccessible for more than twenty-four (24) consecutive hours.

· Ensures availability: SMCS is available 99% of the time, on a monthly basis (excluding planned outages to support regular software development activities).

Schedule Requirement: AQL performance is achieved when:

· Help Desk acknowledgement is submitted within one (1) hour of receiving a call during core hours, or one (1) hour of the next business day if call is received outside of core hours.

· Non-defect related Help Desk calls are resolved in one (1) business day.

· Planned outages are announced at least one (1) week prior to the outage and unplanned outages are announced at least one (1) hour prior to the outage.

Cost Requirement (or CPFF CLINs): AQL performance is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Random Sampling of project deliverables 100% inspection of actual events to baselined events 100% inspection of invoices and planned-versus-actual financial reports

· Emergency releases are successfully deployed, and functionality is restored with minimal operational impacts.

· Defect corrections are integrated and tested.

Random Sampling of project deliverables

· DM capabilities and services are provided in accordance with the DM Plan. These include establishing a physical DM location, creating and executing recurring backups of the contractor’s capabilities, providing DM scenarios to test, testing and verifying DM capabilities, and reporting lessons learned and process improvements.

· DM backup occurs on a reoccurring basis not to exceed twenty-four (24) hours between backups.

Cost Requirement (For CPFF CLINs): AQL performance is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Random Sampling of project deliverables 100% inspection of invoices and planned-versus-actual financial reports

· Non-public information is properly handled without spillage and non-disclosure agreements are properly executed.

· Contractor Furnished Equipment employed for remote access to a Government network meets or exceeds the equivalent GFE cyber security computing requirements.

Cost Requirement (For CPFF CLINs): AQL performance is achieved when the cost charged to the TO for the deliverables is equal to or less than the target cost.

Random Sampling of project deliverables 100% inspection of invoices and planned-versus-actual financial reports

6. Documenting Performance:

Acceptable Performance.

The Government shall document positive performance. A Performance Assessment Report (PAR) template is attached (Appendix 2). Any report may become part of the supporting documentation for fixed price payments, award/incentive fee payments, Contractor Performance Assessment Reporting System (CPARS) entries, or other actions. Government acceptance of services permits the contractor to invoice for the service fee.

Unacceptable performance.

Unacceptable contractor performance can be identified by customer complaints (Appendix 3) or upon schedule surveillance evaluations. When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. The COR shall document the discussion and place it in the COR file and provide a copy to the KO.

When the COR determines that formal written communication is required, the COR shall prepare a Corrective Action Report (CAR). The CAR is forwarded to the KO for dissemination to the contractor. A CAR template is attached to this QASP (Appendix 4).

The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective action plan to the KO and COR. The Government may withhold payment for services until corrective action is taken. The Government shall review the contractor's corrective action plan to determine acceptability. Upon Government acceptance of the corrected services the contractor will be permitted to invoice for the service fee.

Any CAR may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment, CPARS or other actions deemed necessary by the KO.

7. Mandatory or regulatory compliance items:

The contractor will provide initial proof of compliance with regulatory and compliance items contained in the contract. The COR and the KO will evaluate the initial submission and will conduct ad hoc reviews of the contractor's compliance throughout the remainder of the contract. The contractor will monitor compliance to all statutory and regulatory compliance items, including, but not limited to, combatting trafficking in persons, Equal Employment Opportunity, wage determination, and intellectual property, as required, and report any issues to the KO.

8. Acceptable Quality Level (AQL):

The AQLs for this project are defined in Section 6 of this document, and all deliverables must meet the quality specifications defined in Section 6 of this document.

9. Evaluation Method:

The COR will review documents and deliverables to ensure AQL’s have been achieved. The COR will ensure that transition activities meet the required AQLs by reviewing deliverables and documentation; additionally, the COR may conduct discussions with the contractor, users, and other stakeholders, as required. The COR will ensure software development, operations, and maintenance activities meet required AQLs by reviewing deliverables and documentation; additionally, the COR may conduct discussions with the contractor, users, and other stakeholders, as required.

10. Performance Rating

In evaluating the quality of the contractor’s performance, the following performance ratings may be used (same as CPAR ratings).

Performance Rating Criteria

Enclosure 6, Page 1 of 6 Pages 17Jul2013/Version 2

Encl 4, QASP 23Jun2017/v3 Page 1 of 19 Pages Appendix 1 - Surveillance Matrix

Performance Standards Acceptable Quality Levels Methods of Calculation

Ratings

Task Management and Documentation Minimum Acceptable:

· Deliverables contain the required information, are technically and grammatically correct, and do not require multiple returns to the contractor for editorial rework.

· Deliverables are provided to the Government per their baseline scheduled delivery date and in accordance with Section 10 of this PWS. 100% of deliverables are no more than seven (7) days late.

· Required revisions or rework must be completed and submitted within seven (7) calendar days.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory Marginal Unsatisfactory

· Material comprehensively responds to the requirement

· Material is understandable by the target audience.

· Materials require little or no editorial rework.

· Kick Off comprehensively covers planning, scheduling, software development, and management topics.

· Monthly Reviews comprehensively cover development, operations, management, and maintenance topics.

· Analyses are accurate and meet DSO requirements.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of meeting and review deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· Implement a comprehensive agile development process that includes requirements analysis, development, testing, deployment, problem solving, and documentation

· Implement a software development process and development velocity that is consistent with the Software Development Plan

· Capture user generated requirements for continual SMCS enhancement

· Provide a mechanism for prioritizing SMCS development requirements

· Ensure SMCS is compliant with Government reference architecture

· Implement a modular open systems architecture within SMCS

· Implement a cadence of deliveries consistent with proposed schedule

· Deliver all required documentation with each SMCS release

· Exercise configuration management and version control

· Deliver software activities in accordance with baselined schedules Calculation – Analyses of monthly reports, software deliverables, software development metrics, the software development plan, and other relevant deliverables.

Measurement Interval – The measurement interval is one month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· An initial SMCS version that meets requirements

· SMCS releases that perform all required functionality and capabilities defined by any requirement document provided as GFI or created in the course of contract execution

· SMCS releases that are successfully deployed into operations, with correct configurations, complete capabilities, and proper connectivity

· Continual enhance SMCS capabilities throughout the period of performance to meet evolving requirements

· Rapid fixes to any bugs through the deployment of emergency releases

· SMCS releases that result in successful operational status

· SMCS interfaces that are consistent, accessible, and meet user requirements

· SMCS releases that possess robust cybersecurity and is free from bugs, defects, viruses and other abnormalities

· SMCS releases that assure confidentiality, authenticity, information integrity, secure access control, and non-repudiation of information

· Deliver software activities in accordance with baselined schedules Calculation – Analyses of monthly reports, software deliverables, the software development plan, and other relevant deliverables.

Measurement Interval – The measurement interval is one month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· Conduct testing in accordance with approved plans and procedures

· Conduct testing that reveals software deficiencies

· Deliver high-quality products that are free from defects and meet all operational and performance requirements

· Deliver Government Acceptance Testing that validates each SMCS release: meets specified requirements and is suitable for deployment

· Conduct test and evaluation activities in accordance with baselined schedules

Calculation – Analyses of monthly reports, software test deliverables, the software development plan, and other relevant deliverables.

Measurement Interval – The measurement interval is one month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· Receive at least 90% positive feedback from training recipients’ surveys on the thoroughness, comprehensibility, relatability, and effectiveness of training.

· Provide comprehensive training materials that accounts for all critical elements of SMCS use, to include: Use instructions of SMCS, SMCS account creation, SMCS business processes, and the operational context of SMCS.

· Ensure that training materials can be accessed on-demand by SMCS users

· Ensure that the SMCS training program includes step-by-step instructions and visual/interactive content to describe functional and technical instruction, by user role.

· Conduct at least two in-person and/or virtual training events per year

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables and surveys provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection of surveys and survey metrics.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· Maintain a help desk Monday through Friday during core hours (9am-5pm Eastern)

· Determine root causes of defects and resolves defects through agile development process.

· Ensure any infrastructure environments are properly maintained and do not adversely impact operations (e.g., software licenses, hardware maintenance, or spare procurement).

· Manage user accounts and ensure access by the SMCS user community.

· Ensure SMCS is never inaccessible for more than 24 consecutive hours.

· Ensure SMCS is available 99% of the time, on a monthly basis (excluding planned outages to support regular software development activities).

· Conduct test and evaluation activities in accordance with baselined schedules

· Provide Help Desk acknowledgement within one (1) hour of receiving a call during core hours, or one (1) hour of the next business day if call is received outside core hours.

· Resolve Non-defect related help desk calls within one (1) business day.

· Announce planned outages at least one week prior to the outage and announce unplanned outages at least one (1) hour prior to the outage.

Calculation – Analyses of monthly reports, help desk logs, maintenance logs, and other relevant deliverables.

Measurement Interval – The measurement interval is one month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· Emergency releases are deployed and SMCS functionality is restored with minimal operational impacts.

· Defect corrections and SMCS features and functions are integrated and tested.

Calculation Defects are resolved and functionality is restored. Verified through analysis of help desk logs and emergency release deliverables Measurement Interval – The measurement interval is one month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00 on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor and reports from user stakeholders Method of Surveillance – Random sampling of deliverables for quality.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· DM capabilities prevent data loss

· DM backup occurs on a reoccurring basis not to exceed twenty-four (24) hours.

Calculation 100% of DM capability uses prevent catastrophic data loss. Random sampling of SMCS deliverables to determine backup currency.

Measurement Interval – The measurement interval is one month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

· Non-public information is properly handled without spillage and non-disclosure agreements are properly executed.

· Contractor Furnished Equipment employed for remote access to a Government network meets or exceeds the equivalent GFE cyber security computing requirements.

Calculation Percent of personnel with Non-Disclosure agreements on-file. Number of unauthorized releases of non-public information Measurement Interval – The measurement interval is six months.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from deliverables provided by the contractor and any reports of unauthorized disclosure.

Method of Surveillance – Random sampling of deliverables for quality. 100% inspection for delivery timelines.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

Appendix 2 – Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

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

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

Appendix 3 – 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 4 – Corrective Action Report

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. QUALITY ASSURANCE PERSONNEL (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