Attachment_3_QASP.pdf

CONTRACTING OFFICER’S REPRESENTATIVE (COR)

MANUAL

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

USTRANSCOM

HCT711-14-R-D018

Transportation Geospatial Information Server (TGIS)

APPROVED DATE:

DARREN J. GUTTMANN BELFIELD COLLYMORE

Program Manager Chief, DPO Services Support Branch

SDDC/TEA USTRANSCOM/TCAQ-DPO

TABLE OF CONTENTS

1.0. INTRODUCTION Page 2

2.0. PURPOSE Page 2

3.0. ROLES AND RESPONSIBILITIES Page 2

4.0. METHODS OF SURVEILLANCE Page 4

5.0. PERFORMANCE OBJECTIVES Page 4

6.0. ANALYSIS OF SURVEILLANCE RESULTS Page 5

7.0. DOCUMENTATION REQUIREMENTS Page 6

8.0. WIDE AREA WORK FLOW/CERTIFICATION OF SERVICES Page 9

9.0. TRANSPORTATION FINANCIAL MANAGEMENT SYSTEM Page 9

10.0. CONTRACTOR PERFORMANCE ASSESSMENT RATING SYSTEM Page 9

11.0. TRAINING Page 10

ATTACHMENTS

1. MONTHLY PERFORMANCE REPORT

2. CONTRACT DISCREPANCY REPORT

3. CONTRACT DISCREPANCY REPORT LOG

4. WAWF

5. CPARS

1.0. INTRODUCTION

1.1. This Quality Assurance Surveillance Plan (QASP) provides the Contracting Officer’s Representative

(COR) effective and systematic surveillance procedures to be used in monitoring contractor performance in accordance with the requirements listed in the Performance Work Statement (PWS) entitled “Military

Surface Deployment and Distribution Command (SDDC) Performance Work Statement (PWS) for New

Enhancements to the TRANSCOM Geospatial Information System (TGIS).” This plan sets forth the procedures and guidelines the COR shall use in evaluating the technical performance of the contractor.

2.0. PURPOSE

2.1. This plan describes the systematic methods used to measure performance and to identify reports required and resources to be employed. This plan provides a means for evaluating whether the contractor is meeting the objectives as identified in the PWS.

2.2. This plan is designed to define roles and responsibilities, identify performance objectives, define methodologies to be used in monitoring and evaluating contractor performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

3.0. ROLES AND RESPONSIBILITIES

3.1. The Contracting Officer (CO) and the Primary/Alternate Contracting Officer’s Representative (COR) shall monitor contractor performance on a continuing basis. Government surveillance may occur in accordance with FAR 52.246-4 Inspection of Services – Fixed Price, FAR 52.246-5 Inspection of

Services Cost-Reimbursement, FAR 52.246-6 Inspection—Time-and-Material and Labor-Hour, FAR

52.246-7 Inspection of Research and Development Fixed Price, and FAR 52.246-8 Inspection of Research and Development Cost Reimbursement, for any service relating to the contract. Points of Contact are as follows:

CO: Belfield Collymore belfield.c.collymore.civ@mail.mil

DSN 770-7089

Program Manager (PM): Mr. Darren J. Guttmann darren.j.guttmann.civ@mail.mil

DSN 770-5218

Primary COR: Mr. Darren J. Guttmann darren.j.guttmann.civ@mail.mil

DSN 770-5218

Alternate COR: Mr. Grant E. Lang grant.e.lang.civ@mail.mil

DSN 770-5216

Contractor Performance Assessment Reporting System (CPARS) POC: Ms. Elaine Fix

Elaine.f.fix.civ@mail.mil

DSN 770-6716

mailto:belfield.c.collymore.civ@mail.mil

3.2. CO RESPONSIBILITIES. The CO performs pre-award functions and awards or executes a contract and performs post-award functions, has overall responsibility for contract administration, and is the primary focal point for formal Government-Contractor Interface. The CO is responsible for monitoring contractor compliance and resolving disagreements regarding the interpretation of contract terms and conditions. The CO may call upon the expertise of other Government individuals as required. Revisions to the contract shall be authorized by the CO. Additionally, the CO is responsible for approving the

QASP and any changes thereto.

3.3. PM RESPONSIBILITIES. The PM is responsible for nominating Primary and Alternate CORs. The

PM reviews contractor performance documentation, prepared by CORs, on a regular basis to ensure performance is compatible with contract and mission objectives while supporting a higher level of contractor performance, and fostering synergistic partnerships.

3.4. COR RESPONSIBILITIES (Applies to both the Primary and Alternate COR).

3.4.1. The COR serves as a functional expert and is responsible for monitoring, assessing, recording, and reporting the technical performance of the contractor on a continuous basis. The COR schedules surveillance activities; evaluates and documents contractor performance; initiates requests for and evaluates adequacy of corrective actions; and reports contractor performance of contractor requirements.

The COR shall be sufficiently trained to perform the required duties and shall ensure they are knowledgeable of the terms and conditions of the contract.

3.4.1.2. The COR is to be objective, fair, and consistent in evaluating contractor performance against standards.

3.4.1.3. The COR shall notify the CO immediately when an evaluation shows that performance does not meet the standards identified in this plan.

3.4.1.4. The COR is required to ensure changes in work are not initiated prior to CO written authorization or contract modification.

3.4.1.5. (Applies to FFP CLINs only) The COR is required to accept delivery of services. The COR shall ensure services have been performed before entering the quantity received and approving/digitally signing the receiving report/invoice in TFMS-M. The COR has a maximum of seven days after the contractor’s submission of a properly documented receiving report/invoice to accept the quantity and approve/digitally sign the document for insertion into TFMS-M. After approval/signature, the signed receiving report/invoice will be routed to TFMS-M for scheduling of payment.

4.0. METHODS OF SURVEILLANCE

4.1. One Hundred Percent Inspection. One hundred percent inspection is inspection of a requirement every time it occurs.

4.2. Customer Complaints.

4.2.1. Customer complaints and comments may be a method of validating information obtained through other sources. Customer complaints are likely to be subjective and may not always relate to actual requirements of the contract therefore shall be fully validated. Customer complaints and comments are useful in those areas that do not lend themselves to other types of surveillance.

4.2.2. COR personnel shall collect all customer complaints. All complaints and any resulting resolution of such complaints shall be documented. Customer complaints become a permanent part of the COR personnel surveillance records. Customer complaints may be used to assess performance in any area.

Valid customer complaints may be used as the basis for adverse action against the contractor.

4.3. Periodic Surveillance

Periodic surveillance inspection is the type of surveillance that is based upon selecting samples for evaluation on other than 100% inspection or on a statistically random basis. Selecting this tool to determine a contractor’s compliance to contract requirements can be quite effective and allows COR personnel to establish confidence or lack of confidence in the contractor while not consuming a significant amount of time. An example of periodic surveillance is weekly inspections when COR personnel choose the location and time in other than a statistically random basis.

4.4 Surveillance of Cost Plus Fixed Fee (CPFF) CLINS. Surveillance under CPFF contracts is especially important as these contract types provide no positive profit incentive to the contractor for cost control or labor efficiency. Therefore, appropriate Government surveillance of contractor performance is required to give reasonable assurance that efficient methods and effective cost controls are being used. Several methods shall be used: tracking the actual hours expended against the estimated hours for each specific project; reviewing contractor submitted documentation of schedules and comparing against approved

“burn rates” and verifying contractor invoices against contract labor rates.

5.0. PERFORMANCE OBJECTIVES

5.1. The Government retains the right to inspect any item/service included in the task order.

Items/Services shall be inspected in the same general manner as periodic surveillance items/services. The results of these inspections shall be documented and, if necessary, provided to the PCO/ACO for action.

The PCO/ACO shall handle each documented discrepancy on a case-by-case basis.

5.2. The following are the most important performance objectives that, when met, will ensure task order performance is satisfactory. While the contractor is fully expected to comply with all requirements in the

Performance Work Statement (PWS), the Government’s assessment of contractor performance will focus mainly on the objectives listed below.

A critical nonconformance cannot be corrected and adversely affects the safety and/or security of personnel and/or resources, cannot be corrected without mission impact, or adversely affects another

Government agency's ability to accomplish their mission.

A minor nonconformance is a nonconformance which cannot be corrected but is not likely to materially reduce the usability of the services for their intended purpose.

5.2.1. Performance Objectives

6.0. ANALYSIS OF SURVEILLANCE RESULTS

6.1. The CO shall review the evaluation report and supporting documentation received from the COR.

When appropriate, the CO may further investigate the event to determine if all facts and circumstances surrounding the event were considered in the COR’s evaluation. The CO shall inform the contractor of any problems and work to resolve them in accordance with applicable rules and regulations.

6.2. The CO may determine that Contractor performance not meeting performance thresholds warrants one of the following corrective actions:

a. Contractor shall correct the service at no additional cost to the Government; or

b. Consideration will be negotiated IAW FAR 52.246-4 Inspection of Services – Fixed Price, FAR

52.246-5 Inspection of Services Cost-Reimbursement, FAR 52.246-6 Inspection—Time-and-Material and

Labor-Hour, FAR 52.246-7 Inspection of Research and Development Fixed Price, and FAR 52.246-8

Inspection of Research and Development Cost Reimbursement; or

c. The contract shall be terminated for default.

7.0. DOCUMENTATION REQUIREMENTS

7.1. Complete and orderly COR files are vital in assuring the Government meets obligations required to result in a successful contract, particularly when disagreements or questions of interpretation arise. COR files play a critical role in resolving disputes before an administrative or legal review board.

7.2. Official File. The Primary COR shall maintain an official file for each contract assigned. This file shall be available for review by the contracting officer, Inspector General, GAO or other authorized officials. The file shall include, as a minimum –

A complete, current copy of the contract and all contract modifications (the contracting officer will provide, via email, copies of every modification);

Performance Requirement Surveillance

Method

Performance Threshold

Deliverables for Production of

Documentation

100%

Inspection

Deliverables are timely, accepted as delivered 95% of the time with only minor changes.

Deliverables for Sustainment and Operations

100%

Inspection

Deliverables are timely, accepted as delivered 95% of the time with only minor changes.

Deliverables for

Enhancements

100%

Inspection

Deliverables are timely, accepted as delivered 95% of the time with only minor changes.

Security Requirements 100%

Inspection

Compliance with contract security requirements with no security violations.

Current copy of Quality Assurance Surveillance Plan;

A copy of the contracting officer’s letter(s) of delegation and other documentation describing the

COR’s duties and responsibilities;

Copies of certificates/evidence of attendance for all COR related training (i.e., CLC 106, COR

With a Mission Focus; Ethics Training, provided by local legal counsel or DAU CLM 003, Ethics

Training for Acquisition Technology and Logistics Workforce; contract specific training; and refresher training);

Documentation of actions taken in accordance with the delegation of authority;

All correspondence initiated concerning performance of the contract;

All correspondence to and from the contracting officer and the contractor;

Names and social security numbers of all employees provided by the contractor for base passes;

All minutes or memorandum for records (MFRs) of pre-performance conferences, meetings, discussions with the contractor, etc., pertaining to the contract or contract performance;

Records pertaining to Government-Furnished Property (GFP);

Record of all inspections performed and the results;

COR Performance Review by the contracting officer; and

COR File Review by the contracting officer or designee.

7.3. As a matter of practice, the COR holding discussions or conducting business with contractors, shall prepare Memoranda for Record (MFRs) of meetings, trips, and telephone conversations relating to the contract. The MFR should be prepared no later than one business day after a significant meeting or discussion with the contractor. Each MFR, or other similar records, and correspondence relating to the contract shall cite the contract number and list names and titles of all participants. A copy of all actions or correspondence shall be furnished to the contracting officer.

7.3.1. Some tips to remember:

Do not rely on your memory - document events on the day or next working day after they occur.

Keep a written record of important telephone conversations.

Take good meeting notes, even for informal meetings.

7.4. Since the COR is an authorized representative of the contracting officer, COR records are considered part of official post-award contract files and shall be forwarded to the CO upon completion of the contract for retirement with the official contract file.

7.5. Performance Documentation. Documentation is required to record, evaluate, and report contractor performance. The COR shall maintain accurate and detailed records of contractor performance and keep the CO informed. The COR shall document each surveillance as it is accomplished and maintain open lines of communication with the CO, discussing discrepancies which may warrant deficiency notices or

CDRs.

7.5.1. Surveillance Activity Checklists. The COR shall use a Surveillance Activity Checklist to record observations and provide a complete picture of contractor performance. Separate checklists shall be used each time an evaluation is accomplished (checklists are tailored for specific performance objectives). The

COR shall document findings and provide a narrative identifying whether performance is satisfactory, above, or below the standard.

7.5.2. Customer Complaints. A customer complaint may be filed by anyone interacting with the contractor in any capacity. The burden of documenting the complaint rests predominantly with the COR.

Once the COR has completely investigated the complaint and documented the results, a written recommendation shall be provided to the CO.

7.5. Monthly Evaluations. The COR shall complete monthly evaluations of contractor performance and document findings using the format in Attachment 1. The monthly evaluation shall include a summary of all observations made during the month to include above standard performance, valid customer complaints and failed performance objectives. The evaluation shall be forwarded to the PM not later than the 5 th working day after the end of the month. The PM has two days to review and then forward to the

CO. The monthly evaluation is never given to the contractor by anyone other than the CO. The CO shall prepare a letter to the contractor which includes the pertinent information from the COR. The CO shall sign the letter, send to the contractor and provide a copy to the Program Management Office by the 10 th working day after the end of the month.

7.6. Unacceptable Performance

7.6.1. The COR shall record circumstances (time, date, location, and defective element) surrounding an observed discrepancy. When unacceptable performance, which was not caused or contributed to by

Government actions, is documented, the COR shall take the following actions:

If it is a critical discrepancy, immediately contact the CO.

Inform the contract manager or alternate contract manager of the unacceptable performance and reasons why it is unacceptable.

Afford them the opportunity to show the problem has already been identified and corrective action is being taken. A deficiency may not be recorded if evidence is shown where the contractor’s quality program has already documented the deficiency and timely corrective action was taken to remedy the problem.

Evaluate the effectiveness of the contractor’s corrective action. Trends shall be tracked and repeated failures annotated.

Ask the contract manager or alternate contract manager to sign the checklist acknowledging receipt; and provide them a copy of the signed checklist. If the contractor refuses to sign the inspection, the COR shall document the contractor’s refusal and advise the CO of the situation.

7.6.2. Contract Discrepancy Report (CDR). If at any time during the surveillance period, the results of surveillance show unacceptable observations during the period, and the COR determines that it is not

Government caused or the service cannot be re-performed, a Contract Discrepancy Report (CDR) may be issued. The COR shall follow the below steps for CDRs:

Step 1 - The COR shall call the CO and discuss the discrepancy to ascertain whether a CDR is warranted.

Step 2 - The COR shall complete Part 1, blocks 1 through 5, and the contract number and discrepancy report number blocks, Parts 2 and 3, of the CDR. A template has been provided in

Attachment 2. Note: Block 5, discrepancy or problem, shall be completed in as much detail as possible. If additional space is required, the COR may continue on another page. The COR shall include the PWS paragraph reference and initiate a CDR log entry provided in Attachment 3.

Step 3 - The COR shall submit a copy of the CDR to the CO.

Step 4 - The CO shall sign and date blocks 6a and 6b of the CDR and forward Parts 1 and 2 to the contractor.

Step 5 - The contractor shall complete Part 2 of the report and return that page only to the CO.

The CO shall review the response and submit a recommendation (accept or reject) to the COR.

After discussion with the CO, the COR shall either accept or reject the contractor’s response by completing block 11 and signing and dating blocks 12a and 12b of the CDR. Note: An explanation is required if the COR rejects the contractor's response.

Step 6 - The COR shall return Part 3 only of the CDR to the CO. The CO shall complete block

13, Government actions.

Step 7 - The CO shall send Part 3 of the CDR back to the contractor representative for closeout signature. Once the contractor has signed the close out portion of the form, the CO shall sign and provide a complete copy of the CDR to the contractor and the COR.

Step 8 - The COR shall complete the CDR log entry.

7.6.3. Discrepancy Notice. In cases where the discrepancy is not serious as to warrant a CDR, but still needs to be brought to the contractor’s attention, a Deficiency Notice may be issued by the CO to the contractor.

8.0. WIDE AREA WORK FLOW (WAFW) / CERTIFICATION OF SERVICES

8.1. Payment processing is an important aspect of the COR’s job. Just as the Government expects the contractor to meet all contract requirements for quality, quantity and timeliness, the contractor expects no less of the Government in meeting its obligation to timely, accurate payment for supplies and services received

8.1.1. Registration – See Attachment 4 for instructions.

8.2. Cost Plus Fixed Fee (CPFF) CLINS. This contract contains CPFF line items. Invoices for these items must be processed through the Defense Contract Audit Agency (DCAA). The COR will receive the monthly receiving report by using the Wide Area Work Flow – Admin By View Only (WAWF-RA) electronic form. The COR will be notified by email when the contractor has initiated a Cost Voucher document in the WAWF system. At that point the COR shall review the invoice within two (2) work days of email notification. If there is a problem with the invoice, immediately contact the Contracting

Officer. If everything is correct, document your file that you reviewed the invoice and found no discrepancies. Because the invoices are not paid through WAWF (only placed in WAWF for DCAA and

COR approval), the COR shall route the contractor’s invoice to TFMS-M for scheduling of payment once the invoice within WAWF has been approved.

8.3. Unacceptable Services. The following statement shall be annotated in the "Comments Section" of the

WAWF COMBO document when there are outstanding CDRs, "CDRs XXX have been issued. Payment may be made pending resolution of CDRs XXX. Any deductions caused by these CDRs will be taken against future invoices."

9.0. TRANSPORTATION FINANCIAL MANAGEMENT SYSTEM (TFMS)

9.1. For Sustainment CLINs, the COR will review the invoice. If everything is correct, and service has been acceptable, accept the invoice and upload to TFMS for payment.

10.0. CONTRACTOR PERFORMANCE ASSESSMENT REPORTING SYSTEM (CPARS)

10.1. CPARS is a web-enabled application that collects and manages a library of automated contractor report cards. CPARS data may be used to effectively communicate contractor strengths and weaknesses on a given contract during a specific period of time. The CPARS assesses a contractor’s performance and provides a record, both positive and negative, on a given contract during a specific period of time. Each assessment shall be based on objective (or measurable subjective) data. Upon request, CPARS training will be given to the COR by the Contracting Officer or designee.

10.2. All CPARS information is treated as “For Official Use Only/Source Selection Information” in accordance with FAR 3.104 and the DoD Guide to Collection and Use of Past Performance Information.

Access to the CPARS Automated Information System (AIS) is restricted to those individuals with an official need to know.

10.3. Annual Assessment. An annual assessment of the contractor’s performance shall be completed.

The COR shall use the Monthly Evaluations (paragraph 7.5) as the basis for the annual assessment.

Generally, it is wise to first draft the assessment and send to the Assessing Official (AO) for review prior to finalizing in CPARS. This eliminates the need for any corrections in CPARS. See Attachment 5 for additional information. In addition, whenever the Primary COR changes, the outgoing Primary COR shall complete an interim assessment and forward the original to the contracting officer and retain a copy in the COR file.

11.0. TRAINING

11.1. Every COR must receive training prior to performing duties. Initial training consists of DAU Course

CLC 106, COR With a Mission Focus, and can be accessed at the DAU site https://learn.dau.mil/html/login/login.jsp. We must have a proper delegation letter from

11.2. Contract Specific Training will be provided by the CO after CLC 106 is successfully completed. This will generally occur at the Post-Award Conference.

11.3. Refresher Training. CORs must retake CLC 106 every three years.

https://learn.dau.mil/html/login/login.jsp

11.4. Ethics Training. Each COR must complete CLM 003, Ethics Training for Acquisition Technology and

Logistics Workforce, or training provided by local legal counsel. CLM 003 can be found at https://learn.dau.mil/html/login/login.jsp.

https://learn.dau.mil/html/login/login.jsp

NOTE: Contract information will be used in overall monthly report for TGIS.

date

MEMORANDUM FOR Contracting Officer, TCAQ-DPO

FROM: (Insert office symbol and address for the Functional Director)

SUBJECT: Monthly Evaluation Report for Contract HTC711-XX-X-XXXX, (Insert Name of Contract)

1. The following information is provided for your information/action regarding subject contract for the month of XXX XX.

Standard performance area categories a-f must be evaluated to correspond with CPARS. Performance areas that do not apply to an individual contract may be evaluated as N/A. Additional performance areas may be added to tailor to an individual contract.

a. Quality of Product/Service Rating: (Provide a rating of Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory)

Contract Discrepancy Reports Issued: (Insert number of CDRs issued) o (Provide a brief description of each CDR)

Other Observed Deficiencies: (Insert number of other deficiencies observed) o (Provide a brief description of each deficiencies observed)

Over and Above Initiatives: (Insert number of initiatives) o (Provide a brief description of each initiative)

b. Schedule Rating: (Provide a rating of Exceptional,

c. Cost Control Rating: (Provide a rating of Exceptional,

d. Business Relations Rating: (Provide a rating of Exceptional,

e. Management of Key Personnel Rating: (Provide a rating of Exceptional,

f. Utilization of Small Business Rating: (Provide a rating of

Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory)

g. Overall Comments

(Add a short summary of the contractor’s overall performance for the month.)

2. Please direct any questions to the undersigned at DSN XXX-XXXX or commercial XXX-XXX-

XXXX.

(Insert name)

(Insert duty title, e.g.PM or COR)

Exceptional Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective. An Exceptional rating should identify multiple significant events

& how they were of benefit to the Government or a singular benefit 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 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 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. There should have been NO significant weaknesses identified.

Marginal Performance does not meet some contractual requirements. The contractual performance 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 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 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).

ATTACHMENT 2

CONTRACT DISCREPANCY REPORT

PART 1

1. CONTRACT NUMBER

Insert Contract Number Here

2. DISCREPANCY REPORT NUMBER

Insert Report Number Here

3. TO (Contractor Representative)

Insert Name Here

4. FROM (COR)

5. DISCREPANCY OR PROBLEM (Describe in detail. Include Statement of Work/Contract

Reference.)

Insert Text Here

6a. SIGNATURE OF CONTRACTING OFFICER b. DATE

PART 1 OF 3

PART 2 OF 3

PART 2

CONTRACT NUMBER (Same as Part 1 No. 1)

DISCREPANCY REPORT NUMBER (Same as

Part 1 No. 2)

7. TO (Contracting Officer)

8. FROM (Contractor Representative)

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION, AND ACTION TO

PREVENT RECURRENCE:

10a. SIGNATURE OF CONTRACTOR REPRESENTATIVE b. DATE

PART 3 OF 3

PART 3

CONTRACT NUMBER (Same as Part 1 No. 1)

DISCREPANCY REPORT NUMBER (Same as Part 1 No. 2)

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, or rejection)

12a. SIGNATURE OF CONTRACTING OFFICER’S

REPRESENTATIVE

b. DATE

13. GOVERNMENT ACTIONS (Reduced payment, cure notice, show cause, or other)

CLOSE OUT

NAME/TITLE

SIGNATURE

DATE

CONTRACTOR

REPRESENTATIVE

CONTRACTING

OFFICER

ATTACHMENT 3

(SAMPLE)

CONTRACT DISCREPANCY REPORT (CDR) LOG

CDR NUMBER REQUIRED SERVICE

(Ref PWS Para #)

DISCREPANCY DATE

PREPARED

DATE

CLOSED

ATTACHMENT 4

Wide Area Work Flow (WAWF)

BACKGROUND

Wide Area Work Flow is a web-based DoD application for submitting invoices and receiving reports.

It was created to comply with the DoD Paperless Contracting Initiative.

Vendor will create and route the invoice and receiving report via WAWF.

Government Acceptor will officially accept the goods/services with a digital signature. Once accepted and approval from DCAA is granted, the information from the receiving report will be electronically forwarded to TFMS-M for payment.

BEFORE YOU BEGIN

Complete the WAWF Self Registration at https://wawf.eb.mil (See next page for complete registration instructions)

Complete the DD2875 and forward to the USTRANSCOM Group Administrator (GAM): Mr.

Andrew Renth, andrew.j.renth.civ@mail.mil, DSN 770-7115

The USTRANSCOM GAM will activate your account once they verify that you have completed the QAP Phase I and Phase II training. You will receive your password via e-mail once your account is activated.

https://wawf.eb.mil/ mailto:andrew.j.renth.civ@mail.mil

ATTACHMENT 4

INSTRUCTIONS FOR WAWF

Complete Parts I and II. Submit to your local Security Manager who will complete Part III. Then submit to the Contracting Officer to sign Part II.

TYPE OF REQUEST: Initial

SYSTEM NAME: WIDE AREA WORK FLOW (21) Signature of Information Owner/OPR. Leave Blank LOCATION: Ogden DMC (21a) Phone Number. Leave Blank

PART I

(1) NAME: The last name, first name, and middle initial of the user. (21b) DATE: Leave Blank

(2) Social Security Number: Leave Blank Blocks 22 – 27 Leave Blank

(3) Organization: The user’s current organization (i.e. HQ AMC) C. PART III: Certification of Background Investigation or Clearance. Must be completed by your local security manager

(4) Office Symbol/Department: The office symbol within the current (28) Type of Investigation. The user’s last type of office organization investigation (i.e., NAC, NACI, or SSBI).

(5) Telephone Number/DSN: Complete with the DSN #

(6)Official E’mail Address. The user’s official e’mail address. (28a) Clearance Level: The user’s current security clearance level (Secret, Top Secret).

(7) Job Title/Grade/Rank. The civilian job title (Example: QAP (28b) IT Level Designation. The user’s ADP designation

(8) Official Mailing Address. The user’s official mailing address. IADP1, ADP3, etc.),

(9) Citizenship. The user’s citizenship status, (28c) Date, Date of last investigation.

(10) Designation of Person: Complete as either CIVILIAN or MILITARY (28d) Type of Designation, The user’s last ADP designation IADP1, ADP2, etc.), IA Training and Awareness Certification Requirements: Leave Blank (29) Verified By. The Security Manager or representative prints his or her name to indicate that the above

(11) User’s Signature. User must sign the DD Form 2875 with the clearance and investigation information has been understanding that they are responsible and accountable for their verified.

password and access to the system(s).

(30) Signature. The Security manager or

(12) Date, The date that the user signs the form. representative signature indicates the above clearance and investigation information has been verified.

PART II:

(31) Date. The date that the form was signed by the (13). Justification for Access: Complete with the your ROLE and Security Manager or his/her representative DODAAC + SRAN. For example: A Contracting Officer would complete as: ROLE: Admin By/View Only for FA4428 PART IV Leave Blank A QAP would fill out as: ROLE: Acceptor for FA4428 + SRAN ( 6 digit ext) If you do not know your 6 digit ext contact your Contracting Officer

(14) Type of Access Required: Authorized

(15) User Requires Access To: Place an “X” in UNCLASSIFIED

(16) This will be completed by the Contracting Officer

(16a) Fill in with “N/A”

(17) Type the name of the Contracting Officer

(18) and (19) To be completed by the CO

(20) Supervisor’s Organization/Department. Complete with the Contracting Officer’s Organization: HQ AMC/A34Y

(2Oa) E-mail Address. Supervisor’s e-mail address:

Complete with the Contracting Officer’s email address

(20b) Phone Number: Complete with the Contracting Officer’s telephone number

ATTACHMENT 5

Contractor Performance Assessment

Reporting System (CPARS) NOTE: Contract information will be used in overall CPARS for TGIS.

1.0. Background

The Contractor Performance Assessment Reporting System (CPARS) is a paperless contracting initiative directed by SAF/AQC. Use of the CPARS Automated Information System is mandatory as it ensures that evaluations will be entered into the CPARS database to provide a centralized data repository of past performance information (PPI). Paper copies of the evaluations are to be used only for classified and special access programs. The automated CPARS must be used for all other evaluations.

2.0. Purpose

The primary purpose of the CPARS is to ensure that accurate data on contractor performance is current and available for use in source selections through the Past Performance Informational Retrieval

System (PPIRS). Performance assessments will be used as a resource in awarding best value contracts and orders to contractors that consistently provide quality, on-time products and services that conform to contractual requirements. CPARS can be used to effectively communicate contractor strengths and weaknesses to source selection officials.

The CPAR assesses a contractor’s performance and provides a record, both positive and negative, on a given contract during a specified period of time. Each assessment must be based on objective data (or measurable, subjective data when objective data is not available) supportable by program and contract management data, such as cost performance reports, customer comments, quality reviews, technical interchange meetings, production management reviews, contractor operations reviews, functional performance evaluations, earned contract incentives, quality assurance evaluations, etc. Subjective assessments concerning the cause or ramifications of the contractor’s performance may be provided, however, speculation or conjecture must not be included. Attachment 1 contains the specific areas to be evaluated for the identified business sectors.

3.0. Responsibilities

3.1. USTRANSCOM CPARS Focal Point: Elaine Fix, elaine.f.fix.civ@mil.mil

3.2. AO Representative (AOR)

AORs for this contract are the CORs and the Contracting Officer. Each assigned AOR has the capability of inputting and reviewing information input by the other AORs. AORs are generally responsible for:

Providing a timely and quality narrative

Coordinating, off-line, to determine which AOR will select “finalize data and forward to AO” since any AOR has that capability (once that choice is selected, AORs are no longer able to input evaluation information)

Assisting the AO or RO, as necessary

3.3. Assessing Official (AO)

The AO for this contract is the CO. The AO is responsible for overall program execution and is responsible for preparing, reviewing, signing, and processing the CPAR. AO responsibility includes:

Registering the contract in CPARS within 30 days of award by completing the basic contract information in Blocks 1-17 (this function may be provided by contractor personnel providing assistance to Government program offices, however, their access to the CPARS database is limited to only this function)

Ensuring performance input from program management, technical, functional, quality assurance, contracting and other end users of the product or service is included in the evaluation

Reviewing evaluation information provided by the AORs

Input of evaluation information

Quality review of the entire evaluation

Forwarding the Government evaluation information to the contractor

Reviewing comments from the designated contractor representative once the evaluation has been returned by the contractor or after 30 days have lapsed

Modifying the CPAR comments and/or ratings after review of contractor comments, as determined by the AO. After receiving and reviewing the contractor’s comments on the CPAR, the AO may revise the assessment, including the narrative. The AO will notify the contractor of any revisions made to a report as a result of the contractor’s comments. Such a revised report will not be sent to the contractor for further comment. The contractor will have access to both the original and revised reports in the CPARS AIS when the Government finalizes the evaluation.

Forwarding evaluations to the RO which are in disagreement or when requested by the contractor or when the contractor fails to respond to the assessment, or, in the alternative, completing the evaluation if it does not require further RO review

3.4. Reviewing Official (RO)

The RO provides the check-and-balance when there is disagreement between the AO and the contractor. The RO must review and sign the assessment when there are significant differences between the AO and the contractor assessment. The RO has the authority to:

Provide narrative comment (the RO’s comments supplement those provided by the AO; they do not replace the ratings/narratives provided by the AO)

Sign the CPAR (at this point, it is considered final and is posted in the CPARS AIS and is available for source selection official use in the PPIRS)

4.0. Frequency of Reporting

Generally, reporting is done on an annual basis. When an out-of-cycle CPAR is required, however, it is acceptable to complete two CPARS in a given year for the contract. Out-of-cycle CPARs do not alter the annual reporting requirement. For example, if the regular CPAR period of performance ends on 30

September 2005 and an out-of-cycle CPAR is completed which covers a performance period that ends on

1 May 2005, the next intermediate CPAR report is still required to cover the period of performance from

1 October 2004 to 30 September 2005. A period of performance overlap is only permitted when an out-of-cycle CPAR report has been prepared.

4.1. Initial Reports

An initial CPAR is required for new contracts that have a period of performance greater than 365 days. The initial CPAR must reflect evaluation of at least the first 180 days of performance under the contract, and may include up to the first 365 days of performance. For contracts with a period of performance of less than 365 days, see “Final Reports” below.

4.2. Intermediate Reports

Intermediate CPARs are required every 12 months throughout the entire period of performance of the contract after the initial report and up to the final report. An intermediate CPAR is limited to contractor performance occurring after the preceding normal cycle CPAR. To improve efficiency in preparing the CPAR, it is recommended that the CPAR be completed together with other reviews (e.g., award fee determinations, major program events, program milestones and quality assurance surveillance records).

4.3. Final Report

A final CPAR will be completed upon contract completion, transfer of program management responsibility outside the original buying activity or delivery of the final major end item on contract. Final

Reports are to be prepared on all contracts with a period of performance of less than 365 days. The final

CPAR does not include cumulative information but is limited to the period of contractor performance occurring after the preceding CPAR. The CPAR Focal Point has the authority to approve extensions when special circumstances arise.

4.4. Out-of-Cycle Reports

An Out-of-Cycle CPAR may be appropriate when there is a significant change in performance that alters the assessment in one or more evaluation area(s). The contractor may request an updated (new) assessment or the AO may unilaterally prepare an updated (new) evaluation and process an Out-of-Cycle

(new) CPAR through the automated

5.0. CPAR Markings and Protection

Those granted access to the CPARS are responsible for ensuring that CPARs are appropriately marked and handled. All CPAR forms, attachments and working papers must be marked “FOR OFFICIAL USE

ONLY/SOURCE SELECTION INFORMATION - SEE FAR 2.101 AND 3.104” Freedom of Information

Act Program, FAR 3.104, and 41 USC Sect. 423. CPARs may also contain information that is proprietary to the contractor. Information contained on the CPAR, such as trade secrets and protected commercial or financial data obtained from the contractor in confidence, must be protected from unauthorized disclosure.