Attachment_31_-_Quality_Assurance_Surveillance_Plan.pdf

GSA Contract # TBD Operations & Maintenance Enterprise

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

For Air Force task orders under the GSA

Operations & Maintenance Enterprise IDIQ

Contract # TBD

Submitted by:

Health Facilities Division Sustainment Branch

Bldg 1534

601 Davy Crockett

San Antonio TX 78226

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Table of Contents

Overview 1.

Scope 1.1.

Purpose of the QASP 1.2.

Roles and Responsibilities 2.

Multi Functional Team Approach 2.1.

Contracting Officer 2.2.

Contracting Officer’s Representative 2.3.

GSA Project Manger (PM) 2.4.

GSA Contract Specialists (CS) 2.5

Quality Assurance Evaluator 2.6.

Performance Assessment 3.

Strategy 3.1.

Assessment Methods 3.2.

Performance Objectives and Assessment Items 3.3.

Table 1: Performance Objectives

Table 2: Assessment Items

Performance Assessment Report 3.4.

Table 3, PAR with Findings Process

Types of Nonconformities 3.5.

Performance Assessment Types 3.6.

Managing Contract Performance 4.

Approach 4.1.

MFT Meeting 4.2.

Reporting Performance Results 5.

Monthly Performance Assessment Report 5.1.

Contractor Performance Assessment Report (CPAR) 5.2.

Assessment Records 6.

Attachments

Periodic Surveillance Checklist Attachment 1

Performance Assessment Report Attachment 2

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1. OVERVIEW

1.1. Scope. The Quality Assurance Surveillance Plan (QASP) provides the Contracting Officer’s Representative (COR) an effective and systematic contract assessment method and defines the roles and responsibilities of the Multi-Functional Team (MFT).

The QASP is developed pursuant to the requirements of Federal Acquisition Regulation (FAR) part 37.602. This plan sets forth procedures and guidelines used for Medical Treatment Facilities (MTFs)

1.2. PURPOSE OF THE QASP:

A. The QASP is intended to accomplish the following:

Define the roles and responsibilities of participating Government officials and Contractor

Identify the types of work evaluated and the inspections performed to validate adequacy

Describe the evaluation methods employed by the Government in assessing the Contractor’s inspection program and performance to the quality/performance standards required for each task

Provide and describe the process used by the Government in documenting and evaluating the Contractor’s performance

B. The Contractor is responsible for performing inspection services pursuant to the Contractor’s quality control obligations identified by FAR part 46, and maintaining the inspection Memorandum for Record, approved by the Government, to perform the inspection services. The Contractor is directly responsible for meeting the prescribed quality and performance standards in the Performance Work Statement (PWS)

C. The Contractor is responsible for delivering services in accordance with the task order, and also implementing a Quality Control Plan (QCP) which describes the Contractor's methods for ensuring all services and products meet established standards. The contractor must provide the QCP to the COR. The Contractor is responsible for producing and maintaining quality control records.

2. ROLES AND RESPONSIBILITIES

2.1. Multi-Functional Team (MFT) approach:

2.1.1. Executes the contract throughout the life of the program. The team includes government representatives from the technical, procurement, financial, and legal communities, stakeholders of the service acquisition, and the contractor who provides the services. The core MFT members consist of the Contracting Officer (CO), Contracting Officer Representatives (COR), GSA Project Manager, AFMSA SRM PM, and Quality Assurance Specialist (QAS). The extended MFT consists of Core MFT

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Participation is contingent upon contract needs.

2.1.2. General duties and responsibilities of the MFT members include:

2.1.2.1. Manages contract performance and assessment.

2.1.2.2. Develops and fosters partnerships and effective communication for the common goal of continuous improvement and success of the contract.

2.1.2.3. Identifies opportunities to improve performance throughout the life of the contract. This includes benchmarking against industry, identifying initiatives, assessing risk associated with these initiatives, using the QASP for implementing initiatives and monitoring success of implementation.

2.1.2.4. Supports senior leadership by providing performance metrics, data reporting, briefings and early warning of significant variances in cost, schedule or performance.

2.1.2.5. Develops Performance Objectives (PO) and Assessment Items (AI), as needed, identifying mission critical or operationally vital Performance Work Statement (PWS) requirements requiring periodic evaluation by the COR.

2.1.2.6. Develop, implement and maintain the QASP. Conduct an annual review of QASP.

2.1.2.7. Reviews PWS requirements on a periodic basis. Keeps abreast of changes to customer requirements and how they may affect PWS requirements. Prepares documentation and advocates for funding for contract changes.

2.1.2.8. Reviews Performance Assessment Reports (PAR) with Findings prior to issuing to the contractor. The Contracting Officer (CO) approves the issuing of PAR with Findings to the contractor.

2.1.2.9. Ensures performance based contract requirements are clearly stated and enforceable.

2.2. Contracting Officer (CO):

2.2.1. Ensures requirements of the Federal Acquisition Regulations (FAR) are met.

Ensures compliance with the terms of the contract and safeguards the interests of the government to include cost and property control. Ensures contractors receive impartial, fair and equitable treatment.

2.2.2. The CO has warranted authority to direct the contractor, make interpretations of and changes to the contract and resolve disputes or conflicts with the contractor.

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2.2.3. Designates, in writing, a local COR who acts on behalf of the CO for the inspection, authorization, and acceptance of services provided. The CO may terminate COR’s authority at any time.

2.2.4. Informs the contractor of the names, duties and limitations of authority for all personnel assigned to the contract.

2.2.5. Conducts contract specific training for CORs and QASs.

2.2.6. Participates in the preparation and submission of Contractor Performance Assessment Report (CPAR).

2.2.7. Advises the multi-functional team on QASP development.

2.2.8. Reviews all PARs prior to issuance; serves as an issuant authority for PARs.

2.2.9. Negotiates all requirement changes and Contractor change proposals.

2.3. Contracting Officer’s Representative (COR):

2.3.1. Assesses, documents and reports on contractor performance in accordance with the PWS requirements and the QASP.

2.3.1.1. Reports performance outcomes on a Performance Assessment Report (PAR) (attachment 2) monthly with the QASP checklist as an attachment to the GSA Contracting Officer NLT than the 10th workday of each month.

2.3.1.3. Notifies the CO and AFMSA SRM PM of identified noncompliance and unacceptable performance issues. Prepares a PAR with Findings if warranted and coordinates the PAR with AFMSA SRM PM and GSA PM.

2.3.1.4. Analyzes the contractor’s response for adequacy of corrective actions, correction of the root cause and actions taken to prevent recurrence when a PAR with Findings is issued to the contractor. Performs follow up assessment as needed.

2.3.2. Provides information necessary to assess actual or potential conflicts of interests and immediately notifies the CO if subsequent situations arise.

2.3.3. Reviews and concurs on payment vouchers (receiving reports) regarding the percent of technical completion for items or services accepted under the contract in accordance with contract provisions.

2.3.4. Review and concur with the final payment voucher (i.e., the items or services accepted under the contract in accordance with contract provisions).

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2.3.5. Immediately notifies the CO, in writing, of the contractor‘s failure to provide or deliver any required supplies, equipment, or services.

2.3.6. Establishes and maintains a Performance Assessment Folder. The performance assessment folder should be paperless to the maximum extent possible. These files shall be passed on to the subsequent COR appointed to the contract and shall be retained as part of the official contract file. Paperless documents should be saved in an Adobe PDF file format. The file must contain:

Section 1 – Contract Documents: Includes the PWS and Attachments.

Section 2 – Quality Documents: Consists of the QASP and the Contractor’s Quality Control/Program Plan.

Section 3 – Continuity Log: Documents a brief synopsis of actions taken in the performance of COR duties such as inspection activities, meetings and conversations with the contractor. This Log is used to provide documented continuity between CORs.

Section 4 – Appointment and Designation Letters/Training Certificates:

COR’s designation letter from the CO and nomination letter from the supervisor and training certificates.

Section 5 – Records: Consists of PAR Worksheets for contract requirements assessed and copies of the final CO decision on PARs with findings.

Section 6 – Other Items: Consists of any other records or data deemed pertinent to the contract.

2.3.5. Stay current on requirements and mission changes which may necessitate contract modifications. Coordinates contract change requests with AFMSA/SG8F.

Remain aware of PWS requirements and of any changes resulting from contract modifications.

2.3.6. Performs designated duties and responsibilities assigned by the CO and confirmed in the CO’s COR Designation Letter.

2.3.7 COR is authorized to approve purchases of services and/or parts below the Micropurchase (< $2,500) threshold on behalf of the Government. Procedures for authorizing Micropurchase actions are outlined in the PWS and are the only approved methods available to the COR.

2.3.7.1. COR shall conduct all business in a responsible and fiduciary responsible manner when acting on behalf of the CO and the government.

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2.3.7.2. COR shall account for all funds provided for Micropurchase actions and ensure that the balance never goes into a negative balance or creates an anti-deficiency situation.

2.3.7.3. COR shall not approve the execution or obligation of funds for orders or modifications to orders above the Micropurchase level.

2.4. GSA Project Manger (PM)

2.4.1 Provides the COR training requirements and reviews existing certifications to ensure CORs training is valid and current.

2.4.2 Manages COR training documents, folders and recommends to CO to rescind COR authority as needed.

2.4.3 Requests CPAR from COR and reviews narratives/ratings with AFMSA SRM PM.

2.4.4 Audits COR's and QASP Program.

2.5 GSA Contract Specialists

2.5.1 Assists the Contracting Officer in the day to day contract administration.

2.6. Quality Assurance Evaluator (QAE) (May be the COR at small sites)

2.6.1. Advises/assists COR’s in effective quality assurance practices.

2.6.2. Reviews PAR with Findings with COR, AFMSA SRM PM, GSA PM, and CO prior to issuance to the contractor. Ensures PAR with finding is well stated, accurate and effective to convey the full scope of the nonconformity to the contractor. Assists the COR during reviews of contractor responses to PARs with Finding with the CO.

2.6.3. Participates in CO contract specific training.

3. PERFORMANCE ASSESSMENT

3.1. Strategy. To rely to the maximum extent on the Contractor’s quality efforts to ensure requirements are met. CORs will assess contractor performance in a manner to sufficiently validate delivery of services.

3.2. Assessment Methods. The Contracting Officer Representative (COR) will perform periodic checklist inspections, not less than once per month. The frequency of checklist inspections may increase at the discretion of the government, as determined necessary

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3.2.1. Surveillance: It is essential a checklist inspection be done for an effective quality assurance system.

3.2.1.1. Checklist Inspection: Record the results of the inspection on the applicable QAE Periodic Surveillance Checklist (attachment 1). This document becomes an official government record of the Contractor's performance. If a surveillance observation results in a defect, the COR/QAE must document the specific reason for the unacceptable performance on the QAE surveillance checklist. The COR must provide a copy to the contractor and evaluate if the nonconformity require the submission of a PAR see 3.4.

3.2.1.2. Corrective actions on discrepancies: Contractor will immediately correct any discrepancies identified during the QAE’s inspection. If a discrepancy cannot be corrected at the time of inspection the contractor will provide a “make well” date that is reasonable and acceptable to the COR. The contractor will document on the checklist all corrective actions taken to resolve the discrepancies or an acceptable “make well” date.

3.2.1.3. If the number of defects recorded on the checklist exceeds the Acceptable Performance Objectives (Section 3.3), the COR/QAE will make an initial determination of the possible cause of unsatisfactory performance. If any Government action or lack of action caused unacceptable performance, these defects are not counted against the Contractor’s performance. The COR/QAE will share with the Contractor and document on the Surveillance Checklist the reasons for the defects. The Contractor must manage the corrective actions deemed necessary to deliver the task order requirements.

3.2.1.4 If performance is judged unacceptable, the COR/QAE will initiate a PAR with findings and submit it to the GSA Contracting Officer and AFMSA SRM PM. The COR will determine if a PAR is initiated in any given situation depending on the circumstances and seriousness of the situation.

3.2.1.5 The COR will maintain file copies of the PARs and reports submitted. File copies are kept for a minimum of 6 years regardless if the contract is in force or turnover in contractors has occurred.

3.2.2. Business Relations. Defined as efficient and effective quality communication with the government. This includes but is not limited to after action reports from surveys, requested information/reports in support of the PWS, technical instruction processing/documentation, etc.

3.2.3. Management of Key Personnel. Defined as the ability to provide appropriate staffing in management, supervision and employees at all times to include those positions directly identified in the PWS. Note: Staffing for employees refers to the duty

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3.2.4. Cost Control. Defined as contractor efforts to provide competitive pricing for parts, material, and other reimbursable costs to the government

3.2.4. External Assessments. Are accomplished by entities outside of the COR/QAE such as Customer Complaints, Contract Management audits, The Joint Commission, Accreditation Association for Ambulatory Health Care, etc. Reports are provided to the COR for review and necessary action. PARs with Findings may be issued for deficiencies when within the scope of the PWS.

3.3. Performance Objectives (PO) and Assessment Items (AI). The POs listed in Table 1 identifies the performance assessed. AIs are identified in Table 2.

3.3.1. Each AI has a corresponding performance threshold which is the minimum acceptable performance level.

3.3.2. The government maintains the right to assess all contract requirements to the extent practicable but will make every attempt not to delay the contractor's workflow.

Table 1. Performance Objectives

Performance Description.

Standards What is being Measured?

What is being Inspected?

Preventive Maintenance

Perform work assigned

Completion rate Ability to perform

Quality Assurance

(QA)

Perform quality work Work passing QA Quality of work

Maintenance Effectiveness

Fully Mission Capable* Timeliness of Corrective Maintenance

Effectiveness of the maintenance program

Urgent Maintenance Completion Time

Timeliness Time from when** urgent work is assigned to the maintenance organization

Completion rate

Routine Maintenance Completion Time

Timeliness Time from when** urgent work is assigned to the maintenance organization

Completion rate

Invoice Timeliness Invoices are due not later than 30 days

The time it takes to submit an invoice

The timeliness of the contractor's invoice

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* Fully Mission Capable is defined as equipment operational with no interim life safety measures or other functional “workarounds” in place

**When the contractor requires COR approval to proceed with work the WR status is set to “awaiting approval” and does not count against the timeliness

Table 2, Assessment Items

Requirement Standard Allowable Deviation Preventive Maintenance

Completion Rate Life Safety

RPIE

100% of the scheduled preventive maintenance work requests on Life

Safety RPIE shall be completed in the month they are scheduled

No deviation is allowed

Preventive Maintenance

Completion Rate Critical RPIE

100% of the scheduled preventive maintenance work requests on Life

Safety RPIE shall be completed in the month they are scheduled

No deviation is allowed

Preventive Maintenance

Completion Rate on all other

RPIE

100% of the scheduled preventive maintenance work requests on non

Life Safety RPIE shall be completed in the month they are scheduled

No More Than 5% of the scheduled PM WR

Preventive Maintenance Quality

Assurance

100% of the scheduled preventive maintenance work requests selected for Quality Assurance inspection shall pass as acceptable

No deviation is allowed

Life Safety and Critical RPIE

Fully Mission Capable (FMC)

100% of all RPIE with a Risk Factor equal to Life Safety and critical shall be Fully Mission Capable having no interim life safety measures in place

No more than 5% of the Life

Safety and Critical RPIE have

ISLMs in place

Emergency Unscheduled Work

Requests Completion Timeliness

100% of the unscheduled emergency work requests as classified by the facility management team and cost estimated below the COR’s authority shall be completed or reduced in priority in 24 hours

No More Than 5% of the unscheduled emergency WR

Urgent Unscheduled Work ** Requests Completion Timeliness

100% of the unscheduled urgent work requests as classified by the facility management team and cost estimated below the COR’s approval authority shall be completed or reduced in priority in 7 calendar days

No More Than 10% of the unscheduled urgent WR

Urgent Unscheduled Work

Requests Quality Assurance

100% of the urgent work requests selected for Quality Assurance inspection shall pass as acceptable

No More Than 5% of the unscheduled urgent WR inspected

Routine Unscheduled Work ** Request Completion Timeliness

100% of the unscheduled routine work requests as classified by the facility management team and cost estimated below the COR’s approval authority shall be completed in 30 calendar days

No More Than 5% of the unscheduled routine WR

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Routine Unscheduled Work

Requests Quality Assurance

100% of the routine work requests selected for Quality Assurance inspection shall pass as acceptable

No More Than 5% of the unscheduled routine WR inspected

Invoice Timeliness Not later than 30 days after the work has been completed Not later than 33 days after the work has been completed.

**When the contractor requires COR approval to proceed with work the WR status is set to “awaiting approval” and does not count against the timeliness

3.4. MONTHLY PERFORMANCE ASSESSMENT REPORT (PAR). The PAR

(Attachment 2) is used to document contractor discrepancies which may require CO involvement. PAR Section I is used to document monthly assessment results. PAR Section II is used to document nonconformities identified during a COR assessment.

When a PAR Section II is used to document nonconformity, it is known as a PAR with Findings. Table 3 outlines the PAR with Findings process.

3.4.1. Monthly Grading. Grading of services, cost control, business relations and management of key personnel

3.4.1.1. Excellent: Performance meets contractual requirements and exceeds many to the government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective. Note: to justify this rating identify multiple significant events and state how they were of benefit to the government. A significant benefit could be of such magnitude that it alone constitutes an Excellent rating. Also, there should have been NO significant weaknesses identified.

3.4.1.2. 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. Note: To justify this rating, there should have only been minor problems or major problems that the contractor recovered from without impact to the contract. There should have been NO significant weaknesses identified. Per DoD policy a fundamental principle of assigning ratings is that contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract.

3.4.1.3. Marginal: Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. Note: To justify this rating identify a significant event in one or more category that the contractor had trouble overcoming and state how it impacted the government. A Marginal rating should be supported by referencing the management required service tool that notified the contractor of the contractual deficiency.

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3.4.1.4. 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 defective, or continued into the next grading period.

Note: To justify this rating identify one or more significant event(s) in one or more category that the contractor had trouble overcoming and state how it impacted the government. A singular problem could be of serious magnitude that it alone constitutes an unsatisfactory rating. This rating should be supported by referencing the management/required service tool(s) that notified the contractor of the contractual deficiency.

Table 3, PAR with Findings Process

STEP PROCESS SUMMARY

1. COR discovers nonconformity with services. COR researches to confirm nonconformity and begins investigation to determine root cause.

1.1. Investigation includes determination if the contractor has self-identified the nonconformity within their quality system and is taking actions to correct the nonconformity and implement preventive actions.

1.2. If the contractor has self identified, the COR may decide not to issue a PAR with Findings and will monitor for corrective and preventive actions taken by the contractor.

1.3. If the contractor has not self-identified, the COR notifies the CO, AFMSA SRM PM, drafts a PAR with Findings and sends to the GSA PM for review and discussion.

2. CO returns with instructions on how to proceed. CO is final determination authority for issuance of the PAR.

2.1. If the PAR with Findings is issued, the COR reviews the contractor’s response and determines if corrective and preventative actions are acceptable to the government.

2.2. If the contractor’s reply is not acceptable, the CO is notified and begins discussions with the contractor.

2.3.

When the reply is acceptable, the COR closes out the PAR with Findings and provides a copy to the contractor and the COR and AFMSA SRM PM.

3. Results are reported in CPARS as appropriate.

3.5. Types of Nonconformities. There are two types of nonconformities, contractor identified or COR identified.

3.5.1. Contractor Identified Nonconformities. CORs review contractor identified nonconformities to ensure corrective measures are implemented with necessary actions taken to prevent recurrence.

3.5.1.1. A PAR with Findings is not normally issued in cases when contractor has established a timely estimated completion date (ECD) for resolution. CORs monitor the

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3.5.1.2. A PAR with Findings may be issued in cases where the nonconformity is a repeat nonconformity, the ECD becomes excessive, the contractor fails to follow their Quality Control Plan, or involves safety, environmental, or security issues.

3.5.2. COR Identified Nonconformities. COR documents nonconformities as early as possible upon discovery. Notify the contractor of the suspected nonconformity. Follow the process in Table 3.

3.5.2.1. A PAR with Findings is not normally issued in cases when contractor has established a timely estimated completion date (ECD) for resolution. CORs monitor the contractor’s resolution efforts until the nonconformity has been corrected.

3.5.2.2. A PAR with Findings may be issued in cases where the nonconformity is a repeat nonconformity, the ECD becomes excessive, the contractor fails to follow their Quality Control Plan, or involves safety, environmental, or security issues.

3.6. Performance Assessment Types. Performance Assessment is accomplished in the following ways:

3.6.1. COR Assessment. Assess, document and report the results of the POs and AIs outlined in Table 1 and on the monthly checklist.

3.6.2. Contractor Self Assessments. The contractor assesses their own performance IAW their quality system requirements and maintains documentation of the results IAW the PWS and their quality plan.

3.6.3. External Assessments. CORs review and report on external party assessments to validate performance against PWS requirements. The results of any of these external assessments maybe included in the monthly report.

4. Managing Contract Performance

4.1. Approach. To manage the contract to ensure the contractor is meeting cost, schedule and performance requirements. The COR utilizes performance assessment outcomes and/or other applicable indicators to continuously implement improvements wherever possible. Some methods used to manage contract performance include:

4.2. MFT Team Meeting. COR, AFMSA SRM PM, and GSA PM periodically meet to review on-going issues, requirements, cost, and performance data. GSA PM would record key decisions and distributed via e-mail to applicable MFT members.

5. Reporting Performance Results

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5.1. Monthly PAR. CORs report performance assessment results in a monthly PAR to the CO and AFMSA SRM PM. The PAR documents performance data and provides feedback to the contractor.

5.2. Contractor Performance Assessment Report (CPAR). The CPAR is an annual report of contractor performance used to document past performance data and to provide this data source selection teams for their use in other acquisitions. Data reported in the COS is used in the preparation of the CPAR.

6. Assessment Records. All assessment documentation will be maintained in the COR’s performance assessment folder. Records are kept a minimum of 6 years regardless if the contract is in force or turnover in contractors has occurred.

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Attachment 1

QASP - PERIODIC SURVEILLANCE CHECKLIST

Task Order Number:

Installation:

Date:

Check the appropriate indicator for the metrics measured:

1. 100% Preventive Maintenance Life Safety Completion Rate ( ) Pass ( ) Fail

2. 100% Preventive Maintenance Critical Completion Rate ( ) Pass ( ) Fail

3. 95% Preventive Maintenance all other Completion Rate ( ) Pass ( ) Fail

4. 100% Preventive Maintenance Quality Assurance ( ) Pass ( ) Fail

5. 95% Life Safety & Critical RPIE have no ILSMs ( ) Pass ( ) Fail

6. 90% Urgent Work Request Completion rate ( ) Pass ( ) Fail

7. 95% Urgent Work Request Quality Assurance ( ) Pass ( ) Fail

8. 95% Routine Work Request Completion rate ( ) Pass ( ) Fail

9. 95% Routine Work Request Quality Assurance ( ) Pass ( ) Fail

10. Invoice Received within 33 days ( ) Pass ( ) Fail

11. Business Relations ( ) Pass ( ) Fail

12. Management of Key Personnel ( ) Pass ( ) Fail

13. Cost Control ( ) Pass ( ) Fail

Discrepancy Issue Date: Memo on the Contractors Performance:

COR Printed Name: COR Signature:

Contractor Corrected Date: Contractor Response:

Contractor Printed Name: Contractor Signature:

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Attachment 2

PERFORMANCE ASSESSMENT REPORT (PAR)

Section I. Performance Assessment

1. CONTRACTOR 2. CONTRACT NUMBER 3. TYPE OF SERVICES 4. FINDING CATEGORY

No Finding Customer Complaint Minor Finding Major Finding

5. PWS REFERENCE 6. Grade

Excellent Satisfactory Marginal Unsatisfactory

7. PERFORMANCE ASSESSMENT—DESCRIBE CONTRACTOR PERFORMANCE

8. ASSESSING COR GRADE/NAME 9. ASSESSMENT DATE

Section II. Nonconformities Identified

10. CONTROL NUMBER 11. ISSUING AUTHORITY GRADE/NAME 12. SUSPENSE DATE

13. BRIEF DESCRIPTION OF THE FINDING

14. FINDING IMPACT

15. INSTRUCTIONS TO THE CONTRACTOR: Respond with a root cause of the deficiency, a corrective action plan that details how the cited deficiency will be fixed, and actions taken to prevent recurrence.

16. COR ASSESSMENT TO CONTRACTOR’S CORRECTIVE ACTION PLAN

17. CONTRACTOR RESPONSE 18. EVALUATING COR GRADE/NAME 19. EVALUATION DATE

Accepted

Rejected

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PERFORMANCE ASSESSMENT REPORT (CONTINUATION SHEET)

ENTER CONTROL NUMBER (Same as Block 10) if applicable

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INSTRUCTIONS: The PAR is used to document monthly contract performance assessment, and nonconformity with findings. Instructions are included for blocks not self-explanatory.

SECTION I - PERFORMANCE ASSESSMENT. Section I is used to document assessments of contractor performance in compliance with PWS requirements.

Block 4, Finding Category: Check one block only.

No Finding: Performance meets PWS requirements.

Customer Complaint: Documented customer complaint dissatisfied with contractors service or support.

Minor Finding: A departure from established standards having little bearing on service provided. If the same minor finding is repeatedly identified, it may be an indication that a Major Finding has occurred because the Contractor’s quality system has not acted to prevent recurrence. In this case, the Minor Finding may be elevated to the level of a Major Finding and a new PAR initiated.

Major Finding: A conclusion that identifies a condition having a significant adverse effect on the quality of the activity under review such as:

1. Failure to meet a performance threshold.

2. Significant mission degradation in any Contractor operated function.

3. A situation that is likely to result in hazardous or unsafe conditions for

4. Failure to provide adequate corrective action to prevent reoccurrence of government identified findings.

5. Failure of the contractor to provide corrective action to self identified nonconformities in a reasonable time

6. Any failure to adhere to security regulations resulting in a security incident.

Block 5, PWS Reference: Identify the PWS reference if applicable.

Block 7, Performance Assessment: Enter the details and results of the assessment. Avoid pass/fail descriptions of contract performance when possible. If the assessment results in a finding then document the details of the finding and its impact in section II block 13 and 14 respectively.

SECTION II - NONCONFORMITIES IDENTIFIED. Section II is used to document findings identified during an assessment and to request corrective and preventive action through the contracting officer.

Block 10, Control Number: Assigned by the CO as the issuing authority to track all PAR with findings.

Block 12, Suspense Date: CO enters the date the initial response is due from the contractor. This date is for the initial response from the contractor and not necessarily when the corrective action must be complete.

Block 13, Brief Description of the Finding (Include PWS reference): Clearly and briefly, state the details of the finding including the PWS reference and quote. For example:

PWS PARa 3.4 reads: “The contractor shall maintain an MSDS in the work area for all hazardous materials used in the work center.” The contractor did not have the MSDS for “Simple Green” in bldg 100 work area.

Block 14, Finding Impact: Enter the impact the finding has, or could reasonably have, on the mission.

Block 16, COR Assessment to Contractor’s Corrective Action Plan: Indicate if the contractor has corrected the nonconformity and if the preventive actions appear to be sufficient to prevent recurrence.

PAR Continuation Sheet. The PAR continuation sheet may be used to expand upon information in Section I or II.