OWS QASP.PDF

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

for

Oil and Water Separators, Sand Sediments and

Grease Traps at

PETERSON AFB

Contract #FA2517-15-P-5001

The following members of the MFT have approved implementation of this Plan on behalf of the entire MFT:

21 CONS/LGCAB

Contracting Officer

Functional Commander/Director

21 CES/CEOES

Contracting Officer Representative

721 CES/CEOES

Contracting Officer Representative

Prepared By:

Contract Specialist: Renada Cooper Email Address: renada.cooper@us.af.mil Telephone Number: 719-556-5361

DSN 834-5361

mailto:renada.cooper@us.af.mil

CHANGE CONTROL SUMMARY

Change. A change that is administrative in nature does not require the plan to be re-staffed. Changes that remove or add items periodically assessed or affect items assessed in frequency of assessment or thresholds must be re-staffed for signatures.

Changes that affect roles of MFT members must also be re-staffed. Consolidate changes when possible, and identify as Change 1, Change 2, etc. Include a summary of the changes incorporated in the change table. Ensure change bars have been inserted.

Revision. A revision should be used to consolidate all changes into a new basic document with a new basic date. It should be used to clean up the document when it begins to become confusing with too many changes. It is the QAM decision when to revise the plan. Number the revision and include a summary of the revisions in the change table. Remove all change bars when the document is revised since the revised document takes all previous changes into account. Do not remove changes from the change table when the plan is revised since they may lend important historical value to the plan.

Revision/Change Number

Date Summary of Change or Revision

Table of Contents

Overview 1.

Contracted Services 1.1.

Roles and Responsibilities 2.

Multi Functional Team (MFT) 2.1.

Contracting Officer (CO) 2.2.

Functional Commander (FC); COR Supervisor 2.3.

Contracting Officer’s Representative (COR) 2.4.

Senior Contracting Officer Representative (SCOR) 2.5.

Mobile Contracting Officer’s Representative (MCOR) 2.6.

Quality Assurance Manager (QAM) 2.7.

Quality Assurance Program Coordinator (QAPC) 2.8.

Performance Assessment 3.

Strategy 3.1.

Assessment Methods 3.2.

Collecting Customer Feedback 3.2.1.

Use of Metrics 3.2.3.

Analyzing Trends 3.2.4.

Texternal Assessment 3.2.5.

Performance Objectives (PO) and Assessment Items (AI) 3.3.

Table 1 Performance Objectives Table 2 Assessment Items Performance Assessment Report (PAR) 3.4.

Types of Nonconformities 3.5.

Contractor Identified Nonconformities 3.5.1.

COR Identified Nonconformities 3.5.2.

Performance Assessment File 3.6.

Performance Assessment Types 3.7.

COR and QAM Assessment 3.7.1.

Contractor Self Assessments 3.7.2.

Contractor Performance Assessment Team 3.7.3.

External Assessments 3.7.4.

Managing Contract Performance 4.

Approach 4.1.

MFT Meeting 4.1.1.

Market Research 4.1.2.

Incentive, Award Fee or Award Term Plans 4.1.3.

Reporting Performance Results 5.

Certificate of Service 5.1.

Contractor Performance Assessment Report (CPAR) 5.2.

Assessment Records 6.

Attachments Performance Objectives and Assessment Items Attachment

Performance Assessment Report Generation Attachment 2 Performance Assessment Report Attachment 3

1. OVERVIEW

1.1. The Quality Assessment Surveillance Plan (QAMP) provides the Contracting Officer’s Representative (COR) an effective and systematic surveillance method while defining the roles and responsibilities of the Multi-Functional Team (MFT) using a team concept.

1.2. Contracted Services. Provide all management, tools, supplies, equipment and labor necessary to inspect, pump, clean and remove the Oil/Water Separators (OWS), Sand Sediments and Grease Traps contents located at Peterson AFB, CO and Cheyenne Mountain Air Force Station, CO as defined in this Performance Work Statement (PWS). Conform to all federal, state, local requirements, federal, state, local governments and commercial standards and (AFOSH 91-501) Occupational Safety and Health Administration (OSHA) standards as well as (AFI 91-203). Work shall be performed in accordance with (IAW) the terms and conditions of this PWS. Estimated requirements are listed in Section V and Section VI, Appendix A, Estimated Workload Data for the Oil & Water Separators, Sand Sediments, and the Grease Traps.

2. ROLES AND RESPONSIBILITIES

2.1. Multi-Functional Team (MFT). The goal of the MFT is to give all members/stakeholders the ability to maintain the highest quality representative services to our customers and propose/initiate improvements through the life of the contract.

Under this concept continual contract assessment will be focused on ensuring the contract, as written, continues to meet the needs of the customer.

2.1.1. The team should strive to achieve efficiencies in the contract performance and improve customer support. The goal of the team is to define the requirement in performance-based terms, assure contractor compliance with contract requirements and ensure the contract as written continues to meet the needs of the functional organization. The role entails planning, programming, and budgeting for adequate funds, ensuring program execution within the approved funding and to ensure the contract supports mission requirements within the approved scheduled baseline.

2.1.2. They are responsible for effective contract assessment and management. Core MFT members for this contract are the Program Manager (PM), Contracting Officer (CO), Functional Commanders (FC), Contracting Officer’s Representatives (COR) and Quality Assurance Specialist (QAM). The extended MFT consists of Core MFT members, the contractor and Subject Matter Experts (SMEs) from various functional areas covering all program service requirements. It may also include the QAPC, Legal, Small Business, Labor Relations, management and leadership of various organizations or any other functional experts such as Mobile Contracting Officer’s Representative (MCOR), Senior Contracting Officer’s Representative (SCOR) for whom the MFT has a need. Member participation is contingent upon contract issues requiring a particular MFT member’s participation.

2.1.2.1. General Duties and Responsibilities

2.1.2.1.1. Manage contract performance and assessment in accordance with (IAW) this plan.

2.1.2.1.2. Develops and fosters partnerships and effective communications for the common goal of continuous improvement and success of the contract.

2.1.2.1.3. 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 QAMP for implementing initiatives and monitoring success of implementation.

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

2.1.2.1.5. QAM develops Performance Objectives (PO) and Assessment Items (AI) identifying mission critical or operationally vital Performance Work Statement (PWS) requirements requiring periodic evaluation by the COR.

2.1.2.1.6. QAM develops, implements, and maintains the QAMP. This plan is signed by the PM, CO, QAM, and the Commander representing the MFT members. Conducts an annual review of this plan. Implements changes to maintain effectiveness and meet mission needs.

2.1.2.1.7. Reviews the 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 /changes.

2.1.2.1.8. Reviews Performance Assessment Reports (PAR) with Findings prior to issuing to the contractor.

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

2.1.2.1.10. Reviews directives to include Air Force Instructions (AFIs)/ Technical Orders (T.O.’s) for updates/changes which may impact PWS.

2.2. Contracting Officer (CO)

2.2.1. Ensures requirements of the Federal Acquisition Regulations (FAR) and its supplements 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 is the only person with authority to direct the contractor, make interpretations of and changes to the contract and resolve disputes or conflicts with the contractor.

2.3.3. Designates’ authority for inspection and/or acceptance of service to the QAM, CORs, MCORs, SCORs in writing. Issues termination of COR duties to CORs, MCORs, and SCORs.

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 the CORs, Mobile Contracting Officer’s Representative (MCORs), Senior Contracting Officer’s Representative (SCORs) and QAMs.

2.2.6. Participates in the preparation and submission of annual execution reporting.

2.2.7. Serves as the business advisor to the MFT. Reviews all PARs prior to issuance;

serves as an issuant authority for PARs.

2.2.8. Co-Chairs the MFT meetings on all contractual issues.

2.2.9. Negotiates all requirement changes and Contractor change proposals.

2.3.10. Active contributor to the Annual Execution Review and CPAR process.

2.2.11. Uses the DoD mandated Contracting Officer’s Representative Tracking (CORT) Tool to manage COR nomination/termination, training and supporting documentation

2.3. Functional Commander (FC); COR Supervisor.

2.3.1. The FC is the first-level manager with overall functional responsibility to ensure contracted services adequately support the organization’s mission.

2.3.2. Nominates CORs and SCORs using the COR Nomination Memorandum, affirms all information and assumes responsibilities contained within the memorandum. When nominating CORs/SCORs the FC understands the primary responsibility of any COR is to fulfill quality assurance duties. They will ensure all CORs will be afforded necessary resources (time, opportunity, supplies, and equipment) to properly perform assigned/designated COR duties.

2.3.3. Attends QAPC provided COR management training and contract specific training.

2.3.4. Ensures CORs have completed required DAU, Local COR, and contract specific training prior to assuming duties as directed by the CO.

2.3.5. Ensures CORs are technically qualified or have reach back capabilities to functional experts to perform COR duties.

2.3.6. Ensures CORs assess, document and report the contractor’s performance IAW this plan and PWS requirements.

2.3.7. Ensures the contractor is made aware of any pending non-conformance investigations and notifies the core MFT. Avoids working non-conformances through undocumented means such as verbal agreements to avoid any potential unauthorized acts or the appearance there of. Ensure the proper use of the PAR Form (reference Attachment 2).

2.3.8. Stays current on mission changes that could require contract modifications.

Notifies the MFT of any AFI update/changes to applicable directives such as AFIs and TOs with an impact to the PWS. This does not abrogate contractor responsibilities under paragraph 1.3.3 of the contract PWS.

2.3.9. Review COR submitted monthly surveillance report for adverse performance trends. When applicable, coordinate with the CO to address problems/trends in contractor performance. Documentation of review is required.

2.3.10. Coordinates the preparation and submits the monthly Certificate of Service (COS) to the CO and QAM NLT the 10th workday of each month to cover the previous month’s reporting. (All COS dates are not the same. Use the date that is actually used by your program)

2.3.11. May delegate responsibilities to the SCOR.

2.4. Contracting Officer’s Representative (COR)

2.4.1. When dealing with the contractor, the COR has the responsibility to monitor and document contractor performance in accordance with this plan and PWS requirements.

2.4.2. Provide information necessary to assess actual or potential conflicts of interests and immediately notify the CO if subsequent situations arise.

2.4.3. Participate, as required, in requirements definitions/pre-award activities.

2.4.4. Establish and maintain a COR file in accordance with DFARS PGI 201.602-2(ii).

Upon termination of COR designation, all files shall be turned over to subsequent assigned personnel. All documentation is part of the official contract file.

2.4.5. Remain abreast of changes in terms and conditions of the contract resulting from contract modifications.

2.4.6. Perform those duties/responsibilities designated by the CO in the CO’s Designation Letter.

2.4.7. Assess, document and report contractor’s performance IAW this plan.

2.4.7.1. Develop, utilize and update checklists as needed to maintain assessment consistency and effectiveness.

2.4.7.2. Notify the core MFT members when performance deficiencies are identified in a timely manner.

2.4.7.3. Prepare PARs to accurately reflect and document contractor performance for MFT review prior to issuance.

2.4.7.4. Issue PARs after core MFT has reviewed and approved.

2.4.7.5. Analyze contractor response to PARs with Findings for adequacy of corrective actions, correction of the root cause and actions taken to prevent recurrence. Perform follow up assessment as needed.

2.4.7.6. May be required to prepare and submit a monthly Certificate of Service (COS) to the CO with collected performance assessments data from the previous month. The COS is due NLT than the 10th workday of the month. The COS format is contained in Attachment 3.

2.4.8. Participate in MFT meetings as needed and recommend updates to the PWS and this plan when needed. When required, initiates Document Change Requests (DCRs).

2.5. Senior Contracting Officer Representative (SCOR) (If assigned, includes duties identified in paragraphs 2.4 and 2.5.)

2.6.1. Serves as the focal point for COR performance assessment activities, documentation and reporting.

2.6.2. Provides assessment documentation to the core MFT.

2.6.3. Participates in MFT meetings.

2.6.4. Identifies new or changing requirements affecting the contract and recommends improvements.

2.7. Mobile Contracting Officer’s Representative (MCOR) if assigned

2.7.1. Member of the Contractor Performance Assessment Team (CPAT).

2.7.2. Assesses documents and reports the contractor’s performance IAW the PWS and Contractor’s Quality Plan.

2.7.2.1. Notifies the QAM of any significant performance deficiencies and evaluates adequacy of corrective action plans.

2.7.3. Identifies new or changing requirements affecting the contract/sites and assists with site issues.

2.7.4. Coordinates with QAM on performance assessment audit reports.

2.8. Quality Assurance Specialist (QAM) In addition to the duties in paragraph 2.6

2.8.1. The QAM shall review the COR’s reports for completeness/accomplishment.

2.8.2. When requested the QAM shall provide an assessment to the CO on the COR performance annually.

2.8.3. Advises/assists COR’s in effective and correct quality assurance practices.

2.8.4. Assists in identification of critical Performance Objectives (PO) from the PWS in development of the Services Summary (SS) items. The POs from the SS are then included in this plan as periodically assessed items. Assists in identification of other Assessment Items (AI) from the PWS that don’t necessarily rise to the criticality of the SS items but still need periodic assessment. The AIs are then included in this plan as periodically assessed items.

2.8.5. Leads the MFT in development of this plan and ensures at minimum that an annual review of this plan is conducted. Provides a draft of this plan to the acquisition team to be included in the request for proposal.

2.8.6. Advises CORs of effective and correct quality assurance practices and assists in resolving issues associated with contractor assessment.

2.8.7. Reviews PAR with Findings with CO prior to PAR 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 with the CO in review of contractor responses to PARs with Finding. Maintains PAR with Finding log tracking PAR status from issuance to closure.

2.8.8. Issuing authority for PAR with Findings

2.8.8.1. Has the authority to issue PARs at GSUs when properly verified and validated.

2.8.9. Participates in CO contract specific training, in particular, trains CORs in the specifics of this plan.

2.8.10. Plans, leads and executes performance assessment audits of Geographically Separated Units (GSU) using Mobile CORs (MCOR) as part of the Contractor Performance Assessment TEAM (CPAT) IAW this plan. Provides a written audit assessment to the MFT.

2.8.11. QAMs are responsible for the administrative reporting of CORs assessment results. Performs at a minimum, annual Staff Assistance Visits (SAV) on CORs and provides written results to the CO, FC/FD and PM.

2.8.12. Review contractor’s inspection system, quality program, or other means employed to control quality and comply with PWS for contracts determined to require Higher-level quality requirements.

2.8.12.1. Place special emphasis on the comprehensiveness and adequacy of the contractor’s inspection system to ensure adherence to all aspects of contract perfor-mance.

2.8.13. Administers the program electronically.

2.9. Quality Assurance Program Coordinator (QAPC) (not limited to)-

2.9.1. Act as the liaison between the contracting and non-PMD managed functional organizations to provide training and record keeping per the 21

CONS-21 PMD MOA.

2.9.2. Develop and maintain curriculum to train 21 SW and applicable mission partners Contracting Officer Representatives (CORs) via the "QAPC Led" in-residence Local COR (LCOR) training IAW the applicable AFFARS MPs and other directives. Coordinate date for COR initiated training.

2.9.3. Develop and maintain curriculum for training 21 SW and applicable mission partners COR Management training IAW the applicable AFFARS MPs and other directives. Coordinate date for COR Management initiated training.

2.9.4. Assist the COs as applicable in providing COR contract specific training (CST) and refresher training by developing, utilizing and maintaining various tools (e.g. SharePoint- QAPC Central "Knowledge Center" site, CST briefing baseline templates, 21 SW standard COR specific 8 and/ or 16 hours refresher training requirements).

2.9.5. Provides COR SAV services as applicable.

3. PERFORMANCE ASSESSMENT

3.1. Strategy. To rely to the maximum extent on the Contractor’s Quality efforts to ensure requirements are met (with periodic validation of the contractor quality system by the QAM). CORs will assess the contractor’s performance in a manner to sufficiently validate delivery of services and gain confidence in the contractor’s performance. The level of assessment is then adjusted to maintain that confidence.

3.2. Assessment Methods. A number of assessment methods exist that can be used and the selection of the assessment method is dependent on the characteristics of the item to be assessed. The MFT will decide which assessment methods are preferable for their differing contract requirements and include them in this plan. In very limited cases, 100 percent inspections may be used but in most, sampling a service on a periodic basis is sufficient.

3.2.1. Collecting Customer Feedback Customer Feedback is often used as a method of performance assessment on customer service contracts. CORs should establish customer feedback processes to allow customers to provide positive as well as negative feedback on the services being provided. Positive and negative customer feedback should be reported in the COS with substantiated performance excluding any personnel recognition.

3.2.1.1. Negative Customer Feedback

3.2.1.1.1. CORs must first validate negative customer feedback against PWS requirements.

3.2.1.1.2. If negative feedback is discovered to be invalid, the COR will inform the customer of the reason(s) why it is not valid.

3.2.1.1.3. For valid negative comments received, the COR will notify the contractor’s representative to allow opportunity for investigation. If warranted, the COR prepares a PAR with Finding. The COR should provide feedback to the customer on the status of validated negative feedback. Once validated, negative feedback should be included in further reporting such as the COS and CPAR.

3.2.1.2. Positive Customer Feedback. Positive customer feedback should be validated by CORs to ensure the feedback received is not simply a normal contract requirement. Once validated, positive feedback should be included in further reporting such as the COS and CPAR.

3.2.3. Use of Metrics. Data should be used to the maximum extent to document and report contractor success or failure in meeting contract requirements. If contractor generated metrics are used, the COR or QAM must sufficiently validate the accuracy of the metrics to establish confidence in their accuracy.

3.2.4. Analyzing Trends. The QAM should analyze performance assessment data for performance trends. The trending data should be used in subsequent reporting of contract performance.

3.2.5. External Assessments. External assessments are assessments accomplished by entities outside of the MFT such as Environmental-Safety-Occupational Health Compliance Assessment Management Program, Air Force or Defense Contract Management Agency audits, Airfield Traffic Safety Evaluation Program, etc. External assessment reports should be provided to the MFT and included in further contract reporting. PARs with Findings may be issued for deficiencies identified when within the scope of the PWS.

3.3. Performance Objectives (PO) and Assessment Items (AI). The POs and AIs listed in Tables 1 and 2 respectively identify the minimum performance assessment requirements that must be periodically accomplished.

3.3.1. POs mirror the Services Summary (SS) in the PWS. Additionally, the MFT may develop AIs which are used to reasonably ensure compliance in functional areas not covered in the POs. Each PO or AI has a corresponding performance threshold which is the minimum acceptable performance level and the PWS reference paragraph. Each PO and AI also contains a method of assessment for the COR to use, the minimum frequency at which to accomplish the assessments and the COR responsible to perform the assessment.

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. All assessments of the contractor must be documented and reported.

3.4. Performance Assessment Report (PAR). The PAR (see Attachment 2) is used to document contractor assessments. PAR Section I is used to document assessment results. PAR Section II is used to document nonconformities (findings) identified during the assessment documented in Section I and forwarded to the contractor for response.

When a PAR section II is used to document nonconformity, it is known as a PAR with Finding. Note to QAM: There are times when PAR section I use is not the best or preferred method for assessment documentation. Use the method that best fits your contract when this occurs. An example is for such things as invoices in a contract that are paid as a result of the COR ensuring all goods were delivered and the invoices are retained or when the services is something such as a class and the COR verifies that the class was held by the contractor using class sign-in sheets.

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

3.5.1. Contractor Identified Nonconformities. CORs will review contractor identified nonconformities to ensure corrective measures were successfully implemented with all necessary actions taken to prevent recurrence. If documentation exists which substantiates the contractor has identified the deficiency and timely corrective action is being taken to correct the deficiency, the deficiency may be excused from PAR with Finding. If the nonconformity has not yet been resolved but the contractor has established a timely estimated completion date (ECD) for correction and resolution, CORs will monitor the contractor’s resolution efforts until the nonconformity has been corrected.

3.5.1.1. A PAR with Finding for nonconformities when the contractor has already self-identified may be considered if; the deficiency is identified as a critical item under the Service Summary, this is a repeat identification, the contractor fails to follow through with the agreed way-ahead or timeframes, contractor failed to follow his Quality Control Plan, or involves safety, environmental, or security issues.

3.5.2. COR Identified Nonconformities. Nonconformities should be documented as early as possible after discovery and QAM/ CO concurrence on a PAR with Finding using PAR section II. It is then issued to the contractor with instructions on when and how to reply. When the contractor’s reply is received and deemed to be acceptable, the COR will then close and file the PAR.

3.5.2.1. Notify the QAM, CO, and MFT and the contractor of a suspected nonconformity.

3.5.2.2. Investigate to determine if the contractor has self-identified the nonconformity within their quality system.

3.5.2.3. QAMs as well as the CO may issue a PAR with Finding.

3.6. Performance Assessment File. CORs establish and maintain a Performance Assessment File. Multiple CORs on the same contract should share common documents for increased efficiency. The performance assessment file should be electronic and paperless to the maximum extent such as using a CoP or other shared database file (DoD CORT Tool). 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. The file must contain:

Section 1 – Contract Documents. Includes the PWS, Attachments and Incentive/Award Fee/Term Plans.

Section 2 – Quality Documents. Includes the QAMP and the Contractor’s Quality Control/Program Plan. CORs must be well versed in both of these documents.

Section 3 – Continuity Log. A record of actions taken in the performance of COR duties providing a brief synopsis of contract inspection activities, meetings and conversations with the contractor regarding contract performance. This Log should be used to provide continuity between CORs and as documentation as needed. Items contained in this log are at the discretion of the CORs but efforts should be made to ensure it is utilized when necessary.

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. Includes PARs for contract requirements assessed as well as any other pertinent records that should be maintained.

Section 6 – Other Items (Optional). Optional use for any other records or data pertinent to this contract.

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

3.7.1. COR and QAM Assessment. CORs assess and document the POs and AIs outlined in Table 1 and assess and document other requirements within their functional areas as needed. The QAM should use data and nonconformities discovered by the CPAT or COR to trace back the effectiveness of the contractor’s quality system. QAMs are more overall quality system focused ensuring the contractor’s quality system is effective and complies with PWS requirements but may also at times identify nonconformities based on other actual PWS requirements as well. All assessment results are documented in the monthly COS and efforts should be made to assess all PWS requirements as possible.

3.7.2. 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. This internal assessment is the vehicle whereby the contractor may generate contractor identified nonconformities and devise corrections and subsequent actions to prevent recurrence.

3.7.3. Contractor Performance Assessment Team (CPAT) Audit - A contractor centric assessment of the contractor to ensure they are compliant with contract requirements. The team will be coordinated and led by the assigned QAM consisting of MCORs and any other SMEs as deemed necessary. CPAT audits are performed IAW the QAMP at wing GSUs where there is not a full complement of CORS assigned to assess contractor performance on various functional areas of the PWS. The QAM is the primary focal point during CPAT team audits. The CPAT audit teams will use a narrative report as documentation of audit results. The narrative report is generated by the team through the QAM. The QAM should use data and nonconformities discovered by these teams to trace back the effectiveness of the contractor’s quality system.

3.7.3.1. Mobile COR (MCOR). Assess performance as part of the CPAT or support teams. As part of the CPAT, MCORs will daily brief the QAM on audit results and will provide a draft narrative report prior to the audit out brief.

3.7.4. External Assessments. QAM review and report external party assessment reports to validate performance against PWS requirements. Results of any of these external assessments will be included in the monthly COS. The QAM should use data and nonconformities discovered by external assessments to trace back the effectiveness of the contractor’s quality system.

4. Managing Contract Performance

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

4.1.1. MFT Meetings. MFTs meet to review on-going issues, special projects and cost and performance data. Minutes of meetings are recorded and distributed to applicable MFT members for review before finalization.

4.1.2. Market Research. Continuous research to keep the MFT informed of current commercial technologies and industrial capabilities. Results should be considered for use to improve performance when possible.

4.1.3. Incentive, Award Fee or Award Term Plans. Different methods defined in specific approved plans to provide incentives for superior contractor performance. In order for the plan to be effective and work as desired, it is important to know and follow the plan precisely. QAP should be very familiar with assessment and reporting requirements for each applicable plan.

5. Reporting Performance Results

5.1. Certificate of Service (COS). CORs report all performance assessment results in a monthly COS to the QAM and CO. Performance data reported in the COS certifies services provided was accepted by the government and provides performance data for further reporting as well as feedback to the contractor. Accuracy and completeness of COSs is critical in further reporting.

5.2. Contractor Performance Assessment Report (CPAR). The CPAR is an annual report of contractor performance. It is based on the twelve monthly COSs generated annually. CPARs are used to provide past performance information to source selection teams for consideration in other acquisitions, therefore, accuracy, completeness and ratings within the CPAR are critical.

6. Assessment Records. Maintained in the performance assessment folder, other designated locations or the contract file for the life of the contract or as specified by the records disposition schedule. The CO may specify a periodic transfer of these records to the contracting office or at the conclusion of the contract for contract file inclusion.

COR must contact the CO for the final disposition instructions upon contract completion.

Attachment 1 Performance Objectives

PO 1: (PWS Part I, Chapter 2, paragraph 2.1.1) MONTHLY by COR

Threshold:

Assessment Method:

PO 2: (PWS Part I, Chapter 2, paragraph 2.3) MONTHLY by COR

Attachment 1 Assessment Items

AI 1: (PWS Part I, Chapter 2, paragraph 2.1.1) MONTHLY by COR

AI 2: (PWS Part I, Chapter 2, paragraph 2.3) MONTHLY by COR

AI 3: Recurring Work Program (RWP). (PWS Part I, Chapter 2, paragraph 2.5) MONTHLY by COR

Attachment 2, Performance Assessment Report Generation Process

A1.1. PAR with Finding Generation Process (as it applies to the COR or SCOR)

(Optional At the discretion of the CO and QAM)

A1.1.1. COR discovers nonconformity with services. COR researches to confirm deficiency and discusses with contractor.

A1.1.1.1. Investigates to determine if the contractor has self-identified the nonconformity within their quality system and is taking action to correct the nonconformity and implement preventive actions. If so, the CO may decide not to issue a PAR with Findings and monitor the contractor’s corrective and preventive actions.

A1.1.1.2. COR drafts a PAR with Finding and sends to the CO and QAM for review and discussion.

A1.1.2. CO returns with instructions on how to proceed. CO is final determination authority for issuance of the PAR.

A1.1.2.1. If PAR is justified, finding category and rating determined.

A1.1.2.2. Proceed with issue to contractor upon CO concurrence.

A1.1.3. SCOR (with written issuing authority) will forward the PAR with Finding to the Contractor's Site Program Manager and others as required and copy the QAM and CO.

A1.1.3. Contractor replies by the suspense date on the PAR with Finding.

A1.1.4. COR reviews response and determines if preventative actions are acceptable, and coordinates contractor response with the CO and QAM prior to accepting or rejecting contractor response.

A1.1.5. If acceptable, mark blocks 17-20 to close the PAR with Finding. Send closure reply to the contractor and QAM.

A1.1.6. If the response is unacceptable, the contractor is notified and further recourse is taken as appropriate.

A1.1.7. PAR with Finding remains open until resolved.

Attachment 3, Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

For Check Blocks, enable and lock Forms Toolbar Section I. Performance Assessment

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

No Finding Minor Nonconformity Major Nonconformity

5. CONTRACT REQUIREMENT 6. PWS REFERENCE

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 (Include PWS reference narrative)

14. FINDING IMPACT

15. INSTRUCTIONS TO THE CONTRACTOR: If a suspense date is entered in block 12, respond with a corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence. If date was not entered in Block 12, the Contractor is not required to provide a response.

16. COR ASSESSMENT TO CONTRACTOR’S CORRECTIVE ACTION PLAN

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

Accepted Rejected

Continuation Sheet

INSTRUCTIONS. The PAR is used to document contract performance assessments, to report nonconformities to the contractor and to request correction actions taken by the contractor to prevent recurrence. Instructions are included for blocks not self-explanatory.

SECTION I - PERFORMANCE ASSESSMENT. Use document assessments of contractor performance with PWS requirements. At a minimum, document assessments of Performance Objectives (PO) and Assessment Items (AI) from the Performance Plan.

Block 4, Finding Category: Check one block only.

No Finding: Performance meets PWS requirements.

Major Finding: A conclusion that identifies a condition that has 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 individuals (or any other government resource) coming into contact with the work.

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 within a reasonable time frame dependent on deficiency complexity.

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

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.

Block 5, Contract Requirement: Identify contract requirement, i.e., Civil Engineering.

Block 7, Performance Assessment: Enter the particular details and results of the assessment. Detailed results of assessments are required to report and manage contract performance. Avoid Pass/Fail descriptions of contract performance when possible.

SECTION II - NONCONFORMITIES IDENTIFIED. Used to document nonconformities identified during an assessment. Section II is used to notify the contractor of the finding and request corrective action.

Block 10, Control Number: Assigned by the issuing authority. Track all findings with a Control Number containing the first two or three letters of the name of the site or contract - the last two digits of the fiscal year -and a three digit number starting with 001 and progressing upward through the fiscal year. For example, the 1st PAR finding for Peterson for FY10 is: PE-10-001. When the QAM issues a PAR with Findings, the QAM will use the same format and add a “Q” designator after the last two digits of the fiscal year. For example, PE-10Q- 001.

Block 11, Issuing Authority/Name/Grade: Enter the Grade/Name. The issuing authorities for a PAR with Finding are the Contract Functional Authority, CO, and the QAM. The Contract Functional Authority may delegate this responsibility to the SCOR. Document in the meeting minutes the CO agreement/concurrence with the issuance of a PAR with Finding.

Block 12, Response Suspense Date: Enter the date the response is due from the contractor for the cited nonconformity. Normally, this is two calendar weeks unless extenuating circumstances exist. The response suspense date is for initial response from the contractor and not necessarily the complete corrective action plan.

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 the building 100 work area.

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

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. The continuation sheet may also be used to document recurring assessments during the contract year. For example, if the performance plan requires the COR to assess a certain PWS requirement every 30 days, a table of those checks could be developed and inserted into the continuation sheet. This allows the COR to have only one PAR per year generated for each recurring assessment requirement. If a deficiency is identified, complete a separate PAR for that particular finding. For Example:

Contract Requirement

PO, AI, or

PWS

Reference

Date Assessed

Date Due

Detailed results of assessment :

Maintain key control log PO # 3 1 Jan 10 1 Feb 10

Key control log maintained in a satisfactory manner. All keys were accounted for.

Attachment 3, Certificate of Service (COS)

PERFORMANCE

OBJECTIVE

PWS

PARAGRAPH

PERFORMANCE THRESHOLD

1. Remove, clean and inspect oil and residue from Oil & Water Separators, Sand Sediment and Grease Traps.

1.5-1.7, PAFB

Appendix A, CMAFS

Appendix A

Contractor responds as scheduled and removes contents.

No more than 1 customer complaint per scheduled service.

2. Emergency Service Calls.

1.8, 4.4, PAFB

Appendix A, CMAFS

Appendix A

Contractor responds and removes contents within 24 hours. No discrepancies allowed.