Quality Assurance Surveillance Plan (QASP) _.pdf

QASP for Lease and Maintenance of Washers and Dryers Services

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

20™ FIGHTER WING/CIVIL ENGINEER SQUADRON

LEASE and MAINTENANCE of WASHERS AND DRYERS

Digitally signed by

JOHNSON.DILLON.B JOHNSON.DILLON.BLAINE.15398

LAINE.1539854115 ��!�\023_06_1 3 1 3:oi:23 _04,00, Reviewed by: 20 CONS/PKP

6 December 2022

Quality Assurance Program Coordinator

Reviewed by: 20 CONS/PKA

NANCY C. HUNT

Contracting Officer

"Quality Assurance Surveillance Plan (QASP)" is the document government personnel use to assess contractor performance (see FAR46.401,DFARS246.401,DFARS237 .172),formerlyknown as the Performance Plan. Quality

Assurance Surveillance Plan may be made part of the solicitation but shall not be part of the resulting contract.

FA480323Q0001

Attachment 3

TABLE OF CONTENTS

Subject Page

1. Overview 3

2. Description of Services 3

3. Multi-Functional Team

Members/Roles and Responsibilities 3-6

4. Surveillance Approach 6-8

5. Documentation Requirements 9

6. Performance Requirements 10

Attachment 1, COR File Index 11

Attachment 2, Services Summary 12

Attachment 3, COR Inspection Report 13

Attachment 4, Performance Assessment Report 14

Attachment 5, Corrective Action Report 16

1. OVERVIEW.

a. Purpose. The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to ensure it receives the services under contract as identified by the performance objectives in the Performance Work Statement (PWS). This plan will focus on the level of performance required by the PWS, not the methodology or process. This QASP has been developed and adheres to, Performance-Based Services Acquisition (PBSA) methodology. This QASP will be used by the Multi-functional team and the Contracting Officer’s Representatives (COR) to ensure contractor compliance and progress at meeting mission objectives on the Lease and maintenance of Washers and Dryers service contract.

This QASP explains the following:

•What will be monitored?

•How monitoring will take place.

•Who will conduct the monitoring?

•How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

b. Intent. This QASP is designed to provide the Multi-functional team a vehicle to ensure delivery of the desired mission support services within cost and on schedule. The QASP will also provide the Contracting Officer’s Representatives (COR) an effective systematic surveillance method for each item listed in the PWS, specifically on the Service Summary (SS). The premise of commercial contracting is for the Contractor to assume responsibility for the work they produce. The government will also rely on the Contractor's submitted Quality Control Plan (if applicable) for ensuring contractual requirements are met.

The QASP intent is changing the Government's role from "oversight" to "insight"; focusing on determining if the desired end results are met, versus evaluating if each individual task is performed and deducting when the contractor fails to meet the standard. This QASP is a “living document” and the Government may review and revise it on a regular basis. Updates shall ensure that the QASP remains a valid and useful document.

2. DESCRIPTION OF SERVICES.

a. Program Overview. The contractor shall provide new,2022 model or newer of commercial grade washers and dryers. Washers and dryers, in accordance with Air Force directives, must be Energy-Star compliant. The contractor shall supply all necessary water/drain lines; flex exhaust hoses and all other items necessary for proper installation and operation. The contractor shall maintain all equipment in proper mechanical working condition. The contractor shall provide replacement machines for equipment which may become unserviceable or otherwise fail to comply with the specifications. The contractor shall perform annual cleaning of all dryer vents. The contractor shall develop and submit to the Government a contractor’s quality control plan.

b. Description of Work. The contractor shall provide all tools, transportation, supplies, management, labor, and equipment necessary to provide washers and dryers to include installation, preventive maintenance, and repairs ensuring continuous and safe operation. Machines are subject to heavy usage 24 hours a day, 365 days a year. The contractor is encouraged and expected to use innovative approaches to efficiently and effectively accomplish the PWS requirements in a timely manner, at reduced costs, and in a way, which fosters pride and ownership in the work performed.

c. Contract. The contract type is Firm Fixed-Price.

3. MULTI-FUNCTIONAL TEAM (MFT).

a. MFT Key Members.

Contracting Officer, Ms. Nancy Hunt Contract Administrator, SrA Motaz Irshid Quality Assurance Program Coordinator, Functional Commander, Contracting Officer’s Representative, TSgt Roy Jackson Contracting Officer’s Representative, Mr. Paul Hunt Contracting Officer’s Representative,

b. MFT Roles and Responsibilities. A MFT is established for each acquisition; it creates an environment that shapes and executes throughout the life of the requirement. The members work together to ensure success. The MFT is responsible for acquisition planning, development, and performance management for new and follow-on service contracts. Together, the team builds the acquisition strategy, purchase request package and solicitation and executes performance management. The MFT shall support and its members shall perform:

• Business/acquisition strategy that promotes best value decisions that will meet customer requirements and foster partnerships with industry

• Market Research to ensure the most efficient and effective assessment methods, techniques, and best commercial practices

• Requirement and solicitation development to include the appropriate evaluation criteria in accordance with the Quality Assurance Surveillance Plan

• Source Selection which ensures best value selection based on requirements

• Contract Performance Management, to include collection of past performance information to include submitting Contractor Performance Assessment Reporting System (CPARS) reports.

• Provide support to leadership, as required, through performance metrics, data, or briefings to ensure dissemination of acquisition information

• Provide reports for early warnings of significant variances in cost, schedule or performance

• Budget adequate funds are within approved funding baselines

• Manage risk to ensure mission performance is within cost and schedule constraints

• Develop, implement and manage milestones to ensure the acquisition supports mission requirements

• Identify opportunities to improve performance throughout the life of the acquisition and recommend changes to the Quality Assurance Surveillance Plan

c. Membership: The MFT membership will be individuals holding the positions listed herein. When the individuals leave these positions, due to PCS, retirements, etc., their replacement will sign the Quality Assurance Surveillance Plan and assume the same responsibilities throughout the acquisition life cycle for this requirement. The working group members within the MFT are annotated below with an asterisk (*) beside the position. The MFT may be comprised of the following positions:

Functional Commander/Functional Director over the functional area, COR Supervisor

Contracting Squadron Commander

* Contracting Officer

* Quality Assurance Program Coordinator

* Contract Specialist

* Contracting Officer’s Representative in the functional area

Environmental, Legal, Manpower, Finance, and Safety (Optional – These members may be called to help research or provide guidance on an issue that arises during the acquisition process.)

Contractor (Member after award of contract.)

Functional Commander/Functional Director/COR Supervisor (COR Management): The Functional Commander/Functional Director (FC/FD), as the Functional Service Manager (FSM), will be responsible to assign competent and capable functional experts to the Multi-functional Team who will be available full time or as warranted by the procurement cycle. They will approve the Quality Assurance Surveillance Plan (QASP). The COR Management will nominate, as a minimum, a primary and an alternate COR and notify the CO of any changes. COR Management will review contractor performance documentation, prepared by the COR on a regular basis to ensure performance is compatible with contract and mission objectives. The FC/FD/FSM identifies mission essential services and develops the necessary documents to identify services determined to be essential for performance during crisis according to DODI 1100.2 and DFARS subpart 237.76. The FC/FD is delegated to the role of Services Designated Official (SDO) responsible for annual execution reviews to assess progress of the acquisition against approved cost, schedule, and performance metrics to include a review of any risk mitigation actions.

Contracting Squadron Commander and/or The Director of Business Operations (DBO):

The Contracting Squadron Commander and Director of Business Operations serve as the Installation Business Advisors to senior leadership. They ensure services are being obtained at the most cost effective and efficient means and in accordance with Air Force policy and monitor the progress of the

MFT.

Contracting Officer (CO): The CO is the only person with the authority to direct the contractor in the performance of their duties under the contract and to make interpretations of and changes to the contract.

The CO chairs the Acquisition Strategy Planning meeting, as required, to form milestones for the acquisition process jointly with the Functional Commander. They also participate in MFT meetings and ensure acquisition processes, i.e. minutes are taken, a written record is maintained, milestones adhered, market research, gathering past performance, source selection, solicitation, evaluation, and award actions, are aggressively performed. The CO is responsible to designate Contracting Officer’s Representatives (COR) in accordance with MP5301.602-2(d) for inspection/acceptance in accordance with the terms and conditions of the contract and inform the contractor in writing of the names, duties and limitations of authority for all COR assigned to the contract

Quality Assurance Program Coordinator (QAPC): Develops, manages and implements the Shaw AFB Quality Assurance Program; supports the Multi-Functional Team in the development of contract quality assurance requirements, specifically ensuring requirements are clearly stated and enforceable;

aids in development of the Services Summary, PWS, QASP and provides training to all CORs and COR

Management (e.g. COR Supervisor, FC/FD) that interact with this contract as needed, in accordance with MP5301.602-2(d) and any MAJCOM/DRU procedures.

a. Assist the MFT during market research efforts in determining commercial quality assurance practices.

b. Assist the CO in providing annual refresher training to primary and alternate COR in accordance with MP5301.602-2(d) and Department of Defense Instruction (DoDI) 5000.72 DoD Standard for

Contracting Officer’s Representative (COR) Certification. Maintains the organization’s COR management system database – Contracting Officer’s Representative Tracking Tool (CORTT).

Contract Specialists/Administrators: The focal point for issues regarding the contract; prepares and processes modifications to the contract; assists the CO in ensuring contractor performance meets contract standards. The contract administrator (CA) will perform Contracting Officer’s Representative assessments on a periodic basis as determined by the CO. If deficiencies are discovered in the COR surveillance procedures, the CO will notify the FC/FD and COR Supervisor to provide any assistance upon request, such as additional training for COR.

• Perform acquisition processes, i.e. Acquisition Strategy Planning meeting, as required, market research, past performance, source selection, solicitation, evaluation and award

• Ensure minutes are taken and maintain a written record of all MFT meetings to include action items and milestones

• Periodically assess the COR performance, not less than quarterly

Contracting Officer’s Representative (COR): are responsible for monitoring, assessing, recording and reporting on contractor compliance with the terms and conditions of the contract. These individuals will have primary responsibility for completing quality assurance monitoring forms that will be used to document the inspection and evaluation of the contractor’s performance. The COR will maintain surveillance documentation, notify the Contracting Officer (CO) of any significant performance deficiencies and recommend improvements to the Quality Assurance Surveillance Plan and Performance Work Statement throughout the life of the acquisition.

• Participate in the Acquisition Strategy Planning meeting, as required

• Perform and participate in MFT meetings

• Assess the contractor’s performance against the standards in the PWS and manage the performance in accordance with the Quality Assurance Surveillance Plan

• Certify acceptance of contractor services

• Meet the minimum training requirements for COR designation as specified in OUSD (AT&L) Memorandum, March 29, 2010, “DoD Standard for Certification of Contracting Officer’s Representatives (COR) for Service Acquisitions,”

• Annually to file the Confidential Financial Disclosure Report, OGE 450. A COR is designated as a filer pursuant to the definition of "Confidential Filer" as set out in 5 CFR

2634.904. The purpose of this report is to assist in avoiding conflicts between official duties and private financial interests or affiliations.

• Human Trafficking: The military has zero tolerance for human trafficking. The COR will monitor contractor’s performance regarding trafficking in persons such that noncompliance with FAR 52.222-50, Combating Trafficking in Persons (CTIP), is brought to the immediate attention of the Contracting Officer and the DoD Inspector General, http://www.dodig.mil/hotline or 1-800-424-9098. Department of State’s Office to Monitor and Combat Trafficking in Person is initial. COR’s shall stay aware of the requirements of

FAR Clause 52.222-50 (c), (d), and (f) (Combating and Trafficking in Persons) in reporting suspected violations.

Contractor: The Contractor will ensure that a Government acceptable quality control system is provided and maintained. The contractor is required to provide all services identified in the PWS not just those identified in the SS. Provide innovative ideas that promote best value business decisions on this service contract to meet customer requirements. Recommend changes to the contract that will provide more effective operations or eliminate unnecessary costs.

4. SURVEILLANCE APPROACH.

a. Purpose. This section details the method to be used in verifying compliance with the contract requirements. The key elements of this process are the contractor's quality control plan and Government identified performance thresholds. The performance thresholds will dictate the minimum surveillance requirements the Government must accomplish. This Quality Assurance Surveillance Plan provides the procedures on how to conduct these surveillances. Government surveillance will be conducted by inspections that mirror the market research findings. COR documentation of contractor performance should be accomplished as the observation is completed, thus preventing loss of information. All documentation generated in the performance of this plan will be "For Official Use Only".

b. Surveillance Approach. To facilitate the surveillance of the contractor's quality control plan, Government personnel will verify contractor compliance with designated performance requirements.

The COR will verify that performance thresholds are met. The surveillance approach is to gain confidence in the contractor's way of doing business and then adjusting the level of insight to a point that maintains that confidence. With this approach, the surveillance method may not be one that stays the same throughout the duration of the contract. It is the responsibility of the COR Management and COR to review the critical requirements to assess their applicability and recommend the addition or subtraction of requirements as conditions warrant.

(1) Periodic Surveillance: The COR will periodically assess the contractor’s performance by watching actual performance, physically checking an attribute of the completed task or inspecting the task or its results to determine whether or not the performance meets the standard contained in the contract. The COR will evaluate and document the contractor’s performance using the Performance Assessment Report (attachment 4) and an activity log. When the surveillance observation results in a deficiency, the COR will ask the contractor to re-perform, if possible. If the task or service cannot be re-performed, the service is considered deficient.

(2) 100% Inspection: The COR will check that 100% of the washers and dryers are installed and operational within 10 days of the start of the contract. The COR will use a locally developed checklist to document the results of the inspection.

c. Surveillance Folder. A surveillance folder must be developed and maintained by COR who are assigned to accomplish COR for a performance requirement. The folder is typically contained in a hardcopy, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. The folder must be labeled with “For Official Use Only/Source Selection Information -- See FAR 2.101 & 3.104.” The surveillance folder must contain as a minimum, the following documents and be set up using the COR File Index (Attachment 1). This folder will be electronic and maintained in the Dormitory Management Folder on 20 CES Drive.

(1) Appointments. This section should include, at a minimum; CO's Letter of Designation to the COR and contractor appointing the COR to the contract. Training certificates are also included here.

(2) Contract Documents. The Contract with all modifications, directive document references, pertinent terms defined by the contract, equipment listings, PWS, Quality Assurance Surveillance Plan, and contractor's Quality Control Plan (QCP).

(3) Surveillance Documentation. The folder should include minutes of performance meetings that are held with the COR, CA, CO and the contractor to instill good communication and resolve issues before they become big problems.

(4) Inspection Paperwork. Documented surveillance inspections performed by the COR will be kept in this section. The COR will keep an Activity Log. The Activity Log is a chronological log of the actions taken in the accomplishment of COR of the assigned requirements. The purpose of this log is to supplement the inspection records and to provide a complete picture of the contractor's performance in this functional area. The types of information that may be included are details of inspections or data gathering, conversations or meetings with the contractor, notes and comments that support the inspection paperwork.

(a) ACCEPTABLE PERFORMANCE. The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, award fee payments, or other actions.

(5) Unacceptable Performance Documentation. This section is used for filing all documentation associated with contract quality assurance, e.g., Contract deficiency correspondence (both active and resolved), the CO’s inputs/determinations, Cure Notices, Show Cause, with supporting documentation.

(a) UNACCEPTABLE PERFORMANCE. When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

(b) When the COR determines formal written communication is required, the COR shall prepare a

Corrective Action Report (CAR), and present it to the contractor’s project manager or on-site representative. A CAR template is attached to this QASP.

(c) The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor’s corrective action plan to determine acceptability.

(d) Any CARs may become a part of the supporting documentation for contract payment deductions, or other actions deemed necessary by the Contracting Officer.

(6) Final Acceptance and Funding Issues. A copy of receiving reports or letter of acceptance for each month should be maintained here. This is also the place to keep paperwork for future changes to the contract, i.e. addendums, AF Form 9s, options, etc., that must be worked during the life of the contract.

d. Deficiency Reporting. The COR, Contractor, Contract Administrator and CO will meet (progress meeting) to discuss contract performance, resolve issues, and provide positive interaction and feedback to all parties. The COR will provide a copy of any unresolved deficiencies to the contractor's quality control representative to afford them the opportunity to show that the problem is already being worked.

If evidence is shown that the contractor’s quality program has already documented the deficiency and timely corrective action is working the problem, an AF deficiency will not be issued. The COR would evaluate the contractor's action in correcting the cited deficiency and assure effective and timely corrective action is being obtained. Any defects associated with performance thresholds on the Services Summary (SS) will be included in the COR’s Monthly Report regardless of who identified the deficiency.

5. DOCUMENTATION REQUIREMENTS.

a. General. Documentation is required to record, evaluate, and report contractor's performance. This documentation provides the CO with contractor status as it applies to the performance criteria. Every effort should be made to make this report to the CO as accurate as possible. The COR are required to maintain accurate records of the contractor's performance and keep the FC informed of all data pertaining to contractor status.

b. Activity Log. An instrument used by the COR to supplement the inspection records and to provide a complete picture of the contractor's performance. Types of information that may be included are; details of inspections, conversations of meetings with the contractor, notes and comments that may be of value at some later date.

c. Inspection Report. The COR is required to provide a summarized report to the FC detailing the results of critical requirement verifications and reporting all discrepancies associated with the performance thresholds on the SS. This includes deficiencies identified by the contractor. This information will be used as a basis for the COR’s Contract Performance Assessment Report (reference paragraph 6.b.).

d. Certification of Services. Certification of services is performed by COR via Wide Area Work Flow (WAWF) system. At the end of each billing period, contractor inputs invoice information in the WAWF system. WAWF automatically notifies appropriate COR via email of pending invoice. COR accesses WAWF and verifies accuracy of contractor’s data. If data is correct, COR certifies invoice and payment is conducted by Defense Finance Accounting System (DFAS). If COR encounters errors in contractor’s invoice, COR consults with on site manager to mutually rectify data. If contractor disagrees with COR, issue is forwarded to the CO for resolution. Proper and timely submission of monthly invoicing is the sole responsibility of the contractor.

6. PERFORMANCE REQUIREMENTS.

a. Services Summary. The Services Summary (Attachment 2) captures the service requirements that can be measured and are important to the overall operational requirements. The SS includes

Performance Objectives that describe the desired end result or outcome the contractor shall achieve.

The Performance Thresholds state the minimum acceptable level of the performance in terms of quality, timeliness, and quantity in realistic and achievable standards. These thresholds are critical to mission success. The PWS paragraphs reference the details of the Performance Objective in the PWS.

NOTE: The Performance Objective is merely a reference point for Government personnel and does not relieve the contractor of any contractual requirements. The Quality Assurance Surveillance Plan adds a column to the SS; Method of Surveillance. One or more of the methods in paragraph 4 above will be referenced in this section.

Attachment 1 Contracting Officer’s Representative

File Index

Tab 1 COR Designation Letters, and Training Certificates for DAU CLC106, Ethics, Trafficking in Persons, COR classroom, Contract Specific Training, Refresher Training, OPSEC

Training, and CTIP A. COR training certificates

B. Alternate COR training certificates C. Designation of COR by Contracting Officer Letter.

Tab 2 Contract Documents A. Contract with all Modifications (chronological order)

B. Performance Work Statement (PWS) C. Quality Assurance Surveillance Plan (QASP) D. Contractor’s Quality Control Plan (QCP)

Tab 3 Surveillance Documentation

A. Minutes of Performance Meetings B. Contractor Performance Assessment Reports (OUOI. Do not upload to CORTT)

Tab 4 Inspection Paperwork A. Surveillance (Includes the COR’s Activity Log, COR Inspection Schedule and documented Surveillance Inspection Paperwork.)

B. Government-Furnished Equipment Inventory Review

Tab 5 Unacceptable Performance Documentation A. Corrective Action Reports with all supporting documentation B. Cure Notice/Show Cause and supporting documentation

C. Customer Feedback/Complaint Record /Comment Card Record

Tab 6 Final Acceptance and Funding Issues A. Acceptance Documents B. AF Form 9, Funding Requests

Attachment 2

SERVICES SUMMARY.

Performance

Objective

PWS

Paragraph

Performance Threshold Method of

Surveillance

SS1- Provide installation of machines

1.3 Complete installation within 3 days of start

of contract. All washers/dryers meet all specifications listed in PWS.

100% Inspection within 10 days of start of contract.

SS2-

Maintenance, and repair of machines

1.8.1, 1.8.1.1

Complete repairs within one working day after COR reports a problem. If machine is not fixed within 3 working days of reported problem, the contractor shall immediately replace the machine with a new one.

Periodic

Surveillance by

COR’s.

SS3-

Clean/inspect dryer vents/ducts.

1.8.2 Clean all dryer vents annually. Periodic

Surveillance by

COR’s.

SS4-

Moves/relocation of machines

1.2, 1.2.1, 1.6

The contractor shall anticipate a maximum of twenty moves per contract year, either permanent or temporary moves. Due to building rehabilitation, the contractor may need to move machines from these areas and required to re-install them upon completion of rehabilitation.

Periodic

Surveillance by

COR’s.

SS5- Removal of machines at the end of contract

1.4 The contractor shall remove all machines

within 3 calendar days after expiration or termination of this contract.

100% Inspection when contractor informs of completion of removal.

All remaining pages are examples and optional

Attachment 3

COR Inspection Report

Date: ____________________

COR: _______________________________

Contractor: ______________________________________ Contract Number __________________

Delivery Order: ___________________

________ The contractor has met all the requirements of the contract.

________ The contractor has not met all the requirements of the contract. These are summarized in this report and are supported by the COR periodic inspection checklists attached to this report.

Summary of Discrepancies and/or Exceptional performance:

Attachment 4

Performance Assessment Report (PAR) Template

PERFORMANCE ASSESSMENT REPORT (PAR)

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

1. CONTRACT/TASK ORDER NUMBER 2. CONTRACTOR 3. TYPE OF SERVICES

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) SIGNATURE AND DATE 5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or SOW PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX WAS

CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR NON-CONCUR 12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-

CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

Block 1. Contracting Officer’s Representative (COR) enters contract or task order number.

Block 2. COR enters contractor name.

Block 3. COR enters type of services.

Block 4. COR signs and dates.

Block 5. COR enters telephone number.

Block 6. COR assigns suspense date for Contractor Representative validation if a deficiency box was checked in Block 7.

Part I. Contractor Performance

Block 7. COR checks all boxes that apply.

Block 8. COR enters Services Summary or Statement of Work (SOW) paragraph item reviewed.

Block 9. COR enters brief description of deficiency and tracking number if the deficiency box was checked in Block 7.

Detailed description will be on Corrective Action Report (CAR).

Block 10. COR enters a detailed performance assessment if the deficiency box in Block 7 was not checked.

Parts II and III will be used only if a deficiency was documented in Part I.

Part II. Contractor Validation

Block 11. Contractor Representative checks one box in response to COR cited deficiency. If Concurrence is indicated, Contractor Representative continues to Block 12. If Non-Concurrence is indicated, continue to Block 13 and state reason(s) for Non-Concurrence with COR cited deficiency and return PAR to COR.

Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Corrective Action and the Action Taken to Prevent Recurrence or Reason for

Non-Concurrence of COR cited deficiency.

Part III. Deficiency Corrected

Block 14. COR checks appropriate block, signs, and dates.

Block 15. (Required Entry) COR remarks regarding the Corrective Action and the Action Taken to

Prevent Recurrence. If Non-Concur was checked, this block should be very detailed to explain why.

Block 16. Contractor Representative enters remarks if further discussion is needed about COR concurrence with

Contractor’s Corrective Action and Action Taken to Prevent Recurrence.

Continuation Sheet. A Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

ATTACHMENT 5

CORRECTIVE ACTION REPORT (CAR)

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

1. CONTRACTOR 2. CONTRACT NUMBER 3. TYPE OF SERVICES

4. FUNCTIONAL AREA 5. SUSPENSE DATE 6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME AND GRADE SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

Block 5. Enter the assigned suspense date given the contractor to provide a response to the CAR. A date must be entered for a

Major CAR. A date is optional at the discretion of the Contracting Officer’s Representative (COR) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director is the Issuing

Authority for the Contracting Officer’s Representative (COR) generating CARs. By providing the control number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The control number will be made up of the first two letters of the name of the site or contract, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding. See Quality

Assurance Surveillance Plan (QASP), paragraph 6.1.4, for the definitions of Major and Minor findings and associa ted explanations.

2. Finding: Clearly state the details of the finding followed by a reference to the stated contractual requirement. The re ference must state the portion of the contract, part, section, paragraph and subparagraph and must make a com plete brief quotation of the contract reference.

3. State the impact that the finding has or could have on the accomplishment of the mission that the contract provides.

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires a greater amount of time to come to solution. Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the COR initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract CORs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the contractor’s reply, the originator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The COR selects Accept or Reject after reviewing the contractor’s response.

Block 12. The COR enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the

Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the contractor and report accordingly in the monthly Certificate Of Service (COS) or other applicable contracting officer services report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the

Issuing Authority forwards the open CAR back to the contractor for additional information.

Continuation Sheet. A Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.