ATT1_Quality_Assurance_Surveillance_Plan.pdf

Quality Assurance Surveillance Plan (QASP) Contract No. SPE600-17-R-0505 Professional Services

QUALITY ASSURANCE

SURVEILLANCE PLAN (QASP)

FOR

PROFESSIONAL SERVICES,

REMEDIAL SYSTEM OPERATIONS &

MAINTENANCE, DATA MANAGEMENT, AND

FACILITY GROUNDWATER MONITORING

AT

DEFENSE FUEL SUPPLY POINT, POINT

LOMA, SAN DIEGO, CALIFORNIA

REVISION CONTROL

Revision Number Date Remarks

Basic 27 Mar 2017 This is the initial publication of the Quality Assurance Surveillance Plan (QASP).

QUALITY ASSURANCE SURVEILLANCE PLAN

SURVEILLANCE TEAM SIGNATURES

By signing below, I have reviewed this QASP and understand its contents.

______________________________ Date:

Contracting Officer’s Name Contracting Officer

_______________________________ Date:

Contract Specialist’s Name Contract Specialist

Restoration Branch Chief/Supervisor’s Name DS-FEE Restoration Branch Chief/Supervisor

Contracting Officer’s Representative’s Name Contracting Officer’s Representative

Table of Contents

Section A – Purpose and Authority

Section B – Roles and Responsibilities

Section C – Service Summary

Section D – Methods of Surveillance and Surveillance Procedures

Section E – Surveillance of Non-Service Summary (SS) Items

Section F – Unacceptable Performance

Section G– Certification/Acceptance of Services

Section H – Contractor’s Quality Program Plan

Section I – Contract Management

Appendix 1 – Performance Review (Example)

Appendix 2 – Performance Assessment Report (Example)

Appendix 3 – Corrective Action Request (CAR) Letter Example

Section A – Purpose and Authority

1. This Quality Assurance Surveillance Plan (QASP) is a Government-developed document used to determin if the Contractor’s performance meets the performance standards in the Perfomance Work Statement (PWS) and to provide the Contracting Officer’s Representative (Contracting Officer’s Representative) an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract. This QASP provides a process for overseeing:

What will be monitored

How monitoring will take place

Who will conduct the monitoring

How monitoring efforts and results will be documented

2. The role of Government quality assurance is to ensure contract performance objectives are achieved. In conducting surveillance, the Contracting Officer’s Representative is to be objective, fair, and consistent in evaluating Contractor’s performance against the performance standards.

3. This plan is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on Contractor performance. All surveillance documentation as a result of this QASP will be marked, “For Official Use Only.” The Government may provide a copy of the QASP to the Contractor to facilitate open communication. Note unforeseen or uncontrollable circumstances might occur that are outside the control of the Contractor.

4. Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provide for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the Contracting Officer or a duly authorized representative.

Section B – Roles and Responsibilities Surveillance Team – The Surveillance Team is a customer-focused team instituted under the authority of senior leadership and responsible for assessing contractor performance and managing the requirement over the life of the contract. The emphasis is on teamwork, trust, common sense and agility. Members of the Surveillance Team include the following:

1. Contracting Officer (Contracting Officer)

a. In appointing Contracting Officer’s Representatives (Contracting Officer’s Representatives), the Contracting Officer should consider whether the person to be appointed is already performing Contracting Officer’s Representative duties on another contract (or contracts).

b. Although there is no prohibition from performing Contracting Officer’s Representative duties on more than one contract simultaneously, the Contracting Officer must ensure that individuals appointed as Contracting Officer’s Representatives are able to dedicate sufficient time to perform effective oversight on each appointed contract.

c. The number of contracts for which a Contracting Officer’s Representative may be assigned is a matter for the judgment of the contracting officer considering the size, scope, and complexity of the individual contracts.

d. When an individual is designated as a Contracting Officer’s Representative for more than one contract (or more than one task or delivery order under a contract), a separate letter of designation must be provided for each contract (or task or delivery order).

e. The Contracting Officer’s Representative certification remains in effect until terminated by the Contracting Officer.

f. The Contracting Officer may not also serve as a Contracting Officer’s Representative on a contract that he or she awarded.

g. Designates a properly trained Contracting Officer’s Representative in writing before award of all service contracts in accordance with DFARS PGI 201.602- 2.

h. Contracting officers may waive Contracting Officer’s Representative training requirements for Contracting Officer’s Representative nominees who have obtained a minimum of Level II “Certification in Contracting” (1102 job series), “Property” (1103 job series), or “Quality Assurance” (1910 job series), in accordance with sections 1701-1764 of Title 10, United States Code, also known and referred to in this instruction as “The Defense Acquisition Workforce Improvement Act (DAWIA)”

i. For other than service contracts, Contracting Officers will either retain or delegate surveillance activities to a Contracting Officer’s Representative or Defense Contract Management Agency (DCMA).

j. Contracts may cover delivery of supplies and services. The Contracting Officer will consider total delivery requirements of the contract, not the North American Industry Classification System (NAICS) or Standard Industrial Classification (SIC) code in the contract action report.

k. Upon receipt of a procurement request, reviews the requirement to determine if it requires performance of supplies or services or whether assistance in technical monitoring or administration of the anticipated contract is required.

l. If a Contracting Officer’s Representative is required, identify, by the standard (Type A, B, or C), the duties and responsibilities to be performed, and advise the requiring activity of the need for Contracting Officer’s Representative support.

m. Consideration for multiple or alternate Contracting Officer’s Representatives include: multiple regions or remote geographic locations for performance, the need for constant surveillance, or size of requirement.

n. Upon receipt of the Contracting Officer’s Representative nomination package(s) from the requiring activity, reviews the package to determine if the Contracting Officer’s Representative nominee is qualified by education, training, and experience. Notifies the requiring activity that the Contracting Officer’s Representative nominee is acceptable or identify deficiencies and request additional nominations. The Contracting Officer’s Representative nomination and acceptance will be completed through the Contracting Officer’s Representative Tool (CORT).

o. Provides an orientation to the Contracting Officer’s Representative nominee to address the delegated responsibilities, the importance of performance, personal conflicts of interest and potential conflicts of interest, informal commitments, unauthorized commitments and the ethics and integrity expected in relationships with the Contracting Officer, Contracting Officer’s Representative management, and the Contractor.

p. Notifies the Contractor and contract administration activity of the delegation of responsibilities and limits of Contracting Officer’s Representative authority by providing a copy of the executed Contracting Officer’s Representative letter of designation.

q. Delegates specific responsibilities to the Contracting Officer’s Representative prior to contract award, or delivery order issuance, and ensures that a copy of the signed letter of designation is included in the Contracting Officer’s Representative’s contract file.

r. Provide feedback on Contracting Officer’s Representative performance to the Contracting Officer’s Representative’s supervisor. If the Contracting Officer’s Representative’s reports and performance are inadequate, discuss performance with the Contracting Officer’s Representative. If the reports and the Contracting Officer’s Representative’s performance continue to be inadequate, discuss the Contracting Officer’s Representative’s performance with the requiring activity or the Contracting Officer’s Representative’s management. If reports or performance continue to be inadequate, notify both the Contracting Officer’s Representative and requiring activity or Contracting Officer’s Representative management that the Contracting Officer’s Representative designation is (will be) terminated and request nominations for a replacement Contracting Officer’s Representative.

s. When termination of a Contracting Officer’s Representative designation due to transfer, retirement or other causes is required, terminate the Contracting Officer’s Representative designation in writing. Notice of termination must be executed by the contracting officer, and acknowledged by the Contracting Officer’s Representative and Contracting Officer’s Representative management and posted in Contracting Officer’s RepresentativeT, unless use of the Contracting Officer’s RepresentativeT has been waived.

t. Acts as the team advisor for developing incentives/remedies, as appropriate, tied to performance objectives and performance thresholds.

2. Contract Specialist

a. Liaison between the Contracting Officer’s Representative and the Contracting Officer in regard to contract matters.

b. Compiles surveillance documentation and tracks contract-wide performance.

c. Reviews Contracting Officer’s Representative reports (as required by the Contracting Officer), files, and other documentation for completeness and accomplishment of duties.

3. Restoration Branch Chief

a. Identifies mission essential services, to include developing the necessary documents in accordance with DoDI 3020.37, Continuation of Essential DOD Contractor Services During Crisis.

b. Reviews Contractor performance documentation, prepared by Contracting Officer’s Representative, on a periodic basis to ensure performance is compatible with contract and mission objectives while supporting a higher level of Contractor performance, and fostering synergistic partnerships.

c. Ensures requirements documents developed by the team satisfy mission requirements are performance-based, foster innovation, and define metrics.

d. Plans, programs, and budgets adequate funds to ensure the execution is within approved funding baseline.

e. Ensures Contracting Officer’s Representatives maintain proficiency and evaluate the Contracting Officer’s Representative’s job performance not less than annually. Ensures all personnel within the functional area who may have contact with Contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

4. Contracting Officer’s Representative (Contracting Officer’s Representative)

a. Prepares Performance Work Statement (PWS) and QASP and obtains Contracting Officer’s approval on the final product.

b. Will ensure the initial requirements are documented thoroughly enough to ensure the contractor is not performing Inherently Governmental Functions (IGF) or Personal Services (PS).

c. The Contracting Officer’s Representative shall conduct site visits.

d. Develops clearly defined technical requirements and independent cost/Government estimates for contract services to include participation, as appropriate, in requirements definition, acquisition planning, and contract formation processes.

e. Conducts Government contract quality assurance as delegated by the Contracting Officer.

f. Provides reports on contract performance to the Contracting Officer. If advised by a Contracting Officer that the reports are inadequate, ensures revised reports address inadequate issues and are determined adequate by the Contracting officer.

g. Evaluates and documents the Contractor’s performance in accordance with the procedures set forth in this plan.

h. Notifies the Contracting Officer of any performance deficiencies.

i. Maintains surveillance documentation in the Contracting Officer CORT.

j. Recommends improvements to the PWS and QASP, throughout the life of the contract.

k. Reviews and understands the terms and conditions of the contract as well as maintaining technical competency in the functional area surveyed.

l. Provide information necessary to determine if there is an absence of personal conflict of interest and, once designated, notify the contracting officer and Contracting Officer’s Representative management if a potential or actual conflict of interest subsequently arises.

m. Certifies acceptance of services.

n. Establishes and maintains individual Contracting Officer’s Representative files for each contract in accordance with DFARS PGI 201.602-2 of DoD Component procedures. Contracting Officer’s Representative files will be available for review by the Contracting Officer, internal review officials, or other officials as authorized by the Contracting Officer.

o. Neither misrepresents the limits of authority in dealings with the contractor nor takes any action which may constitute, or appear to constitute, an informal agreement or unauthorized commitment. A Contracting Officer’s Representative may be held personally liable for unauthorized acts.

p. Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the performance plan for implementing initiatives brought forward, and monitoring the success of implementation.

q. Recommends any changes necessary to the delivery order, specifications, instructions, or other requirements that will provide more effective operations or eliminate unnecessary costs.

r. Neither delegates nor re-delegates any responsibilities that were delegated by the Contracting Officer.

5. Contractor

a. Complies fully with the terms and conditions of the contract.

b. The Contractor, not the Government, is responsible for operations, management, and contract compliance actions to successfully meet the terms of the contract. The goal of the QASP is to ensure Contractor performance is effectively monitored and documented.

c. Ensures that all employees are qualified and trained to meet the requirements of the contractor.

d. Ensures non-conformance of contract requirements are identified, corrected, and prevents recurrence.

e. Ensures that non-conformance of contract requirements are identified, corrected, and prevents recurrence.

f. Tenders to the Government for acceptance only those services that conform to contract requirements.

g. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

h. The Contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons. Additional information about Trafficking in Persons can be found at the site for the Department of State’s Office to Monitor and Combat Trafficking in Persons: http://www.state.gov/j/tip

Section C – Service Summary As a minimum, the Contracting Officer’s Representative will monitor, review, and report on the Contractor’s performance and compliance with all Service Summary (SS) items shown in Table 1 below. The service requirements summarized below are the critical performance objectives that relate directly to mission essential items. The performance thresholds referenced in the table briefly describes the minimum acceptable levels of service required for each service requirement. The performance thresholds established for each of the performance objectives are the number of defects permitted before the Contracting Officer’s Representative notifies the contracting officer in accordance with FAR 52.246-4, Inspection of Services - Fixed Price[DCLC(1].

TABLE 1. SERVICES SUMMARY

PERFORMANCE

OBJECTIVE (PO)

PERFORMANCE THRESHOLD METHOD OF SURVEILLANCE

PO: 1 Meets all milestones IAW the contract schedule.

Excellent: Objective achieved 2 quarters, or more, in advance.

Very Good: Objective achieved 1 quarter in advance.

Successful: Objective met on-time.

Meets/Does Not Meet: Objective achieved 1 quarter and beyond.

Periodic (Quarterly) Inspection and/or Customer Feedback (as received)

PO 2: Communication with relevant stakeholders resulting in timely identification and solution of impediments to successful project execution.

No more than two (2) validated late responses per year throughout the contract POP

Periodic (quarterly) Inspection and/or Customer Feedback (as

PO 3: Timely submission of work plans and primary documents IAW the approved contract schedule.

No more than two (2) validated late responses per year throughout the contract POP.

If the contractor fails to complete any portion of this task the contractor will forfeit one half of a payment for each 30-day period (or portion thereof) that it is out of compliance and be responsible for any additional cleanup requirements.

100% inspection by DLA and state and regulatory reviewers as well as Customer Feedback

PO 4: Submit high quality Reports and Plans

No more than one (1) significant rewrite per quarter.

Periodic (quarterly) surveillance and/or customer feedback (as http://www.state.gov/j/tip

No more than one (1) errata requested or required to submit to a regulatory agency per quarter (e.g. regulator or public stakeholder asks for an errata sheet be uploaded to California’s GeoTracker) received). For example, errata significant enough to require additional upload

PO 5: Maintain Remedial Systems at Optimal Operations

Contractor shall keep the systems in operation 90% of the time on a rolling 12-month average.

This equates to 72 hours for a standard 30 day (720 hour) month. Under normal conditions, the system should operate within this threshold, allowing for normal maintenance (cleaning oil/water separators, sample collection, backflushing, changing filters, etc.)

and instrument calibration (pH meter, oil/water sensor), and periodic maintenance on the compressor systems. If the contractor fails to maintain this level of operation, the contractor will forfeit one half of a payment for each 30-day period (or portion thereof) that it is out of compliance. This threshold may not apply if any delivery order issued that directly holds the requirement in abeyance. If a month is held in abeyance, then the rolling average will be based on the last 12-months of requirement.

Review of Monthly Progress Reports, Periodic Inspection and/or Customer Feedback (as received).

In the event of a failure of a key system component where the system may be shut down for longer than 72 hours. In these instances, the Contractor should immediately notify DLA a lengthy delay is possible.

Review of correspondence (as

Section D – Methods of Surveillance and Surveillance Procedures

1. Contracting Officer’s Representative Surveillance Checklist

Appendix F.3 of the DoD Contracting Officer’s Representative Handbook (dated March 22, 2012) shows a Surveillance checklist that includes all the required documents that are required to conduct surveillance by the Contracting Officer’s Representative, including contract documents, deficiency reports, memos for record and other correspondence/e-mail, surveillance schedule, project plans, test reports, etc. The surveillance schedule shall be provided to the Branch Chief/Supervisor upon request before the start of the surveillance period. Surveillance schedules, when completed, shall be marked “For Official Use Only,” and shall not be shown to the Contractor.

Changes to the surveillance schedule shall be sent to the Branch Chief/Supervisor and the Contracting Officer. The Contracting Officer’s Representative shall document the reason(s) for changes to the surveillance schedule, and maintain the documentation in the Contracting Officer’s Representative files with the corresponding surveillance schedule that was changed

The Contracting Officer’s Representative uses the methods, as identified in this QASP, to assess the Contractor’s compliance with contract requirements.

Also, the Contracting Officer’s Representative and all team members must maintain a professional, non-adversarial relationships which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent ontracting Officer’s Representative evaluations of Contractor performance against contract requirements. Toward this end, this QASP recommends periodic requirements for evaluations and use of a standard reporting format. Additional spot checks are allowed and recommended to prevent lapses in performance between periodic inspections, enable early identification of discrepancies, and allow for additional focus on problem areas. However, excessive inspection must be avoided, as this can adversely affect the working relationships and ultimately Contractor and Contracting Officer’s Representative effectiveness.

2. Performance Monitoring and Reporting

Discrepancies or nonconformance may be identified through a variety of means including periodic or random checks by the Contracting Officer’s Representative, outside agency inspections or observations, and stakeholder complaints. Early observation, notification, and correction is vital to ensuring mission support is maintained. The Contracting Officer’s Representative should not wait to document findings from periodic or random inspections in a monthly report but should make every effort to notify the Contractor and other appropriate personnel as soon as possible to enable prompt, appropriate corrective actions to be taken. Initial verbal notification is acceptable with follow-up email notification to provide minimum documentation and tracking. All nonconformance should be documented on appropriate forms and subsequently included in the Contracting Officer’s Representative’s report.

Minor nonconformance and subsequent corrective actions to be taken will be documented by the Contracting Officer’s Representative and Contracting Specialist.

Critical and Major Nonconformance and subsequent corrective actions to be taken will be documented by the Contracting Officer’s Representative on DD Form 2772, Contract Discrepancy Report and forwarded to the Contracting Officer for approval upon occurrence. No alternate forms may be used. These will subsequently be documented in the appropriate performance assessment section of the monthly Contracting Officer’s Representative’s report.

Outside agency inspection findings should be provided to the Contracting Officer’s Representative for validation. Required responses should be developed by the contractor and routed through the Contracting Officer’s Representative to the Contracting Officer prior to release to the inspecting agency.

As customers and stakeholders are a primary focus of the Contractor performance, customer complaints are taken very seriously. The Contracting Officer’s Representative will furnish written instructions and/or customer training to each organization receiving the Contractor’s service. Any customer who observes unacceptable services, whether poorly, incompletely, or not performed, should immediately contact the Contracting Officer’s Representative. If the deficiency requires immediate correction, a phone call may be necessary. When a complaint is received, the Contracting Officer’s Representative validates the complaint by checking the PWS. The Contracting Officer’s Representative must evaluate the complaints on a case-by-case basis. If any Government action or lack of action caused unacceptable performance, the complaint is not valid. If the complaint is valid, the 1) Customer’s complaint will be recorded and the Contracting Officer will be notified and 2) a DD Form 2772 will be annotated by the Contracting Officer’s Representative. For continued nonconformance or lack of implementation by the contractor of corrective action, the Contracting Officer’s Representative should continue to document discrepancies as noted above and notify the Contracting Officer and Service Control Point if the situation warrants for further action.

Section E – Surveillance of Non-Service Summary (SS) Items

The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. Therefore, the Contracting Officer’s Representative will conduct surveillance for SS items and non- SS items as well. When the Contracting Officer’s Representative identifies unacceptable

Random Sampling: Appropriate for frequently recurring tasks. Evaluate randomly selected samples of the lot to determine the acceptability of the entire lot.

100 Percent Inspection: Appropriate for tasks that occur infrequently.

Inspect and evaluate performance each time task is performed

Periodic Surveillance: Evaluation of samples selected on other than 100% or statistically random basis. (i.e., monthly, quarterly, semi-annually etc.)

Validated Customer Complaint:

Complaints must be validated.

performance on non-SS items, the Contracting Officer’s Representative shall follow the procedures in Section F of this plan, entitled, Unacceptable Performance.

Section F – Unacceptable Performance

1. Unacceptable Performance

When the Contractor’s performance is deemed unacceptable, the Contracting Officer’s Representative shall attempt to determine the cause of the unacceptable performance. If any Government action, or lack of action, caused the unacceptable performance, the unacceptable performance shall not be counted against the Contractor. The Contracting Officer’s Representative shall take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. When the unacceptable performance is not the result of Government action, or lack of action, Contracting Officer’s Representative shall promptly notify the Contractor and issue a Corrective Action Request (CAR) to the Contractor to assure corrective action is taken.

By signing and dating the CAR, the Contractor is acknowledging that he or she has been informed of the unacceptable performance, and not necessarily agreeing that the performance was unacceptable. Contracting Officer’s Representative shall direct the Contractor to re-perform the service, if possible, without additional cost to the Government. Unacceptable performance re-performed by the Contractor shall still count as unacceptable performance. If the Contractor challenges the validity of the Contracting Officer’s Representatives unacceptable surveillance findings, and the Contracting Officer’s Representative and Contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution. The Contractor shall be required to return all completed CARS to the Contracting Officer’s Representative, no later than the suspense date indicated on the CAR.

2. Corrective Action Requests (CARs):

CARs will be initiated whenever the Contractor is not meeting contract quality requirements. All CARs will be maintained in Contracting Officer Representative Tool (CORT) by the Contracting Officer’s Representative for tracking and trending purposes.

3. Remedies for Unacceptable Performance.

a. If[DCLC(2] any of the services do not conform to the contract requirements;

the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re-performance, the Government may

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the delivery order price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

b. If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may --

(1) By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

(2) Terminate the contract or delivery order for default.

Section G– Certification/Acceptance of Services

1. The Contracting Officer’s Representative shall submit performance assessment reports to the Contracting Officer. These reports are essential for identifying areas that are nonconforming and whether the Contractor has satisfied the basic requirements of the PWS. All performance review or assessment documentation shall be submitted with all validated customer feedback and CARs.

2. The Contracting Officer’s Representative shall certify receipt of Contractor services each month. The Contracting Officer’s Representative shall certify that services were received, in accordance with the terms and conditions of the contact. The Contracting Officer’s Representative shall certify receipt of contracted services via iRAPT – Invoicing, Receipt, Acceptance and Property Transfer (formerly Wide Area Work Flow) or as acceptable to the Contracting Officer.

Section H – Contractor’s Quality Program Plan

1. In accordance with the PWS, the Contractor shall ensure the requirements of the contract are provided as specified. The Contractor can provide to the Contracting Officer’s Representative a Quality Program Plan (QPP) that describes the inspection system for the requested services listed in the PWS. The QPP is a living document, and updates should be provided to the Contracting Officer for review. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of unacceptable services. The Contractor shall update the plan as changes occur and changes shall be submitted for review and acceptance by the Contracting Officer. The Contractor’s QPP shall contain, as a minimum, the following items:

a. A description of the inspection system to cover all services. Description shall include specifics as to the areas to be inspected on a scheduled and unscheduled basis, frequency of inspections, and the title and organizational placement of the inspector(s).

b. A description of the methods to be used for identifying and preventing defects in the quality of service performed.

c. A description of how the records will be kept. Records must document all inspections and corrective or preventive actions taken.

2. Contractor Inspection Records. Records of inspections shall be kept and made available to the Government throughout the contract performance period and for the period after contract completion until final settlement of any claims under this contract.

Section I – Contract Management

1. The Surveillance Team shall utilize the following approaches, methods, and tools to manage the contract upon award (Appendix F.7 of the DoD Contracting Officer’s Representative Handbook - dated March 22, 2012 – shows a Contractor Performance Assessment checklist):

a. Initial Contract Performance Review: The initial evaluation of contractor performance is a joint determination by the Surveillance Team that the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

b. Contracting Officer’s Representative shall conduct, document, track, and analyze Contractor performance via periodic surveillances. The surveillance results shall be maintained as Past Performance Information (PPI) and utilized as applicable to submit information into the annual Contractor Performance Assessment Report System (CPARS).

c. The Contractor shall maintain and implement a QPP to ensure the contract services conform to the requirements of the performance work statement.

Contracting Officer’s Representative shall monitor Contractor’s performance against the Contractor’s QPP.

d. The Surveillance Team shall conduct periodic progress reviews of the Contractor’s performance. The Surveillance Team shall document the meeting and identify issues, closed items, and open items with suspense’s to be completed. At these meetings the Contracting Officer will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor will also notify the Contracting Officer, in writing, of any work being performed, if any, that the Contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues.

2. COMBATING TRAFFICKING IN PERSONS: DoD has a zero tolerance policy for human trafficking. Contracting Officer’s Representatives are the first line of defense in the battle against human trafficking and must complete Combating Trafficking in Persons training annually. As the Contracting Officer’s Representative monitors the contractor and its employees, Combating Trafficking in Persons should rank among the Contracting Officer’s Representative’s chief priorities. Contracting Officer’s Representatives must be diligent in ensuring that contractors and contractor personnel are not trafficking in persons. During surveillance, the Contracting Officer’s Representative will monitor the contractor’s performance regarding trafficking in persons for compliance with all that is required IAW FAR clause 52.222- 50, Combating Trafficking in Persons. The Contracting Officer’s Representative must inform the Contracting Officer if the contractor, contractor personnel, subcontractor, or subcontractor personnel have failed to comply with the requirements of the clause at FAR 52.222-50. After receiving this information, the Contracting Officer shall provide information for any investigation and enforcement to:

Program Manager DoD CTIP Law Enforcement and Support

OUSD (P&R) DHRA

4800 Mark Center Dr Suite 06J25-01 Alexandria, VA 22350-4000

Reports may also be made:

• On-line at http://ctip.defense.gov/ ;

• On-line via the National CTIP Hotline website at http://www.polarisproject.org/;

• By e-mail to CTIPReports@OSD.Pentagon.mil; or

• By phone to the National CTIP Hotline at 1-888-373-7888.

**Note: The Contracting Officer’s Representative must report any suspected violations or activities to the Contracting Officer (See FAR Subpart 22.17 and DFARS Subpart 222.17).

**Note: Contracting Officer’s Representatives should not personally investigate suspected incidents of Trafficking in Persons but should forward all reported or suspected violations to the Contracting Officer immediately.

**Note: The Contractor must take appropriate action should a violation occur.

For corrective procedures and remedies for non-compliance, see FAR 52.222- 50.

3. Documentation Requirements.

a. Thorough documentation of unperformed or poorly performed work is essential for tracking Contractor performance throughout the period of performance. This documentation provides the Contracting Officer with Contractor status as it applies to the performance criteria and award fee data (if applicable). The Contracting Officer’s Representatives, as trained inspectors, will document deficient work by compiling facts describing the inspection methods and results. The Contracting Officer’s Representatives will document nonconformance with the terms of the contract. The documentation, together with any recommendations, will be forwarded to the contract specialist, who will decide whether to elevate the problem to the Contracting Officer for corrective action.

b. The Contracting Officer via a Contracting Officer’s Representative Duties and Responsibilities letter delegates inspection and acceptance to the Contracting Officer’s Representative. The Contracting Officer’s Representatives are required to maintain accurate records of the Contractor’s performance and keep the Branch Chief/Supervisor informed of all data pertaining to Contractor status.

c. At a minimum the Contracting Officer’s Representative should maintain at a minimum, the following documentation, In the Contracting Officer’s Representative Tool:

a. Contracting Officer’s Representative TOOL Surveillance File.

Surveillance documents must be developed and maintained by each Contracting Officer’s Representative who is assigned to accomplish quality assurance for a performance requirement. As a minimum, the Contracting Officer’s Representative Tool shall contain the following:

1. Contracting Officer’s Representative signed Designation Letter from The Contracting Officer

2. Copy of all mandatory required training

3. Copy of the Quality Assurance Surveillance Plan (QASP)

4. Customer Feedback documentation

5. Performance Reviews or Performance Assessment Reports (PARs) See examples in Appendicies 1 and 2.

6. Corrective action requests (CARs) – both open and closed and a log to manage CAR numbering

7. Surveillance correspondence

8. Site Visit documentation

9. The tool may also contain any other sections or information that the Contracting Officer’s Representative finds useful.

b. Contractor Performance Metrics. The Contracting Officer’s Representative shall provide, to the Contracting Officer and Restoration Branch Supervisor, the Contractor’s performance metrics, analysis of trends discovered in surveillance, CARs issued, and summary of Contractor’s performance in timely manner to support timely payments and contract oversight.

Appendix 1 – Performance Review (Example)

Contractor: _____________________________________________________

Contract Number: _______________________________________________

Description of Services: _______________________________________________

IAW AFI 63-138, Acquisition of Services, the Surveillance Team will accomplish initial performance review within 30 calendar days after the contractor has assumed full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract using the assessment values below.

Assessment values:

Green--No issues.

Yellow--Issue(s) but contractor has an adequate mitigation or corrective action plan in place.

Red--Issue(s) with inadequate or no contractor‘s mitigation or corrective action plan.

Any red assessment shall include the government proposed actions with respect to the failing contractor.

(1) Technical. Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, safety, or health standards).

Assessment values and comments:

(2) Schedule. Assess the timeliness of the contractor against contract requirements, delivery orders, milestones, delivery schedule, and administrative requirements

(e.g., efforts that contribute to or effect the schedule variance).

(3) Cost. Assess the contractor’s ability to remain within cost. (i.e. cost performance will be reported only if other than Firm Fixed Price). The assessment will include a discussion of the contractor’s effectiveness in forecasting, managing, and controlling contract cost, as applicable.

(4) Management/Performance. Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

(5) Staffing. Assess the contractor’s performance in selecting, retaining, supporting and replacing when necessary, personnel.

(6) Special Interest Items. (if applicable) Assess any significant modification to the contract made since contract award.

Comments:

______________________________ Date:

Contracting Officer’s Name Contracting Officer

Contract Specialist’s Name Contract Specialist

Restoration Branch Chief/Supervisor’s Name DS-FEE Restoration Branch Chief/Supervisor

Contracting Officer’s Representative’s Name Contracting Officer’s Representative

Appendix 2 – Performance Assessment Report (Example)

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 SERVICE:

4. CONTRACTING OFFICER REPRESENTATIVE (COR) NAME: 5. COR PHONE:

I. PERFORMANCE

6. ENTER DECRIPTIVE INFORMATION CONCERNING THE TYPE OF INSPECTION:

SURVEILLANCE METHOD: Scheduled Inspection TYPE OF INSPECTION: Service Summary

PARAGRAPGH# AND TITLE:

Note: For information pertaining to Performance Thresholds of Service Summary items, please refer to the Performance Work Statement (PWS) or Performance Plan (PP).

7. DETAILED PERFORMANCE ASSESSMENT

CATEGORY

Quality of Product

Schedule Cost Control Business Relations Management of Key or Service Personnel

RATING EXCEPTIONAL N/A N/A N/A N/A

NARRATION:

On 2013, I conducted an inspection pertaining to the Contractor's ability

. During the

Inspection it was determined that the Contractor The

Contractor obtain a rating of for this months inspection.

**Here is where you can add more comments if you like**

8. (CHECK ALL BOXES THAT APPLY)

✔ NO DEFICIENCY NOTED (Pages 2 and 3 are not required)

DEFICIENCY

NEW

REPEAT

9. BRIEF DESCRIPTION OF DEFICIENCY (IF

“DEFICIENCY” BOX WAS CHECKED)

*10. COR SIGNATURE

*11. FUNCTIONAL COMMANDER/DIRECTOR SIGNATURE

12. CONTRACTING OFFICER SIGNATURE (ONLY FOR LEVEL II AND III CARs)

Performance Assessment Report (PAR)

Evaluation Criteria

Below listed is COR guidance for assessing the Contractor’s performance. On each Performance Assessment Reports (PAR) the Contractor will be evaluated in each of the following categories if applicable for each Service Summary Item or PWS task item. The highest rating for PWS task items will be SATISFACTORY as these items normally will not contain a threshold.

A) Quality of Product or Service. Assess the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., specified technical, professional, environmental, or safety and Health standards). List and assess any sub-elements to indicate different efforts where appropriate. For example: Are reports/data accurate? Does the service provided meet the specifications of the contract? Does the Contractor’s work measure up to commonly accepted technical or professional standards? Assess the degree of Government direction required to solve problems that arise during performance.

II. CONTRACTOR VALIDATION

13. CONTRACTOR REPRESENTATIVE NAME: 14. DATE

15. CONTRACTOR REPRESENTATIVE SIGNATURE (SIGNATURE DOES NOT SIGNIFY CONCURRANCE)

16. CONTRACTOR REPRESENTATIVE 17. CORRECTIVE ACTION ESTIMATED COMPLETION

DATE (IF CONCURRANCE)

CONCUR NON-

CONCUR

18. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON

FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. CORRECTED DEFICIENCY

19. CONTRACTOR REPRESENTATIVE

CONCUR NON-CONCUR

20. COR SIGNATURE

21. COR REMARKS IN REFERENCE TO THE CONTRACTORS CORRECTIVE ACTION (IF NON-CONCURRANCE)

B) Schedule. Assess the timeliness of the Contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance). This assessment of the Contractor’s adherence to the required delivery schedule should include the Contractor’s efforts during the assessment period that contributes to or effect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation.

C) Cost Control. Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost. For example: Does the Contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the Contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the Contractor’s budgetary internal controls adequate?

D) Business Relations. Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the Contractor’s history of reasonable and cooperative behavior (to include timely identification and resolution of issues in controversy), and customer satisfaction. Is the Contractor oriented toward the customer? Is interaction between the Contractor and the government satisfactory, or does it need improvement? Also, in making the assessment, include the adequacy of the Contractor’s accounting, billing, and estimating systems; and the Contractor’s management of Government Property (GFP), if a substantial amount of GFP has been provided to the Contractor under the contract.

E) Management of Key Personnel. Assess the Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel. For example: How well did the Contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the Contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the Contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

For each Performance Assessment Report (PAR), the Contracting Officer’s Representative will assign one of the following ratings for each category (i.e. Quality of Product or Service, Schedule, Cost Control, Business Relations, Management of Key Personnel, and Other) if applicable.

EXCEPTIONAL:

Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Note: To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

Example Service Summary

Performance Objective Performance Threshold

Remediate site using Dual Phase Extraction Technology

Complete remediation by the year 2020 with available budget

In this example, if the Contractor remediates the site by the year 2018 using an innovative technology and spending only 75% of the available budget, an EXCEPTIONAL rating could be merited.

Rationale: The Contractor exceeded the Performance Threshold by completing the site remediation two years ahead of time and saving 25% of the budget, which results in much benefit to the Government.

VERY GOOD:

Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the Contractor was effective.

Note: To justify a Very Good rating, identify a significant event and state how it was a benefit to the Government. There should have been no significant weaknesses identified.

Example Service Summary

Performance Objective Performance Threshold

Remediate site using Dual Phase Extraction Technology

In this example, if the Contractor remediates the site by the year 2018 using an innovative technology and spending all the available budget, a VERY GOOD rating could be merited.

Rationale: The Contractor exceeded the Performance Threshold by completing the site remediation two years ahead of time, which results in some benefit to the Government.

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 a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract/order. There should have been NO significant weaknesses identified. A fundamental principle of assigning ratings is that contractors will not be evaluated with a rating lower than Satisfactory solely for not performing beyond the requirements of the contract/order.

Example Service Summary

Performance Objective Performance Threshold

Remediate site using Dual Phase Extraction Technology

In this example, if the Contractor remediates the site by the year 2020 using Dual Phase Extraction technology and spending all the available budget, a SATISFACTORY rating could be merited.

Rationale: The Contractor met the minimum requirements of the Performance…