Attch10_WSOTS_II_QASP_08May2018.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

WIDEBAND SATCOM OPERATIONS & TECHNICAL SUPPORT II

(WSOTS II)

______________ (Effective Date)

Review and Coordination:

Contracting Officer’s Representative

Date of Review

Contracting Officer

Date of Review

TABLE OF CONTENTS

Subject Paragraph

1. Overview 3

2. Description of Services 3

3. Contract Quality Requirements 4

4. Duties and Responsibilities 4

5. Performance Management 6

6. Performance Assessment 7

7. Performance Requirements Summary 8

8. Performance Assessment and Reporting Requirements 10

9. Documentation Requirements 12

Enclosures:

1. Monthly Status Report

2. Quarterly Performance Report (QPR)

3. Performance Assessment Report (PAR)

1.0 OVERVIEW

1.1 Purpose. This Quality Assurance Surveillance Plan prescribes how the multi-functional team will assess the contractor’s performance and manage the acquisition throughout its life cycle. The team’s goal is successful contract performance while achieving cost savings, enabling performance efficiencies, and improving customer service and to provide Command leadership visibility into scope, quality, and cost of the services. This plan addresses both Performance Management and Performance Assessment.

1.2 Performance Management. Performance Management is a cradle-to-grave process beginning with the identification of the requirement and ending when the service is completed or a follow-on acquisition begins. The performance management section outlines how the multi-functional team is going to manage the contract.

1.3 Performance Assessment. Performance assessment is evaluating, assessing and documenting the contractor’s performance in accordance with the overall Quality Assurance Surveillance Plan. The performance assessment section identifies the methods and procedures the Government will use to ensure it receives the services under contract and how performance information will be documented for use as past performance information.

2.0 DESCRIPTION OF SERVICES

2.1 Objectives. The objective of Wideband Satellite Communications (SATCOM) Operational & Technical Support II (WSOTS II) is to provide U.S. Army Space and Missile Defense Command/Army Forces Strategic Command (USASMDC/ARSTRAT) with site support and services for the Wideband SATCOM Operational Management System (WSOMS). The WSOMS supports planning, management, and control for Wideband Global SATCOM (WGS) and Defense Satellite Communications System (DSCS) satellite system operations, as well as support for other SATCOM services for satellites operating in the C and Ku bands. The contractor is responsible for monitoring, configuring, and maintaining the WSOMS network.

The contractor shall provide on-site maintenance and repair, operations support, and technical assistance; on-call maintenance and repair, operations support, and technical assistance; depot and supply support and services; training support and services; logistic support and services;

networking support and services; communications analysis; hardware maintenance support and services; software, firmware, and database support and services; and computer system administration support and services for the systems, equipment, organizations, and locations listed in the Performance Work Statement (PWS).

2.2 Contract. The WSOTS contract allows for baseline Cost Plus Fixed Fee (CPFF) services, including an expected level of system adaptation services. Inspection of Services FAR Clauses 52.246-3 and 52.246-5 apply.

3.0 CONTRACT QUALITY REQUIREMENTS

3.1 Quality Program. The Contractor’s Quality Program and Quality Control Plan (QCP) requirements are defined in paragraph 10.1 of the PWS. The QCP shall ensure the Government receives the level of quality that is consistent with requirements specified in the contract and each system adaptation.

4.0 DUTIES AND RESPONSIBILITIES

4.1 Multi-Functional Team (MFT)

4.1.1 A customer-focused team comprised of stakeholders in the acquisition. The MFT is responsible for requirements throughout the life of the contract.

4.1.2 Members of the MFT include the WSOTS Contracting Officer (KO), Contract Specialist, Program Manager-Contracting Officer Representative (PM-COR), Contracting Officer Representatives (CORs), and the Contractor who provides the service.

4.1.3 The MFT reviews contractor performance assessment documentation prepared by the PM- COR on a quarterly basis to conduct a contract level review and ensure that performance is compatible with contract objectives. The PM-COR and KO meet semi-annually (or more often, if requested by Government) with contractor counterparts to review and discuss performance.

4.2 Functional Commander/Functional Director (FC/FD)

4.2.1 SMDC/ARSTRAT G6 shall assign a Functional Commander/Functional Director (FC/FD).

Normally this position is in the SMDC G6. The FC/FD assigns competent and capable functional experts to the multi-functional team that will be available full time or as warranted by the procurement cycle. Functional experts assigned to the multi-functional team will:

4.2.1.1 Maintain functional knowledge.

4.2.1.2 Have priority for continuing education.

4.2.1.3 Provide functional continuity and stability.

4.3 Contracting Officer (KO)

4.3.1 The KO ensures performance of all necessary actions for effective contracting; ensures compliance with the terms and conditions of the contract, safeguards the interests of the United States, ensures that contractors receive fair, impartial, and equitable treatment and requests and considers the advice of government functional experts as appropriate. The KO has the authority to resolve disputes or conflicts.

4.3.2 Delegates authority for inspection and/or acceptance in accordance with (IAW) terms of the contract. Informs the contractor of the names, duties, and limitations of authority for all CORs assigned to the contract.

4.3.3 Verifies mandatory COR training is completed and conducts additional contract-specific training for all CORs before they perform quality duties.

4.3.4 Inputs contract registration data into the Contractor Performance Assessment Reporting System (CPARS) database within 30 days of contract award. Initiates and ensures Contract Performance Assessments are completed as required.

4.3.5 Appoints COR(s) for base contract and COR(s) for each system adaptation and geographically remote location, as required. PM-COR and COR duties take precedence over all other duties. CORs must be appointed and receive Phase I and II training prior to assuming assessment responsibilities.

4.3.6 Receives Performance Assessment Reports (PARs) and discusses resolution plans with Contractor.

4.4 Program Manager-Contracting Officer Representative (PM-COR)/Contract level COR.

4.4.1 The Contract level COR is responsible for performance management on this acquisition.

Provides oversight of the MFT in management of the acquisition throughout the life of the requirement and ensures the program is within cost and schedule.

4.4.2 Ensures requirement documents developed by the MFT satisfy mission requirements and are performance-based.

4.4.3 Serves as the focal point for COR performance assessment activities. Ensures performance assessment is evaluated and documented IAW this plan and provides KO with status of COR reporting and significant issues.

4.4.4 Manages contractor performance assessment data, prepares the annual CPARS evaluation, and assists with other reporting requirements.

4.4.5 Receives PARs and discusses resolution plans with Contractor.

4.4.6 Reviews Monthly Reports and QPRs (Enclosures 1 and 2) and incorporates findings into consolidated feedback to contractors.

4.4.7 IAW PGI 222.1703 paragraph (4) the COR will review the contractor’s compliance with FAR clause 52.222-50, Combating Trafficking in Persons. Specifically, the COR will monitor the contractor’s performance regarding trafficking in persons by visual observation (signs of abuse, restraints, etc.) and will utilize a random method varying the routine of inspection times.

The COR will ensure that non-compliance is brought to the immediate attention of the contracting officer. The COR will ensure that non-compliance is brought to the immediate attention of the contracting officer.

4.5 Contracting Officer Representatives (COR) – WSOTS System Adaptation Requirement

(WSAR) COR

4.5.1 The WSAR COR observes contractor performance and provides current, accurate information and assessment to the contract level COR on a quarterly basis via a quarterly performance report (QPR).

4.5.2 Maintains accurate documentation of contractor performance assessment in accordance with the Quality Assurance Surveillance Plan.

4.5.3 Reviews contractor-submitted Receiving Report in Wide Area Work Flow (WAWF) system or Contractor Deliverable website unless invoice monitoring is delegated to DCMA, as needed, and notifies PM-COR if inappropriate for payment.

4.5.4 Prepares the QPRs and provides to PM-COR and KO by the by 29th calendar day of each month following the quarter covered.

4.5.5 Primary developer of annual CPARS evaluation and reports.

4.5.6 Collects and document all contractor deficiencies, analyze them for recurring instances (trend analysis) and monitor all corrective actions. Write and submit PARs for PM-COR and KO resolution with Contractor.

4.5.7 Attends MFT meetings, as needed, and recommend improvements to the PWS and the

QASP.

4.5.8 Monitors assigned functional area or WSOTS System Adaptation Requirement (WSARs) to ensure they remain within cost and schedule, and report to PM-COR with discrepancies.

4.5.9 Prepare QASP Supplements, if required.

4.6 Contractor Program Manager (CPM)

4.6.1 Provides monthly reports that present insight into the status of issues affecting quality and the contractor’s self-assessment of their performance on the contract.

4.6.2 Participates as a member of the Multi-Functional Team (MFT).

4.6.3 Establishes a Quality Control Plan, including metrics and rating criteria, for evaluation cost, schedule, and performance requirements and reports to PM/COR and KO with findings.

5.0 PERFORMANCE MANAGEMENT

5.1 Performance Management. Performance is managed by a multi-tiered approach including the day-to-day management performed by the multi-functional team, periodic Performance Management Reviews for executive leadership and compilation and submission of the CPAR.

5.2 Multi-Functional Team (MFT). The MFT is the first element of performance management.

An MFT is established and meets on a periodic basis, at least annually. The MFT will manage contract performance throughout its lifecycle with the goal of achieving cost savings, performance efficiencies and improved customer service. The MFT will ensure the acquisition requirements are met on schedule and within budget during its lifecycle.

5.2.1 Manages contract performance IAW the Quality Assurance Surveillance Plan.

5.2.2 Develops and fosters partnerships for the common goal of continuous improvement.

Establish effective communication with the Contractor for the overall good of the contract.

5.2.3 Identifies opportunities to improve performance throughout the life of the contract.

Implement changes to make these goals a reality.

5.2.4 Assesses and reports contractor performance assessment data, to include the CPAR.

5.2.5 Develops performance objectives and any other assessment items for periodic performance assessment.

5.3 Contractor Performance Assessment Report (CPAR). The CPAR assesses a contractor’s performance and provides a record, both positive and negative, on a given contract for a specific period of time, usually one year. Each assessment is based on objective facts and is supported by contract management data, performance management data, and performance assessment data.

Data is entered into the web-based CPAR System.

5.4 Market Research and Best Practices. Market research is a continual effort performed throughout the acquisition lifecycle. Market research supports the acquisition lifecycle process, supplying technical and business information about commercial technology and industrial capabilities.

5.4.1 Market research can identify best practices for MFT consideration. This research is used for identifying opportunities to improve performance throughout the life of the contract, such as benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

6.0 PERFORMANCE ASSESSMENT

6.1 Purpose. Performance assessment detailed in this plan focuses on the performance outcomes required by the PWS, not the methodology or process implemented by the contractor.

The objective of this plan is to rely on the contractor’s quality management system for quality control, effectively changing the Government’s role from “oversight” to “insight”. This plan identifies the methods and procedures the Government will use to ensure it receives the services under contract as identified in the PWS.

6.2 Approach. The approach is to gain confidence in the contractor’s ability to provide satisfactory services through on-site assessment by PM-Contract level COR and WSAR level CORs, and analysis of performance reports and metrics. The level of assessment and approach may be adjusted as needed to maintain confidence based upon the contractor’s performance.

6.2.1 The key elements of this process are the Contractor’s Quality Management System complimented by the Government’s assessment of performance objectives identified in the Performance Requirements Summary (PRS) of the PWS.

6.2.2 Performance objectives listed in this plan are based upon the PRS in the PWS. The performance objectives establish performance standards as the minimum acceptable quality level of performance that must be assessed, documented and reported by the COR.

6.3 Use of Metrics. Metrics will be used wherever possible to track contractor progress in meeting performance objectives. Metrics may be contractor or Government generated, however, when contractor’s metrics are used, they must first be validated to assure the correct information is captured.

7.0 PERFORMANCE REQUIREMENTS SUMMARY (PRS)

7.1 The purpose of the PRS is to set contractor performance objectives and acceptable standards of performance and to provide objective measurement of the contractor’s performance.

7.2 The PRS cites the performance objective (or service required), pertinent PWS paragraph, and performance threshold and assessment frequency. The PRS aligns the contractor’s performance with the contract performance objectives and focuses on critical factors in meeting those objectives. The goal of the PRS is to promote continuous improvement in cost and performance.

The method of surveillance and frequency will also be addressed.

7.3 PERFORMANCE METRICS

Performance Objective -PWS Paragraph Reference

Performance Threshold – Inspection Frequency Objective 1: Meet Ao & MTTR requirements listed in Table 2.2 of PWS. Reference PWS para 2.2.1 Performance threshold is: No more than 1 failure to meet assigned objectives per quarterly reporting period and evaluation will occur Quarterly

Objective 2: Compliance with DD254, Contract Security Classification Specification, to include proper handling, storage, transmission, and destruction of classified materials. Reference PWS para 7.3 and

8.3. Performance threshold: No security violations and evaluation will occur: Quarterly

Objective 3: Information Assurance (IA) Compliance. Personnel meet minimum requirements before start of work on contract. Reference PWS para 11.3.1.9 and 11.3.1.9. Performance threshold is: No more than 1 failure to meet requirements per quarterly reporting period. 100% of IA workforce personnel are trained in accordance with DoD and Army policy and evaluation will occur: Monthly

Objective 4: Develops and submits all required deliverables in a timely manner. Reference PWS para

9.0. Performance threshold: Performance is acceptable when: a) 100% of the deliverable requirements are met and received on time; b) Critical information is accurate; and c) No more than one set of corrections/edits; for accuracy or agreed to format. All corrections must be accomplished within two working days and evaluation will occur: Monthly

Objective 5: Compliance with Catalogue Training. Reference PWS para 5.1. Performance threshold:

Training is provided by qualified instructors and receives average student ratings of no less than “good” or better for each course and evaluation will occur: Monthly

Objective 6: Customer Satisfaction. Reference PWS para All. Performance threshold: Contractor receives less than 2 formal customer complaints and correction action requests for the period of performance. The Contractor successfully resolves customer complaints within 14 business days of receipt, 100% of the time and evaluation will occur: Monthly

Objective 7: Anti-Terrorism and Operations Security Compliance. Reference PWS para 11.3.

Performance threshold is: Requirements are met 100% of the time and evaluation will occur: Monthly

Performance Objective -PWS Paragraph Reference Performance Threshold – Inspection Frequency

Objective 8: Compliance with Army Regulation 25-2, Information Management, Information Assurance. Reference PWS para 3, 4, 11, and A6. Performance threshold is: Contract meets and maintains all security requirements 100% of the time. Incident is reported immediately and provides mitigation to correct the security incident and evaluation will occur: Monthly

Objective 9: Effectively replaces/substitutes with qualified personnel with the required certifications, education, and experience prior to working on the contract. Reference PWS para 8.1. Performance threshold is: Performance is acceptable when: a) Vacancies are filled with qualified personnel within 15 business days of vacancy for CONUS positions and within 30 business days of vacancy for OCONUS positions, unless approved in writing or otherwise directed in advance by the Contracting Officer and there is no mission impact and evaluation will occur: Monthly

Objective 10: Compliance with System Backup and Restoral Requirements. Reference PWS para 3.12 and 3.22.1. Performance threshold is: Performance is acceptable when weekly full backups are performed with daily incremental backups in between full backups. If backup restoral is required a maximum loss of 1 day of incremental data is acceptable and evaluation will occur: Monthly

Objective 11: Contractor performs tasks within proposed funding and notifies KO and PM/COR, in writing, prior to expenditure of 75% funds and provides an estimate of additional funding, if needed.

Reference PWS para 7.2, , 11.6, DFARS 252.232-7007, and FAR 52.232-22. Performance threshold is:

100% of the monthly CDRL reports during performance period show no cost overruns. 100% of CDRL reports recommend solutions to any underruns exceeding 3%. Underruns, if incurred, are reported in time for Government to de-obligate unneeded funding prior to its expiration and evaluation will occur:

Monthly

8.0 PERFORMANCE ASSESSMENT AND REPORTING REQUIREMENTS.

8.1 Annual Assessment. PM-COR will monitor and report on contractor performance at the contract level monthly via the Monthly Report (Enclosure 1), as it relates to the performance thresholds set forth in the QASP. WSAR level CORs will document results quarterly. PM-COR will then consider all COR inputs and create a consolidated, contract-wide CPARS recommendation for the KO.

8.2 Assessment Method. The Contractor’s performance will be monitored using any of the following methods:

Review of Contractor Data.

Meetings, Conferences with Contractor.

Periodic Assessment/Inspection.

Customer Feedback.

Third Party Audits or Assessments.

100% Inspection of Deliverables.

Random Sampling Surveillance Activity Checklist Other.

The report shall detail the strengths, weaknesses and any areas where the Contractor does not meet contract requirements.

8.3 Performance Ratings. PM-COR and CORs shall assign an overall rating for contractor’s annual performance in their areas of responsibility. Definitions of ratings are as follows:

EXCEPTIONAL: Performance meets contractual requirements and exceeds many to the

Government’s benefit. The Contractor’s performance was accomplished with few minor problems for which corrective action taken by the Contractor was highly effective. To justify an Exceptional rating, COR shall identify multiple significant events and state how each was a benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an Exceptional rating. Additionally, there should have been no significant weaknesses identified.

VERY GOOD: Performance meets contractual requirements and exceeds some to the

Government’s benefit. The Contractor’s performance was accomplished with some minor problems for which corrective actions taken by the Contractor were effective. To justify a Very Good rating, COR shall identify a significant event and state how it was a benefit to the Government. Additionally, there should be no significant weaknesses identified.

SATISFACTORY: Performance meets contractual requirements. The Contractor’s performance has been satisfactory and any corrective actions taken by the Contractor are acceptable. To justify a Satisfactory rating, there should only have been minor problems, or major problems the Contractor recovered from without impact to the contract. Additionally, there should be no significant weaknesses identified.

MARGINAL: Performance does not meet some contractual requirements, or re-performance was necessary due to contractor negligence. The Contractor’s proposed corrective actions appear only marginally effective or were not fully implemented. To justify a Marginal rating, COR shall identify a significant event that the Contractor had trouble overcoming and state how it impacted the Government. TO COR shall support a Marginal rating by attaching a copy of any PAR that notified the Contractor of contractual deficiency.

UNSATISFACTORY: Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains serious problem(s) for which the Contractor’s corrective actions were ineffective. To justify an Unsatisfactory rating, COR shall identify multiple significant events that the Contractor had trouble overcoming and state the impact of each on the Government.

However, a singular problem could be of such serious magnitude that it alone constitutes an Unsatisfactory rating. COR shall support an Unsatisfactory rating by attaching a copy of any PAR that notified the Contractor of contractual deficiency.

8.4 Invoices. PM COR shall ensure the contractors monthly invoices are posted to the Contractor deliverable website and have access to the WAWF website to be able to view invoices.

8.5 Contractor Performance Assessment Reporting System (CPARS). WSAR level CORs shall assist the PM-COR in preparing the annual CPARS report. WSAR CORs shall complete quarterly performance evaluations or provide at least once for those system adaptations with periods of performance of less than three months at the completion of the system adaptation.

WSAR level COR(s) shall forward copies of all Evaluation Reports to the contract level COR.

These reports will serve as supporting documentation for the contractor’s annual assessment.

8.6 Performance Deficiency Resolution. If discrepancies are found during system adaptation performance (WSAR performance), the WSAR level COR or Technical Lead shall notify the contractor’s representatives immediately upon discovery. Performance deficiencies should be resolved at the lowest practical level. The WSAR level COR shall determine the type of deficiency notification to issue based on the severity of the deficiency. TO COR shall document in their COR folder the type of notification issued, the name of the individual contacted and date of notification. PM/Contract Level-COR shall use similar process for discrepancies on the base contract.

8.6.1 Performance Deficiency Notification. There are two types of notification: verbal notification and Performance Assessment Report (PAR). Verbal notification is primarily used for minor discrepancies or tasks that can be re-performed. A PAR will be issued by COR when previous verbal notifications failed to result in corrective actions or when severe deficiencies exist. The PAR will be forwarded to the KO through the Contract COR for action.

8.7 Timely Feedback to the Contractor. Contract COR and WSAR CORs will provide timely feedback regarding any deficiencies or substandard work for contractor corrective action. A progress meeting shall be held not less than twice yearly to review performance and contract issues. Required attendees at the semi-annual meeting shall be the COR, the KO, and the Contractor’s Program Manager; however CORs and other MFT personnel may also attend.

9.0 DOCUMENTATION REQUIREMENTS. Reference Federal Acquisition Regulation (FAR) 46.4 for Government Contract Quality Assurance.

9.1 Performance Assessment Folder. The purpose of the Performance Assessment Folder is to have a central point to file and maintain documentation relating to performance assessment.

9.1.1 Performance Assessment Folder Contents. Contract COR will develop and maintain an assessment folder online within the Contracting Officer Representative Tracking (CORT) tool.

The folder must contain the following information:

9.1.1.1 COR Training Certificates, QASP, COR Appointment Letter, COR Certification and KO Certification

9.1.1.2 COR Monthly Reports

9.1.1.3 Miscellaneous documents such as the most recent Contract Copies and the Quality Control Plan

9.1.1.4 COR Trip Reports shall be included, as necessary.

9.1.1.5 COR Correspondence Reports shall be included in this section, as necessary.

ENCLOSURE 1

COR MONTHLY REPORT

COR Name: Contract Number: Delivery/Task Order:

W91260XXC000X N/A

Report for Month Ending:

Contract Period Of Performance:

Contractor's Quality of Work Response Comments Use the following ratings: Exceptional/Very Good/Satisfactory/Marginal/Unsatisfactory;

Comments must support rating provided.

1. Is the Contractor up-to-date in submitting or performing the following:

1a. Monthly Invoices or Cost Vouchers Response Comments 1b. Sub-Contractor Information Response Comments 1c. Required Deliverables Response Comments 1d. Contract Manpower Reporting (CMRA) Response Comments 1e. SPOT LOA Personnel Updates (On OCONUS Contracts) Response Comments 1f. Status Reports Response Comments

2. Number of Employees Currently on Contract? Response Comments

3. Number of new employees (if any) that were placed on contract last month:

Response Comments

4. Has the contractor conducted duties in a timely manner? Response Comments

5. Were all the items in the QASP inspected? Response Comments

6. Is the contract progressing on schedule? Response Comments

7. Are there any significant issues to report? Response Comments

8. Are there any discrepancies to report? Response Comments

9. Are there any customer complaints this month and if so how many? Response Comments

10. Are there any issues for the Contracting officer to be aware of? Response Comments

11. Date the final contract goods or services were accepted? (YYYY/MM/DD) Response Comments

12. Monthly COR Certification regarding personal Services Statement (Ref PARC Tasker and DoD COR Handbook). In the past month, as the COR have you observed any of the following situations? If 'Yes', describe what occurred, the date of the occurrence, witnesses and other pertinent facts in the corresponding comment field below.

12a. A government employee asking the contractor to hire or fire a particular employee:

Response Comments 12b. A government employee asking the contractor to reassign or discipline an employee:

Response Comments 12c. A government employee asking the contractor to grant or deny leave to an employee:

Response Comments 12d. A government employee changing a contractor's personnel duty hours:

Response Comments 12e. A Government employee asking the contractor to perform work outside the scope of the current contract without an official modification or direction by the Contracting Officer:

Response Comments 12f. Contractor personnel appear to be under relatively continuous supervision and control by a Government employee:

Response Comments 12g. Contractor personnel performing inherently Governmental work functions (i.e. serving in a decision-making capacity, making budget decisions, supervising or rating Government employees, etc.) FAR 7.503:

Response Comments

I certify that this report is in accordance with the terms and conditions of this contract in conjunction with the QASP and the monthly surveillance schedule.

Contract COR Signature

Signature Date Signature Name

Enclosure 2

QUARTERLY PERFORMANCE REPORT (QPR)

MEMORANDUM FOR: PM or Contract Level COR DD MMM YY Attn: Mr.

350 Vandenberg St., Bldg. 3 Peterson AFB, CO 80914

FROM: WSAR COR Address

SUBJECT: W91260-FY-C-000X, TO-XXXX, Name of Contractor, Quarterly Performance Report for the period of: -------- to -----------.

1. INVOICE APPROVAL: Contractor has satisfactorily performed all requirements and should be paid for service. YES/NO

2. WSAR COR (TO COR) ASSESSMENTS:

a. WSAR LEVEL PERFORMANCE OBJECTIVE RATINGS: Ratings below correspond to areas in the Quality Assurance Surveillance Plan (QASP) for this WSAR.

Explanations are required for all ratings.

Performance Objectives *Note: Use the following ratings: Exceptional/Very Good/Satisfactory/Marginal/Unsatisfactory

Objective 1: Performance: Meet Ao & MTTR requirements, if applicable Rating/Explanations (Objective narrative):

Objective 2: Security: Compliance with DD254, Contract Security Classification Specification, to include proper handling, storage, transmission, and destruction of classified materials.

Objective 3: Information Assurance (IA) Compliance: Personnel meet minimum requirements before start of work on contract.

Objective 4: Develops and submits all required deliverables in a timely manner.

Objective 5: Compliance with Catalogue Training, if applicable

Objective 6: Customer Satisfaction

Objective 7: Anti-Terrorism and Operations Security Compliance

Objective 8: Compliance with Army Regulation 25-2, Information Management, Information Assurance

Objective 9: Effectively replaces/substitutes with qualified personnel with the required certifications, education, and experience prior to working on the contract.

Objective 10: Compliance with System Backup and Restoral Requirements, if applicable

Objective 11: Contractor performs tasks within proposed funding and notifies KO and PM/COR, in writing, prior to expenditure of 75% funds and provides an estimate of additional funding, if needed.

b. CONTRACT PERFORMANCE ASSESSMENT RATING SYSTEM (CPARS) INPUTS: Explanations are required in a narrative format for each rating.

Performance Rating Note: Use the following ratings: Exceptional/Very Good/Satisfactory/Marginal/Unsatisfactory

1. Quality of Performance: How well did the contractor meet the performance requirements in the

PWS?

Rating/Explanations (Objective narrative)

2. Schedule: Assess the timeliness of the Contractor against the completion of the milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or affect the schedule variance).

3. Cost Control: Assess the Contractor’s effectiveness in forecasting, managing, and controlling cost. Contractor performs task within proposed funding and notifies KO and COR, in writing, when significant overruns or underruns are incurred.

4. Management: Assess the integration and coordination of all activity needed to execute the WSAR, 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 of issues in controversy), customer satisfaction, timely award and management of subcontracts.

5. Regulatory: Assess compliance with all terms and conditions in the task order relating to applicable regulations and codes. Consider aspects of performance such as compliance with financial, environmental, safety, and labor regulations as well as any other reporting requirements in the contract.

6. Other Areas (if applicable): Specify additional evaluation areas that are unique to the WSAR, or that cannot be captured elsewhere in the evaluation.

Note: Use the following ratings: Exceptional/Very Good/Satisfactory/Marginal/Unsatisfactory

3. PERFORMANCE ASSESSMENT REPORT (PAR) SUMMARY: (if any)

Control # Title Date Opened

Date Closed

XXXX-00#

4. WSAR COR LIST: Note: Names in bold italics are new WSAR CORs.

Name/Office Symbol Position/ Function

Phone PWS Para Evaluated

John Doe Primary XX All Frank Smith Alternate XX All

//SIGNED//

NAME, RANK, SERVICE

WSAR COR

cc:

ACC-RSA-CCAM-CAC

“FOR OFFICIAL USE ONLY/SOURCE SELECTION INFORMATION - SEE FAR

2.101 AND 3.104”

Enclosure 3

PERFORMANCE ASSESSMENT REPORT (PAR)

For Check Blocks, enable and lock Forms Toolbar

1. CONTRACTOR 2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FINDING CATEGORY

NO FINDING

MINOR FINDING

MAJOR FINDING

I. PERFORMANCE DESCRIPTION

5. CONTRACT REQUIREMENT

6. PWS REFERENCE

7. DETAILED PERFORMANCE ASSESSMENT—DESCRIBE CONTRACTOR PERFORMANCE

8. ASSESSING COR GRADE/NAME

9. ASSESSMENT DATE

II. FINDING DESCRIPTION

10. CONTROL NUMBER

11. ISSUING AUTHORITY GRADE/NAME 12. SUSPENSE DATE

13. BRIEF DESCRIPTION OF THE FINDING

14. FINDING IMPACT

15. CONTRACTOR RESPONSE: Contractor must 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 12. If date was not entered in Block 12, the Contractor is not required to provide a response.

16. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE:

17. CONTRACTOR RESPONSE

ACCEPTED

REJECTED

18. EVALUATING COR GRADE/NAME

19. FINDING CLOSE DATE

PERFORMANCE ASSESSMENT REPORT (CONTINUATION SHEET)

ENTER CONTROL NUMBER (Same as Block 10) if applicable

Performance Assessment Report (PAR) Instructions

Purpose: The PAR encompasses the requirements of assessment reporting as well as deficiency identification, correction and actions taken by the contractor to prevent recurrence.

Scope: The PAR is used by all Contracting Officer Representatives in the documentation of assessment of PWS requirements and any deficiencies identified during those assessments.

Section I: Tracks and documents detailed assessments of contractor performance based upon the requirements of the PWS. As a minimum, assessments of performance objectives from the Quality Assurance Surveillance Plan are documented in this section.

Section II: Used to document findings, which are deficiencies that are identified during an assessment. Section II is used to notify the contractor of the finding and request corrective action.

Block 1 - CONTRACTOR NAME: Enter name.

Block 2- - CONTRACT NUMBER: Enter number.

Block 3 - TYPE OF SERVICES: Enter Type of Services.

Block 4 - FINDING CATEGORY: Check one block only. Categorize Deficiencies as follows:

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

• Failure to meet a Performance Standard.

• Significant mission degradation in any Contractor operated function.

• 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.

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

• Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period.

• Any failure to adhere to security requirements that results in a security incident.

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

PART I PERFORMANCE DESCRIPTION

Block 5 - CONTRACT REQUIREMENT: Identify contract requirement, i.e., Civil Engineering.

Block 6 - PWS REFERENCE: If the requirement being assessed is a PO or AI from the Quality Assurance Surveillance Plan, enter the PO or AI number. A PWS reference requirement will need to be entered for items that are not listed as POs or AIs in the Quality Assurance Surveillance Plan

Block 7 - DETAILED PERFORMANCE ASSESSMENT - DESCRIBE CONTRACTOR PERFORMANCE: 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 whenever possible.

Block 8 - ASSESSING COR: Enter grade/name.

Block 9 - ASSESSMENT DATE: Enter the date of the assessment, normally the day the PAR is completed. Performance Assessment should be documented as contract requirements are assessed.

PART II FINDING DESCRIPTION

Block 10 - CONTROL NUMBER: All findings of either category are tracked with a Control Number. The control number will be made up of the four numbers designating the system adaptation number and a three digit number starting with 001 for the first PAR and progressing upward throughout contract performance. Example, 9001-001 denotes WSAR 9001 and the 1st PAR finding. Number should be coordinated with the PM-COR prior to assignment.

Block 11 - ISSUING AUTHORITY GRADE/ NAME: Enter the Grade/Name.

Block 12 - RESPONSE SUSPENSE DATE: Enter the date the response is due from the contractor for the cited deficiency. 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 (IF MAJOR OR MINOR FINDING BOX WAS CHECKED IN BLOCK 4): Enter a brief description of the finding if a Major or Minor finding block was checked in Block 4. Clearly and briefly, state the details of the finding. Most finding details will not be more than a sentence.

Block 14 - FINDING IMPACT: Enter the impact that the finding has, or could reasonably have, on mission accomplishment.

Block 15 - CONTRACTOR RESPONSE: Contractor must 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 11. If date was not entered in Block 11, the Contractor is not required to provide a response.

Block 16 - COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE: After the Contractors response is received and evaluated by COR, COR enters response based on whether the Contractor’s actions were sufficient to correct the cited deficiency and prevent it from reoccurring. If the response is being rejected, the COR must fully explain the reason behind the rejection.

Block 17 - CONTRACTOR RESPONSE ACCEPTED/REJECTED: Check the appropriate check block using forms tool bar to check and lock the selection.

Block 18 - EVALUATING COR GRADE/NAME: Enter grade and name of COR evaluating the Contractor’s response.

Block 19 - FINDING CLOSE DATE: Enter date of closure if the Contractor Response was acceptable to correct the cited deficiency and prevent it from reoccurring.

PAR Continuation sheet: Use the PAR continuation sheet and number by PAR block items that do not fit in the PAR.