Attachment 3 - IWMS Reacq QASP (2027).pdf

Quality Assurance Surveillance Plan

(QASP)

for

Integrated Waste Management Services

This document is written in accordance with Performance-Based Services Acquisition (PBSA) principles

(Ref: AFI 63-138 30Sep19, Chapter 6, Quality Oversight) PEO/CM & SSM Multi-Functional Resources Guide

Table of Contents Objective:

QASP Purpose

Authority

Goals of the Multi-Functional Team (MFT)

MFT Members and their Responsibilities

Contracting Officer (CO) Responsibilities

Contracting Officer Representative (COR) Responsibilities

Quality Assurance Program Coordinator (QAPC) Responsibilities

Contracting Officer Representative (COR) Management (e.g., Supervisor) Responsibilities

Performance Assessment & Table Services Summary

Surveillance of Non-Surveillance Summary Items

Unacceptable Performance

Remedies for Unacceptable Performance

COR Monthly Reporting (and Table for Rating Definitions)

Standard

Methods of Surveillance

100% Inspection

Periodic Inspection

Random Inspection

Customer Complaint

Customer Education Plan

Invoicing/Payment – Wide Area Workflow (WAWF)

Validating Receiving Reports

Certifying & Accepting Receiving Reports

Expenditure Log

Rejecting Receiving Reports

Disputes (include ADR from other section or QASP)

Combating Trafficking in Persons (CTIP)

Performance Management

Market Research

MFT Meetings

Initial Performance Review

Initial Performance Review Criteria

Schedule

Management/Performance

Technical

Cost

Staffing

Special Interest Items

Assessment Values

Incentive Plan

Contractor Quality Control Program

Annual Contract Performance Assessment Reporting Systems (CPARS)

Table of CPARS Timeline

CPARS Performance Rating Elements

Performance Rating Definitions

Revisions to this Surveillance Plan

Attachments

Objective:

The Contractor shall provide all personnel, equipment, tools, materials, vehicles, supervision, and other items and services necessary to perform the integrated waste management services (IWMS) described in this performance work statement (PWS) at U.S. Visiting Forces (USVF) locations across the United Kingdom (U.K.). IWMS consists of solid (to include recycling), liquid and hazardous waste collection and removal. As of the date of this PWS, USVF locations include Royal Air Force (RAF) Lakenheath, Feltwell, Mildenhall, Alconbury, Blenheim Crescent, Croughton, Caversfield, Fairford, Molesworth and Welford.

QASP Purpose This Quality Assurance Surveillance Plan (QASP) is a government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

• What will be monitored?

• How monitoring will take place?

• Who will be conduct the monitoring?

• How monitoring efforts and results will be documented?

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government’s surveillance of the contractor’s performance to assure that it meets contract standards. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s quality control plan. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

Authority Authority for issuance of this QASP is provided under Federal Acquisition Regulation (FAR), FAR Part 12 Acquisition of Commercial Items or FAR Part 46 Quality Assurance and incorporated Inspection of Services, 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.

Goals of the Multi-Functional Team (MFT) The goals of this team are to provide the highest levels of contract performance and customer satisfaction.

MFT Members and their Responsibilities The membership, goals, and responsibilities of the MFT are outlined below.

Contracting Officer (CO) Responsibilities

1. Advise the MFT on Surveillance Plan development.

2. Appoints a Contracting Officer Representative (COR) via a COR Designation Memorandum, indicating their areas of responsibilities and limitation of authority and ensures that the COR, Contractor and Quality Assurance Program Coordinator (QAPC) are notified in writing of such.

3. Provides Contract Specific Training for any COR appointed by the CO.

4. Maintains suitable records reflecting decisions regarding the acceptability of the requirements as well as actions to correct defects.

5. Requests re-performance and/or reduction of price of contract when services are not performed or do not meet contract requirements.

6. Determines that the amount withheld constitutes a reasonable estimate of the Contractor's potential liability.

7. Ensures that the withholdings represent an amount commensurate with the reasonable value of such services.

8. Ensures past performance inputs are prepared documenting any performance issues.

9. Includes in the contract file documentation identifying nonperformance and actions taken.

10. Keeps communication lines open with the Contractor regarding performance issues.

11. Terminates the COR Designation in writing, when appropriate, and forwards copies of COR Termination to the COR, COR Supervisor and QAPC and notifies the Contractor.

12. Participates as a member of the MFT.

Contracting Officer Representative (COR) Responsibilities

1. Ensures supplies or services rendered by the Contractor meet contract requirements.

2. Notifies the CO and the Contractor of any performance deficiencies in writing or by e-mail.

3. Assists with contract/order closeout.

4. Ensures discrepancy reports are accurate and reported properly.

5. COR completes DoD Standard COR training and the Contract Specific Training prior to contract start date and/or Refresher Training IAW the DOD standard for certification of a COR.

6. Identifies areas that warrant a change in assessment method, frequency, or performance threshold and provides suggestions about the surveillance plan to the CO.

7. Maintains accurate documentation of Contractor assessment activities as required by the surveillance plan and reports the results of Contractor assessment activities to the CO.

8. Works with the Contractor and the CO to resolve issues.

9. Maintains a file* in accordance with (IAW) the Surveillance Plan and requests CO disposition at the completion of the contract or termination of COR appointment (if applicable).

10. Submits all requests for corrective action to the CO.

11. Inspects and accepts Contractor services at the completion of each contract payment period, usually monthly.

The QAR /COR will certify services actually received, unless the CO retains the authority for acceptance.

12. Participates as a member of the MFT.

13. Ensures the Contractor complies with the requirements of FAR clause 52.222-50(c),(d) and (f) (Combating Trafficking in Persons).

Quality Assurance Program Coordinator (QAPC) Responsibilities

1. Will assist the Contracting Officer and/or Contracting Officer Designee in providing Contract Specific Training per paragraphs 1.4.1 – 1.4.6 of AFFARS MP 5301.602-2(d) and/or Refresher Training regardless of provider for any AFLCMC COR, upon request.

2. Will perform training for COR Management on the use of the Contracting Officer Representative Tracking (CORT) Tool, upon request.

3. Supports the MFT in the development of contract requirements specifically to ensure that requirements are clearly stated and enforceable.

4. Offers advice on development for the Service Summary and Surveillance Plan.

5. Participates as a member of the MFT.

Contracting Officer Representative (COR) Management (e.g., Supervisor) Responsibilities

1. Upon request from CO, prepares COR nomination package.

2. Ensure prospective COR understands importance of performing their designated functions.

3. Ensure the COR will be afforded the necessary resources (time, supplies, equipment and opportunity) to perform their designated functions.

4. Ensure that performance of the designated functions will be addressed as part of the COR’s annual performance appraisal.

5. Solicit input on performance of COR duties from the CO.

6. Ensure COR completes required training prior to award or prior to their designation as a COR if appointed after contract award.

7. Identifies mission essential services (i.e. Functional Commander only responsibility).

8. Participates as a member of the MFT.

Performance Assessment & Table Services Summary The required performance objectives can be found in the Service Summary in the PWS. The Contractor service requirements are summarized into performance objectives that relate directly to the mission essential items. The performance threshold describes the minimum acceptable levels of service for each requirement. The Contractor shall be aware that the absence of any contract requirement from the service summary does not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract.

See Attachment A

Surveillance of Non-Surveillance Summary Items The Government reserves the right to inspect and test services required by the contract, to the extent practicable, at all times and places, during the term of the contract IAW the contract inspection clause.

Unacceptable Performance When the contractor’s performance is deemed unacceptable, the COR will determine the cause of the unacceptable performance.

Government-Caused. If any Government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the contractor. The COR will take action to ensure future Government action, or lack of action, does not interfere with the contractor’s performance in the future. The COR will completely document the circumstances.

Contractor-Caused – Performance Assessment Report (PAR) See Attachment A. When the unacceptable performance is not the result of Government action, or lack of action, the COR shall promptly notify the contractor and issue a Performance Assessment Review (PAR) to assure corrective action is taken. By initialing and dating the PAR, the contractor is only acknowledging that he/she has been informed of the unacceptable performance, and is not agreeing or disagreeing with the performance assessment. The COR shall direct the contractor to re-perform the service, if possible, without additional cost to the Government. If the contractor challenges the validity of the COR’s unacceptable assessment finding, and the COR and contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution. Unacceptable performance that is re-performed satisfactorily by the Contractor shall still count as unacceptable performance.

SPM COR File >> Find your contract >> Add Surveillance Document >> Document Type (Drop Down) “Deficiency Reports”

Repeated Issues/Concerns – Corrective Action Report (CAR) See Attachment B. A Corrective Action Report (CAR) will be issued to the contractor for repeated issues/concerns. Issuance of the CAR is a formal request requiring the Contractor provide written corrective action. The contractor shall be required to respond and return all completed CARs to the COR no later than the suspense date indicated on the CAR. The COR is responsible for ensuring the corrective action taken by the contractor is effective. The COR will enter a close date on the CAR form after a determination is made that the contractor’s response is acceptable. The COR will then forward the closed CAR to the contractor and report accordingly. This routing remains the same if the contractor’s response is unacceptable and the CAR remains open until an acceptable response is received, except that the Contracting Officer (CO) forwards the open CAR back to the contractor for additional information.

SPM COR File >> Find your contract >> Add Surveillance Document >> Document Type (Drop Down) “Deficiency Reports”

CAR Log. The COR shall maintain a log of all CARs issued to the Contractor (a locally devised form may be used).

The CAR log shall contain the CAR number, date issued, contractor, description of unacceptable performance, suspense date, and closeout date. All CARs and CAR logs shall be maintained by the COR for the life of the contract. All CARs will be tracked with a Control Number. The Functional Commander/Director (FC/D) is the Issuing Authority for his/her Contracting Officer’s Representatives (CORs) generating CARs. By providing the control number to the COR originating the CAR, the Issuing Authority demonstrates concurrence with the finding.

Remedies for Unacceptable Performance In accordance with FAR 52.212-4(a), Contract Terms and Conditions, Commercial Items, if any of the services do not conform to contract requirements, the Government may require repair or replacement of nonconforming supplies or re-performance of nonconforming services at no increase in contract price. If repair/replacement or re-performance will not correct the defects or is not possible, the government may:

• Seek an equitable price reduction or;

• Seek adequate consideration for acceptance of nonconforming supplies or services.

The Government must exercise its post-acceptance rights:

o Within a reasonable time after the defect was discovered or should have been discovered; and o Before any substantial change occurs in the condition of the item, unless the change is due to the defect in the item.

IAW FAR 52.212-4(m), the Government may terminate the contract for cause if the Contractor fails to comply with any contract terms and conditions, or fails to provide the Government, upon request, with adequate assurances of future performance.

If performance observed is determined to be unacceptable, the documentation flow chart in Figure #1 will be followed:

Figure #1

Unacceptable Performance Documentation Flow Chart

All PAR’s, CAR’s, COR Monthly Reports, Customer Complaints, Email correspondence, etc., will be uploaded to

SPM by the COR on a monthly basis, unless QASP requests less frequency.

This is the official COR file IAW DFARS PGI 201.602-2

COR Monthly Reporting (and Table for Rating Definitions) The Lead or Primary COR certifies the essential services accomplished by the contractor and documenting any issues or non-conformances that were identified during the month. Monthly reports will be completed NLT the 10th calendar day of each month for the previous months performance. SMART Form COR Status Report.

Performance

Ratings

Definition/Criteria Justification

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.

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.

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 were effective.

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.

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.

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.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).

Standard The Contractor must correct each discrepancy through re-performance. Recurring discrepancies during the reporting period which bring the performance threshold below the acceptable level will be recorded and reported to the CO for appropriate action. Additionally if the same discrepancy(ies) occurs repeatedly throughout different reporting periods, this will reflect upon the Contractor's performance. The COR will annotate the unacceptable performance and notify the CO in order to address the problem areas with the Contractor. In those instances where re-performance is not possible, the CO may deduct payment IAW the inspection of services clause.

Methods of Surveillance 100% Inspection All deliverables (reports, etc.) will be inspected 100% for errors and omissions.

Periodic Inspection This type of surveillance is based upon selecting samples for evaluation on other than 100% inspection on a statistically random basis.

Random Inspection This type of surveillance is based on creating a random selection of surveillance times available based on the contractor’s schedule. See https://www.random.org/calendar-dates/ for a tool to help build this schedule.

Customer Complaint The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems but the customer always has the option to communicate complaints to the contracting officer or COR, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COTR/COR. The COTR/COR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment D.

Customer Education Plan Once CORs have been appointed, ensure customers are aware of the requirements of the contract and who their respective CORs are in case of a complaint, or if any action is necessary in regards to the contract. CORs are to hand out informational guidance to the customers as follows:

Standards Frequency

Will be included with Facility Manager Training.

Schedule will be announced once contract awarded on base Public Affairs bulletin.

Annually

Invoicing/Payment – Wide Area Workflow (WAWF) If the COR’s Delegation of Authority letter provides for DAO duties, the COR will accept or reject all Receiving Reports submitted by the Contractor in WAWF within five (5) days of submittal by the Contractor. This requires an “Acceptor” role for WAWF in the PIEE single sign-on interface at https://wawf.eb.mil To access the receiving http://www.random.org/calendar https://wawf.eb.mil/ report, log into WAWF, select the Government, Acceptor, Acceptance Folder tab; then type in the Contract and delivery order (contract/task order) number. The Shipment Number column in WAWF is the Receiving Report number.

Training is available for WAWF through the PIEE portal. Sign in and click the Web Based Training “WBT” icon. In the PIEE – Web Based Training (WBT) platform, select the WAWF icon. Select “Acceptor” under the User Roles section.

Under “Document Submission” you will find Demos and PDF instructions on Receiving Reports and other trainings.

Validating Receiving Reports The COR (with delegated authority) will review and validate all WAWF receiving reports (Shipment Number in WAWF) ensuring that:

• The Contractor submitted a combination invoice/receiving report

• The report reflects the correct contract and TO number

• Beginning and ending dates being billed are stated and accurate

• The correct CLIN(s) is (are) charged for billing period

• A description of the services is provided (Firm Fixed Price, Labor Hour, Travel, Materials

• The correct amount is charged, to include applicable handling rates

• Invoiced travel was pre-approved

• Back-up documentation is attached that includes a Contractor invoice with current and cumulative hours

(for FFP LOE contracts) and amounts, as applicable

• A breakout of any other charges, as agreed to by the CO or required by the contract or TO, is attached in

WAWF or has been provided to the COR

Certifying & Accepting Receiving Reports Inspection of Services is ALWAYS performed by the appointed COR. The COR or CO will validate and certify services through non- conformance notifications (para. 4.1.2) and COR monthly reports (para. 4.2.4). After validation of services, the COR will select the “CQA” (Contract Quality Assurance) button to verify that the invoice was accurate, this step will normally select the Acceptance: button also. If anyone other than the COR or CO (typically the Resource Advisor (RA) or another COR) is accepting services for the contract, the COR or CO MUST certify in writing to the acceptor that services have been inspected/validated, the acceptor must then state in the comments block (under Misc Info tab) that the COR has reviewed, validated and certified services/invoices. In all cases, the COR/CO or will retain documentation (electronic or hard copy) showing COR validation and certification, as well as final acceptance of Contractor invoices.

Expenditure Log After certification of an invoice in WAWF, the COR and Contract Specialist will update the expenditure log documenting/tracking certified invoice expenditures against funds allocated on the contract against each CLIN.

Funding belongs to the organization where the Requirement Owner resides; the expenditure log allows the COR and CO to ensure that funds are available for the work performed, to include travel and materials.

Rejecting Receiving Reports If a receiving report is rejected in WAWF, the PM or will go to the Miscellaneous Info tab to complete the comments block as follows:

• List details regarding all unsatisfactory services or incorrect invoice information

AND

• Instruct the Contractor to contact DFAS to have the invoice rejected back to the Contractor; this will allow the Contractor to make the same correction on both the receiving report and invoice, since combination invoices/receiving reports are required.

The rejecter will then return to the Header tab and click the “Reject to Initiator” block. Anyone other than the COR may reject receiving reports in WAWF, but only when services/invoices have been reviewed and rejected by the COR in writing per the paragraph above. After rejecting the receiving report, e-mail the CM/CO the contract number, receiving report number, and reason for rejection.

Disputes (include ADR from other section or QASP) Attempts will be made to resolve all disputes arising under this plan using the Alternate Dispute Resolution (ADR) as outlined in FAR 33.214. The objective is mutually agreeable resolutions that are relatively inexpensive and expeditious. If no resolution can be made under ADR, the CO shall be notified for a final decision.

Combating Trafficking in Persons (CTIP) In accordance with DFARS PGI 222.17, DoD personnel with training regarding trafficking in persons is required and can be accomplished through the job responsibilities that require daily contact with DoD contractors and/or Foreign National Personnel must take the CTIP Acquisition Online Course available at http://ctip.defense.gov/Training/ContractingAcquisition.aspx . The Defense Acquisition University (DAU) class can be accessed at http://icatalog.dau.mil/onlinecatalog/courses.aspx?crs_id=2028, (DOD 002). The COR 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.

Key indicators of trafficking include:

• Is the person in possession of their own passport, identification or travel documents?

Are these documents in possession of someone else?

• Does the person act as if they were instructed or coached by someone else?

Do they allow others to speak for them when spoken to directly?

• Was the person recruited for one purpose and forced to engage in some other job?

Have transport costs been paid for by facilitators, whom they must pay back through working or providing services?

• Does the person receive little or no payment for their work?

Is someone else in control of their earnings?

• Does the victim have freedom of movement?

Are they dropped off and collected from work?

Is the person withdrawn or do they appear frightened?

• Has the person or their family been threatened with harm if they attempt to escape?

• Is the person under the impression they are bonded by debt, or in a situation of dependence?

• Has the person been physically or emotionally harmed or deprived of food, water, sleep, medical care or other life necessities?

Annual Surveillance: In accordance with PGI 222.17—Combating Trafficking in Persons, the CORs along with the Office of Special Investigations (OSI) will conduct an Annual Surveillance on the Contractor’s performance concerning Trafficking in Persons. This Annual Surveillance may involve an examination of the Contractor(s) and Sub-Contractor(s) business practices to include the following:

• All paperwork pertaining to the Contractor(s) and Sub-Contractor(s) activities.

• All electronic (e.g. e-mail, facsimile, text messaging, and telephonic) traffic pertaining to the Contractor(s) and Sub-Contractor(s) activities.

http://ctip.defense.gov/Training/ContractingAcquisition.aspx http://icatalog.dau.mil/onlinecatalog/courses.aspx?crs_id=2028 http://ctip.defense.gov/%3B http://www.polarisproject.org/%3B mailto:CTIPReports@OSD.Pentagon.mil

• Facilities pertaining to the Contractor(s) and Sub-Contractor(s) activities.

• Interviews with Contractor(s) and Sub-Contractor(s) personnel.

Performance Management Market Research Market research will be used as a tool throughout the life of the contract to remain current with the most efficient and effective assessment methods and techniques of the commercial marketplace.

MFT Meetings The MFT will manage the contract for the life of the contract. This team is a partnership between the Government and the Contractor to ensure the best possible service is provided for the life of the contract.

All performance assessment data will be reviewed at these meetings. If performance improvement is necessary a plan of action will be created.

The goal of the MFT is to give all members a vested interest in maintaining the highest quality service to our customers and the ability to propose/initiate improvements. The success of the contract is a combined effort of all MFT members.

Initial Performance Review The MFT initial evaluation of Contractor performance will take place within 30 days after the Contractor assumes 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. The Services Designated Official (SDO) may waive the initial evaluation for contractors that have continued performance under a successor contract award (i.e. prior incumbent) or for contractors, which have otherwise demonstrated full compliance with contract start-up.

Separate initial contract performance is not required when they would duplicate reviews held and reported under Award fee or Award Term Plan provisions.

Initial Performance Review Criteria The MFT will report the results of the initial performance review to the SDO. The report will include an assessment of schedule, management, technical, staffing and cost performance (i.e. cost performance will be reported only if other than Firm Fixed Price). Negative variations in cost, schedule, staffing, and/or performance will be reported with an assessment of the root causes and corrective action plan.

Schedule The assessment will include a discussion of the Contractor’s adherence to the required delivery schedule, milestones, administrative requirements and should address the Contractor’s efforts during the assessment period that contributes to or affect the schedule variance, as applicable.

Management/Performance The assessment will include a discussion of 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 of issues in controversy), customer satisfaction, timely award and management of subcontracts including progress on small business subcontracting goals.

Technical The assessment will include a discussion of the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (i.e. commonly accepted technical, professional, environmental, or safety and health standards), as applicable.

Cost The assessment will include a discussion of the Contractor’s effectiveness in forecasting, managing, and controlling contract cost, as applicable.

Staffing The assessment will include a discussion of Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel, as applicable.

Special Interest Items Special interest items are to be included in the initial performance report when significant modifications to the contract have been made since contract award.

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 will include the Government proposed actions with respect to the failing Contractor.

Incentive Plan Positive incentives as a result of performance that continually exceeds the performance objectives as outlined in the PWS may result in favorable Contractor Performance Assessment Reports (CPAR). Negative performance incentives may include re-performance of the defective service in accordance with FAR 52.212-4(a) etc (Tailor to the acquisition), negative CPAR reporting and/or increased surveillance.

Contractor Quality Control Program Quality control is the responsibility of the contractor, not the Government. The Contractor shall develop and/or maintain an inspection system acceptable to the Government covering the services under this contract. Complete records of all inspection work performed by the Contractor shall be maintained and made available to the Government during contract performance and for as long afterwards as the contract requires. The contractor shall utilize its own internal quality control processes in the performance of this contract. In order to supplement the contractor’s quality control program, government personnel will verify contractor compliance with performance requirements.

Performance Feedback. Documentation is required to record, evaluate, and report contractor’s performance. On a monthly basis, utilizing the CORT Tool Online File as required, the COR will complete a narrative summary that includes the following assessment elements of contractor performance and forward it to the CO. The COR will also keep the FC informed of all performance assessments.

Annual Contract Performance Assessment Reporting Systems (CPARS) An annual CPAR will be written on all Services contracts that exceed $1M total contract value. The Contractor Performance Assessment Reporting System (CPARS) https://www.cpars.gov/ is the Department of Defense (DoD) Enterprise Solution for collection of Contractor Past Performance Information (PPI) as required by the Federal Acquisition Regulation (FAR).

CPARS is a web-enabled application that collects and manages a library of automated Contractor report cards. The COR will be designated as the Assessing Official Representative (AOR) in CPARS. The COR will use objective evidence from previous Monthly COR Reports, PARs, CARS, and correspondence letters for the CPAR assessment.

The report will be due from the AOR within 15 calendar days following the end of the Period of Performance (PoP).

A CPARS quality checklist is available at the following link. https://www.cpars.gov/pdfs/CPARSQualityChecklist.pdf.

The table below is an excerpt from the AMIC CPARS Roles and Responsibilities Policy Letter.

http://www.cpars.gov/ http://www.cpars.gov/pdfs/CPARSQualityChecklist.pdf

Table of CPARS Timeline Table 5 - Performance Assessment Report Routine Timelines*

CPAR Role: Timeframe Action in CPARS QAPC/AOR -30 calendar days prior to the end of the Period of Performance (PoP) Schedule Just-In-Time (JIT) CPARS Narrative training with QAPC.

AOR +15 calendar days following the end of the Period of Performance (PoP)

Draft (Narrative and rating) report and send to AO

AO +40 calendar days following the end of the PoP

Validate narrative/rating contract information and send to Contractor Representative

Contractor Representative 60 calendar days Comment and return to AO AO (Contractor Concur or does not sign)

7 calendar days but not to exceed PoP end +107 days

Completes CPAR

AO (Contractor Non-Concur) RO (Contractor Non-Concur

14 calendar days but not to exceed PoP end +114 days

AO forwards to RO; RO reviews, updates and completes CPARS

*Focal Point will notify AOR, AO, or RO supervisor or division chief for all exceeded time frames

CPARS Performance Rating Elements The following chart is the data input the Government is required to provide for CPARS completion on the contract effort. Always consult CPARS guidance at cpars.gov for current guidance prior to preparing actual CPARS evaluation.

Performance Element Description

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

Schedule Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedule, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

Cost Control (Not required for Firm-Fixed Price or Firm-Fixed Price w/Economic Price Adjustment (EPA). Assess the contractor’s effectiveness in forecasting, managing, and controlling contract cost.

Management Assess the integration and coordination of all activities needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s history or reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts., and whether the contractor met small/small disadvantaged and woman owned business participation goals.

Management of Key Personnel (applicable when the contract / order contains a “Key Personnel” clause)

Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

Utilization of Small Business

Assess compliance with all terms and conditions in the contract/order relating to Small Business participation (including FAR 52.219-8, Utilization of Small Businesses and FAR 52.219-9, Small Business Subcontracting Plan (when required). Assess any small business participation goals which are stated separately in the contract/order.

Assess achievement on each individual goal stated within the contract/order or subcontracting plan including good faith effort if the goal was not achieved.

Regulatory Compliance Assess compliance with all terms and conditions in the contract/order relating to applicable regulations and codes. Consider aspects of performance such as compliance with Financial, Environmental (Example: Clean Air Act, Clean Water Act), Safety, and Labor regulations as well as any other reporting requirements in the contract.

Performance Rating Definitions In evaluating the contractor’s performance, the performance ratings may be used as described in FAR Part 42.

Performance

Ratings

Definition/Criteria Justification

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.

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.

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 were effective.

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.

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.

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.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).

Revisions to this Surveillance Plan Revisions are the joint responsibility of the CO and COR. This document can be changed at any time following coordination with the MFT.

REVISION QASP CHANGE ACTIVITY DATE

Original Surveillance for XXXXXXXXX Day Month Year

Attachments

A Performance Assessment Report (PAR)

Attach in SPM >> “Surveillance Documents”>>

>>”Deficiency Reports” **EMAIL the CO, CS, and QAPC you uploaded the report performance_assess ment_report.pdf

B Corrective Action Report (CAR) corrective_action_re port.pdf

>>”Deficiency Reports” **Email the CO, CS, and QAPC you uploaded the report

C COR Status Report (typically Monthly) USE SMART Form.

Automatic email sent to CO/CS/QAPC

QRG_COR_Status_R pt_SmartForm.pdf

FORM INSTRUCTIONS

D Customer Complaint customer_complain t_record.pdf

E COR Surveillance Schedule

Surveillance Schedule Template.x

F COR Surveillance Checklist Use Services Summary Attachment. Fill out Meets/Not

Meet Threshold section G Initial Contract Performance Review Template initial_contractor_p erf_review.pdf

H Contracting Officer’s Annual COR File Inspection Checklist

CO Annual COR Fille Inspection Che

I Services Summary See Below

SERVICE SUMMARY ITEMS

Performance Objective PWS para Performance Threshold (Per Location)

Assessment Method

Collect Main Base Solid Waste in accordance with the established schedule.

1.1.1 No more than 2 validated

customer complaints per month.

Periodic Inspection, Random Inspection, & Customer Complaint

Collect MFH Solid Waste in accordance with the established schedule.

1.1.2 No more than 2 validated

customer complaints per month.

Periodic Inspection, Random Inspection, & Customer Complaint

Collect Liquid Waste in accordance waste in accordance with the established schedule.

1.5 No more than 2 validated

customer complaints per month.

Periodic Inspection, Random Inspection, & Customer Complaint

Collect Hazardous Waste in accordance with the established schedule.

1.6 No more than 2 validated

customer complaints per month.

Periodic Inspection, Random Inspection, & Customer Complaint

Collect Food waste in accordance with the established schedule

1.1.1.2 1.1.1.2.1 1.1.1.2.2 1.1.2.2

No more than 1 validated customer complaint per month.

Periodic Inspection, Random Inspection, & Customer Complaint

Dispose of Solid, Liquid, and Hazardous waste in accordance with the established governing directives.

1.5, 1.6, 0 Deficiencies permitted. Periodic Inspection, Random Inspection, & Customer Complaint

Maintain equipment in good workable condition.

Trucks and waste containers washed and free of odors.

1.4 No more than 2 validated

customer complaints per month.

Periodic Inspection, Random Inspection, & Customer Complaint

Perform unscheduled collections required by the contracting officer in accordance with paragraph 1.1.3.

1.1.3.1 0 Deficiencies permitted.

(Work will not be accepted until all deficiencies are corrected.)

Periodic Inspection, Random Inspection, & Customer Complaint

Perform next working day recovery collections for Food waste, Piddles packs, CAT 1 and CAT 3, when scheduled collections have not been performed.

1.1.1.2 1.1.1.2.1 1.1.1.2.2 1.1.2.2

0 Deficiencies permitted.

(Work will not be accepted until all deficiencies are corrected.)

Periodic Inspection, Random Inspection, & Customer Complaint

Produce/maintain reports and records by the fifth working day of the month.

1.7 0 Deficiencies permitted. Periodic Inspection, Random Inspection, & Customer Complaint

Perform Emergency Liquid waste collection in accordance with

1.5.1.4 0 deficiencies permitted Periodic Inspection, Random Inspection, & Customer Complaint paragraph 1.5.1.4