B08_Attachment_3_QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

For Yellowstone National Park Contract Number:

Contract Description: Recycling Services Contractor’s name: (hereafter referred to as the contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

• What will be monitored.

• How monitoring will take place.

• Who will conduct the monitoring.

• How monitoring efforts and results will be documented.

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

This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall inform the contractor any time a change is made to the QASP as a courtesy. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

52.246-4 Inspection of Services – Fixed-Price,

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (CO) - The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The CO shall also assure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned CO: Molly Lynam Organization or Agency: National Park Service Telephone: 307-739-3447 Email:molly_lynam@nps.gov

Assigned CS: Colton Nelson Organization or Agency: National Park Service Telephone: 720-390-0199 Email:colton_nelson@nps.gov

c. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the CO, the COR shall provide documentation to the CO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

Assigned COR: Everett Munson Telephone: Provided at award Email: everett_munson@nps.gov

Assistant COR (Inspector): TBD, if necessary Telephone:

Email:

3. PERFORMANCE STANDARDS.

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, below, includes performance standards.

The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

Task ID Tasks & Deliverables Quality Standards/Acceptable Quality Levels Method of Monitoring Incentives/Disincentives

Ensure recycling containers do not exceed 3/4 full.

Containers are picked‐up/emptied in accordance with schedule. If the specified collection day (e.g., Thursday) falls on a holiday, service will occur on the day prior

• No more than one (1) valid customer complaints monthly on overflow or exceeded 3/4 full.*

• Miss no more than 1 scheduled weekly. (Note If weather or other excusable delays preclude the contractor from completing scheduled pick‐ups, the Park shall be notified as soon as possible and an alternate schedule for pick‐up shall be coordinated.)

*(Note 1) Complaints received during first 60 days of contract will be collected, but will not count against the contractor.

• Visitor notification/complaint

• Site monitoring & visual inspection by Park staff

TASK 1

Rating 1 (Exceptional) Tasks/Deliverables meet all contract terms & conditions. The result is a positive performance rating & full payment. No more than one (1) valid customer complaint monthly and shall be remidied within 24 hours. If not remidied within 24 hours complaint # two (2) will have been established. Services are provided weekly on scheduled pick‐up days. Not more than one container is missed weekly during the months of May ‐ October and monthly during the months of November through April.

Rating 2 (Satisfactory) 2‐3 complaints monthly. 2‐3 containers are missed during weekly service during the months of May ‐ October and monthly during the months of November through April. Progress or Status Meetings may be conducted to identify/correct issues. The result of perfomance is a Rating of 2, and a 10% payment reduction for the applicable month will result. If the contractor receives no more than three Ratings of 2 during any contract period (e.g., Base Year and/or any Option Year period) a Rating of 1, fully acceptable may be achieved. Four or more Ratings of 2 shall constitute a Rating of 2, Satisfactory for the applicable contract period (e.g., Base Year or Option Year period).

Rating 3 (Unsatisfactory) Four or more complaints per month. Four or more containers are missed during weekly service in the months of May ‐ October and monthly during the months of November through April. Performance Standards for Rating 1 or Rating 2 are not met. A Rating of 3 will result in a 20% payment reduction for the applicable month. The Contractor will be notified in writing; the COR will prepare a Contract Discrepancy Report (CDR). The Contractor will submit a corrective action plan within 5 business days. A Rating of 3 for three or more months during any contract period (e.g., Base Year and/or any Option Year period) will result in a negative overall performance rating.

Collection area free of litter and waste.

Gates of any fenced enclosure are closed or latched after each collection.

Container lids are closed and secured with bear lock systems engaged.

• No Litter or waste on the ground within a ten‐foot radius of the container following collection.

• Defective containers are removed immediately for repair, or are replaced within one working day upon notification or discovery.

• Maximum of one missing unit per location at a time.

• Site monitoring & visual inspection by Park staff; Equipment inspected and/or tested by Park staff

• Visitor notification/complaint

TASK 2

Rating 1 (Exceptional) Tasks/Deliverables meet all contract terms & conditions. The result is a positive performance rating & full payment. No Litter or waste on the ground within a ten‐foot radius of the container following collection (to include broken glass). Containers identified as not meeting bear proof requirement or defective containers are removed immediately for repair or are replaced within one working day upon notification or discovery.

Rating 2 (Satisfactory) One inspection per month resulting in litter or waste on ground within 10‐foot radius of container following collection (to include broken glass).

Two (2) containers not meeting bear proof requirements at any site. Defective units are replaced within 2‐4 working days of notification or discovery.

Progress or Status Meetings may be conducted to identify/correct issues. The result of performance is a Rating of 2, and a 10% payment reduction for the applicable month will result. If the contractor receives no more than three Ratings of 2 during any contract period (e.g., Base Year and/or any Option Year period) a Rating of 1, fully acceptable may be achieved. Four or more Ratings of 2 shall constitute a Rating of 2, Satisfactory for the applicable contract period (e.g., Base Year or Option Year period).

Rating 3 (Unsatisfactory) More than one visual inspection resulting in litter or waste on ground (to include broken glass) within 10‐foot radius of container per month.

Three or more containers not meeting bear proof requirements at any site and/or more than two missing containers per site per month and not replaced within five (5) or more working days past notification or discovery, shall constitute unacceptable performance. Equipment is out of compliance with contract terms and conditions and does not meet Performance Standards for Rating 1 or Rating 2.

A Rating of 3 will result in a 20% payment reduction for the applicable month. The Contractor will be notified in writing; the COR will prepare a Contract Discrepancy Report (CDR). The Contractor will submit a corrective action plan within 5 business days. A Rating of 3 for three or more monts during any contract period (e.g., Base Year and/or any Option Year period) will result in a negative overall performance rating.

Maintenance of all equipment and containers in good, workable condition.

Trucks and contractor‐ provided containers should be washed and reasonably free of odors.

• Visitors and staff can open and shut containers doors with normal effort. (A defective unit is one that can’t be used with normal effort by a person; bear latches don’t secure properly, or it does not seal properly to contain odors/smells.)

• Defective unit replaced within 1‐2 working days upon notification or discovery.

• Odors/smells are not noticeable by adjacent activities (boat launches, campsites, picnic areas, etc.)

• Site monitoring & visual inspection by Park staff; Equipment inspected and/or tested by Park staff

• Visitor notification/complaint

TASK 3

Rating 1 (Exceptional) Tasks/Deliverables meet all contract terms & conditions. The result is a positive performance rating & full payment. Defective equipment is replaced within 1‐2 working days of notification or discovery.

Rating 2 (Satisfactory) Defective equipment is replaced within 3‐4 working days of notification or discovery.

Progress or Status Meetings may be conducted to identify/correct issues. The result of performance is a Rating of 2, and a 10% payment reduction for the applicable month will result. If the contractor receives no more than three Ratings of 2 during any contract period (e.g., Base Year and/or any Option Year period) a Rating of 1, fully acceptable may be achieved. Four or more Ratings of 2 shall constitute a Rating of 2, Satisfactory for the applicable contract period (e.g., Base Year or Option Year period).

Rating 3 (Unsatisfactory) Defective equipment is replaced 5 or more working days past notification/discovery, or is not replaced at all. A Rating of 3 will also result if eight or more units are defective annually. Performance Standards for Rating 1 or Rating 2 are not met. A Rating of 3 will result in a 20% payment reduction for the applicable month. The Contractor will be notified in writing; the COR will prepare a Contract Discrepancy Report (CDR). The Contractor will submit a corrective action plan within 5 business days. A Rating of 3 for three or more months during any contract period (e.g., Base Year and/or any Option Year period) will result in a negative overall performance rating.

Provide Reports and Records with all required information in a timely manner. Recycling Report is submitted monthly and includes monthly collected tonnage. Weight tickets are submitted monthly.

• Reports submitted on or before the fifteenth (15th) calendar day of each month following the month of service.

• CO/COR receipt of Contractor's monthly Recycling Report on or before the fifteenth calendar day of each month following month of service.

• CO/COR receipt of all Weight Tickets & gross proceeds received for recyclable sales per type of material if available for the month.

• CO/COR review & analysis of reports for inclusion of required information

TASK 4

Rating 1 (Exceptional) Tasks/Deliverables meet all contract terms & conditions. The result is a positive performance rating & full payment. Reports are submitted and received by the CO/COR on or before the fifteenth (15th) calendar day of each month following the month of service.

Rating 2 (Satisfactory) Reports are submitted and received by the CO/COR between the sixtheenth (16th) and twentyieth (20th) calendar days of each month following the month of service.

Progress or Status Meetings may be conducted to identify/correct issues. The result is a Rating of 2, and a 10% payment reduction for the applicable month will result. If the contractor receives no more than three Ratings of 2 during any contract period (e.g., Base Year and/or any Option Year period) a Rating of 1, fully acceptable may be achieved. Four or more Ratings of 2 shall constitute a Rating of 2, Satisfactory for the applicable contract period (e.g., Base Year or Option Year period).

Rating 3 (Unsatisfactory) Reports are submitted and received by the CO/COR after the twentyieth (20th) calendar day of each month following the month of service, or not at all, resulting in non‐compliance with contract terms and conditions.

Performance Standards for Rating 1 or Rating 2 are not met. A Rating of 3 will result in a 20% payment reduction for the applicable month. The Contractor will be notified in writing; the COR will prepare a Contract Discrepancy Report (CDR). The Contractor will submit a corrective action plan within 5 business days. A Rating of 3 for three or more months during any contract period (e.g., Base Year and/or any Option Year period) will result in a negative overall performance rating.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

RECYCLING SERVICES (BASE YEAR & ONE OPTION YEAR), YELLOWSTONE NATIONAL PARK

4. METHODS OF QA SURVEILLANCE.

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR shall always contact the contractor's task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with assistance from the COD CS, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard/AQL. The following surveillance methods shall be used with their corresponding performance standard requirements listed, by number, following each method. The COR may change surveillance methods after contract award to provide better review of contract compliance with the AQL’s.

a. DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

• All unscheduled maintenance items and any spills

b. INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

c. USER SURVEY. (Combines elements of validated user complaints and random sampling.

Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory. May also generate periodic and 100% inspections.)

d. VALIDATED USER/CUSTOMER COMPLAINTS. (Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated. Highly applicable to services provided in quantity and where quality is highly subjective.)

e. 100% INSPECTION. (Evaluates all outputs. Most applicable to small quantity, but highly important services. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security.)

• All unscheduled maintenance tasks and spills

f. Progress or status meetings.

• Items related to season change from summer to winter, etc

Surveillance results may be used as the basis for actions (to include payment deductions) against the contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the Contracting Officer’s actions.

5. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

EXCEPTIONAL: Performance significantly exceeds contract requirements to the Government’s benefit.

SATISFACTORY: Performance meets contractual requirements.

UNSATISFACTORY: Performance does not meet contractual requirements.

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

• UNACCEPTABLE PERFORMANCE.

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

When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the contractor's task manager or on-site representative. A CDR template is attached to this QASP.

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

Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, or other actions deemed necessary by the CO.

7. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract/order performance, the COR shall take periodic measurements, on a daily, weekly, or a variable basis- as specified in the AQL summary of the Performance Standards

All performance requirements shall be rated to the following rating system. Note that most performance items are either unsatisfactory or satisfactory (such as checking fluid levels on boilers, checking for leaks, etc.). These items shall be rated as such, however the exceptional rating shall be used when there are varying levels of performance on those work items (changing lightbulbs and ballasts as soon as they go out, rather than waiting weeks, etc.).

6. DOCUMENTING PERFORMANCE

• ACCEPTABLE PERFORMANCE.

Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed. Frequency of measurement shall be done to ensure AQL’s are being met, and contract compliance is being met.

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the contractor on an annual basis to assess performance and shall provide a written assessment.

1. CONTRACT NUMBER:

2. Prepared by: (Name of COR)

3. Date and time of observation:

4. Observation:

Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>

Prepared by:

Signature – Contracting Officer’s Representative Date

(EXAMPLE) PERFORMANCE REPORT

(EXAMPLE) CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number:

2. TO: (Contractor Task Manager or on-site representative)

3. FROM: (Name of COR)

4. Date and time observed discrepancy:

5. DISCREPANCY OR PROBLEM:

5. Corrective action plan:

A written corrective action plan < is / is not > required.

< If a written corrective action plan is required include the following. > The written Corrective Action Plan will be provided to the undersigned not later than days from receipt of this CDR.

Prepared by:

Signature – Contracting Officer’s Representative Date

Received by:

Signature - Contractor Task Manager or on-site representative Date

< The COR may initiate a CDR at any time, including whenever the number of monthly recorded defects for a performance standard exceeds the allowable number of defects;

anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in contractor performance.>