Attachment_3_-_Quality_Assurance_Surveillance_Plan.pdf

Attachment 3 Page 1 of 10

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

INTEGRATED SOLID WASTE MANAGEMENT

(REFUSE)

Columbus AFB, Mississippi

2 June 2017

Attachment 3 Page 2 of 10

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

INTEGRATED SOLID WASTE MANAGEMENT

(REFUSE)

Columbus AFB, MS

1. Objective: The objective of this service is to provide Integrated Solid Waste Management

(ISWM) Municipal Solid Waste (MSW) Collection at Columbus AFB MS. This plan sets forth the procedures and guidelines the Government will use in ensuring the required performance standards or services levels are achieved by the Contractor.

2. 1.1. Purpose: This Quality Assurance Surveillance Plan (QASP) has been developed to evaluate Contractor actions while implementing the Performance-based Work Statement (PWS).

It is designed to provide an effective surveillance method of monitoring Contractor performance for each listed objective on the Service Summary (SS) in the ISWM contract. The QASP provides a systematic method to evaluate the services and products the Contractor is required to furnish.

This QASP is based on the premise that the Contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The role of the government quality assurance is to ensure that contract standards are achieved. In this contract, the Quality Control Program (QCP) is the driver for service quality. The Contractor is required to develop a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the QCP, approved at the beginning of the contract, provides the measures needed to lead the Contractor to success. Once the quality control program is approved, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program. Additionally, the Contractor is expected to be a partner with the base community in continuously improving the quality of programs and services offered to customers and furthermore, the Contractor shall not perform any inherently governmental functions.

3. Goals of the Multi-functional Team: The multi-functional team (MFT) was established and meetings were held under the title of Business Strategy Planning Sessions (BSPS). The goals of this team are to manage this and other Civil Engineers (CE) Squadron contracts and to provide an avenue to collectively work together to create a strong working relationship between the using agency, contracting and the Contractor and provide the highest level of contract performance and customer service. The Business Requirements and Advisory Group (BRAG) is a sub-group of the

MFT formed specifically for this contract. Upon award of the contract, the Contractor will become a member of this BRAG.

4. Multi-functional Team Members and their Responsibilities. The membership, goals and responsibilities of the MFT members are outlined in the MFT Charter.

Performance Assessment (Service Summary (SS)):As a minimum, the COR will monitor, review and report on the Contractor’s performance and compliance of all Service Summary (SS) items shown below. The service requirements summarized below are the critical performance objectives that relate directly to mission essential items. The performance thresholds referenced in the table briefly describes the minimum acceptable levels of service required for each service requirement. The performance thresholds established for each of the performance objectives are

Attachment 3 Page 3 of 10 the number of defects permitted before the COR notifies the CO in accordance with FAR 52.246-

4, Inspection of Services - Fixed Price. (revised in accordance with contract type, i.e., cost vs fixed price) Contractor monthly payments will be adjusted based upon the performance thresholds established in the SS for any performance objective that the number of allowable defects is exceeded for a given month.

Performance Objective PWS para. Performance Threshold Method of Assessment

SS-1 Collect Municipal Solid Waste in accordance with the established schedule.

1.1.

No more than 2 customer complaints monthly.

Periodic Assessment, Valid

Customer complaint

SS-2 Dispose of Municipal Solid

Waste in accordance with the established governing directives.

1.3 No more than 2 customer

complaints monthly.

Periodic Assessment, Valid Customer complaint

SS-3 Maintain equipment in good workable condition.

Trucks and solid waste containers washed and free of odors.

1.4 No more than 2 customer

complaints monthly.

Periodic Assessment, Valid

Customer complaint

SS-4 Perform unscheduled collections required by the contracting officer in accordance with paragraph

1.1.3.1 100% deficiency free

(Delivery order shall not be accepted until all deficiencies are corrected.)

100% Inspection

SS-5 Produce/maintain reports and records by tenth working day of the month

1.5 No more than 1 valid defect per

quarter

100% Inspection

4.1. Methods of Surveillance:

4.1.1. Customer Complaint

4.1.1.1. The COR shall ensure that Facility Managers receive instructions regarding the Customer

Complaint process and procedures. This training will include points of contact and instructions on submitting customer complaints. Facility Managers will then be responsible for providing this information to facility occupants.

4.1.1.2. The COR will validate complaints upon receipt from customers. If the complaint is not valid, then the COR shall provide the customer with an appropriate explanation (e.g., task is not included in the PWS). The COR should inform the customer of the approximate time in which the defect(s) will be corrected and that the customer should notify the COR if any defect is not corrected appropriately. Unless notified otherwise by the customer, the complaint will be considered resolved and noted as such in the COR’s monthly performance assessment.

4.1.1.3. The COR will verbally notify the Contractor’s Contract Manager (CM) of all validated customer complaints and provide a copy of the complaint as requested. The Contractor shall be given two hours after notification to remedy the complaint. If additional time is required to take

Attachment 3 Page 4 of 10 appropriate action, the CM must submit a remedy plan for approval by the COR that justifies the delay.

4.1.1.4. If there is a question regarding the validity of customer complaints, the COR shall make the final determination. If the customer or Contractor disagrees with the COR’s determination, then the dispute will be referred to the CO for a final decision.

4.1.2. Periodic Inspection. The COR will make periodic inspections each month to ensure that services are received in accordance with the Contractor’s QCP using a checklist developed from

it. If the Contractor is not meeting the performance threshold, then the COR would notify the CO for remedy. For those areas not specifically defined, the COR will use the Inspection of Services clause as authority to inspect. The COR will record results of inspection, noting the SS item;

COR’s name; contractor point of contact, if applicable; and date and time of inspection. If the

Contractor disagrees with any of the COR’s findings, then the dispute will be referred to the CO for a final decision. Copies of the completed inspection checklists will be attached to the COR’s monthly performance assessments.

4.1.3. 100 Percent Inspection. All miscellaneous workload tasks shall be inspected immediately after the Contractor has notified the COR that they are complete. All deficient tasks with a 100 percent performance threshold will be re-performed immediately and reported to the CO for remedy as appropriate. When utilizing this method of surveillance, the COR shall inspect items every instance they occur. The COR will determine technical acceptability and compliance based on the performance threshold. All inspections shall be documented on a PAR and become part of the COR File in CORTT.

4.1.4. Surveillance of Non-SS Items. All other tasks required under the PWS may be inspected on a random basis at a frequency determined by the Functional Commander (FC), CO or the COR.

The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. The ordering activity shall perform inspections and tests as specified in the order’s quality assurance surveillance plan in a manner that will not unduly delay the work. Therefore, the COR will conduct surveillance for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in paragraph 5, Remedies for Non-Conformance.

5. Remedies for Non-Conformance. If the Contractor’s performance does not conform to the

SS objectives or shows a pattern of non-conformance (i.e., the same deficiencies in subsequent inspection periods), then the COR shall notify the CO for remedy in accordance with FAR

52.212.4, Contract Terms and Conditions-Commercial Items. The Government may require the

Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount.

5.1. When the defects in services cannot be corrected by re-performance, the Government may

5.1.1. Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

Attachment 3 Page 5 of 10

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

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

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

5.2.2. Terminate the contract or task order for default.

6. Performance Assessment Approach

6.1. Initial Contract Performance Review (30-Day Review). In accordance with AFI 63-138, Acquisition of Services, paragraph 6.4, within 30 days after the contractor assumes full performance responsibilities, an Initial Contract Performance Review will be conducted. The review is a determination by the MFT that the Contractor successfully started performance, has completed transition, is fully operational, and is within the estimated cost, schedule and performance parameters of the contract. (NOTE: The Initial Contract Performance Review electronic form is located on 14th Contracting Squadron SharePoint > Customer Education >

Quality Assurance Program Coordinator (QAPC) > Templates.) Contract Performance

Assessment Values:

NOTE: Any “Red” assessment shall include the Government proposed actions for the failing contractor.

6.2. Contracting Officer’s Representative (COR) Monthly Surveillance. The COR will summarize and document the Contractor’s performance during monthly performance assessments, which will be included as part of the COR file, then incorporated into the official contract file after contract closeout. If assessments indicate unacceptable performance, the COR will notify the

Contractor’s CM of the deficiencies for correction. The Contractor shall be given an appropriate time frame (depending on the discrepancy identified) after notification to correct the unacceptable performance. If deficiencies are not corrected within the required time frame, the COR should notify the Contracting Officer (CO) for action.

6.3. Contract Performance Assessment Reporting System (CPARS). CPARS will be updated at least annually documenting contractor performance for this specific contract. The following areas will be rated on CPARS as applicable: quality of product/service, schedule, cost control, management of key personnel/government furnished equipment/government furnished property, utilizational of small business, regulatory compliance and business relations. More frequent

Rating Description

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 mitigation or corrective action plan.

NOTE: Any “red” assessment shall include the Government proposed actions for the failing contractor.

Attachment 3 Page 6 of 10 updates may be made as required to document a significant improvement or degradation of the level of contract performance. The Assessing Official Representative will be the COR; the

Assessing Official will be the CO; and the Reviewing Official will be the Acquisition Flight Chief, the Director of Business Operations, or the 14th Contracting Squadron Commander. The contractor representative also has input prior to this report being finalized. The COR will have access to CPARS training information prior to initiating a CPARS and will be expected to become familiar with the guidelines and instructions provided. (NOTE: Notify the QAPC if you require access to CPARS.)

6.4. Joint Surveillance. Periodically, the CO, contracting specialist and/or the QAPC may accompany the COR during inspections. This is to ensure the COR is performing surveillance in accordance with this QASP.

6.5. Surveillance Plan Performance Objectives. The COR will review Surveillance Plan

Performance Objectives, assess their applicability and recommend the addition or subtraction of

Performance Objectives as conditions warrant. This review must be accomplished annually as a minimum.

6.6. Special Audits. The COR must be alert to conditions that would warrant a special quality audit. Any time the COR observes that a functional area is out of acceptable tolerance or that the technical expertise is not available, a request for a functional area quality audit should be addressed to the CO.

6.7. Performance Assessment Folders. A performance assessment folder or CORT Tool

(inspection file) must be developed and maintained by the primary COR. The contract administrator will review the COR’s surveillance to ensure surveillance is properly conducted and documented, and contractor performance is within acceptable levels. This review will be documented and acknowledged by the CO, QAPC and FC.

6.8. Contractor Performance Metrics. CORs will furnish monthly to the FC, the Contractor’s performance metrics of SS items, analysis of trends discovered in surveillance, Corrective Action

Reports (CARs) issued, and summary of Contractor’s performance. Program Manager will consolidate COR reports and provide a status of the Contractor’s performance to the CO by the fifth working day of the next month.

6.9. Contractor Quality Control Plan. In accordance with the PWS, the Contractor shall establish and maintain a QCP to ensure the requirements of the contract are provided as specified. The

Contractor shall provide a QCP describing the inspection system for the requested services listed in the PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of unacceptable services. The Contractor shall update the plan as changes occur and changes shall be submitted for review and acceptance by the CO. In this contract, the contractor’s quality control program is the driver for service quality. The Contractor is required to develop a comprehensive program of inspections and monitoring actions and quality control program. This quality control program submitted at the beginning of the contract, provides the measures needed to lead the contractor to success. Once the quality control program is accepted, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program.

Attachment 3 Page 7 of 10

6.9.1. The Contractor’s QCP shall contain, as a minimum, the following items:

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

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

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

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

6.10. Combating Trafficking in Persons. The COR shall monitor the contractor’s performance regarding trafficking in persons to ensure compliance with FAR clause 52.222-50, Combating

Trafficking in Persons (CTIP). Should the COR believe that the contractor is not in compliance with 52.222-50, the COR will immediately bring the issue directly to the CO for further action.

The CO shall report the incident to the proper investigative authorities and chain of command should there be strong reason to believe a violation has or is occurring.

7. Performance Management

7.1. Market Research. Market research will be used as a tool throughout the life of the contract to ensure to remain current with the most efficient and effective assessment methods and techniques of the commercial marketplace. As a minimum, market research will be conducted annually prior to exercising the option periods.

7.2. Multi-functional Team Meetings. The MFT and contract-specific BRAG will manage the contract for the life of the contract. This team will form a partnership between the Government and the Contractor to ensure the best possible service is provided.

7.2.1. All performance assessment data will be reviewed at these meetings. If performance improvement is necessary a plan of action will be created. The MFT will continually review data and procedures to improve efficiency. If MFT meetings are required more often than annually, they will be scheduled. The MFT will meet as needed throughout the life of the contract.

7.2.2. The goal of the MFT is to give all members, Government and Contractor, 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.

7.3. Disputes. 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 to increase the opportunity mutually agreeable resolutions to disputes that are relatively inexpensive and expeditious. If no resolution can be made under ADR, the CO shall be notified for a final decision.

Attachment 3 Page 8 of 10

8. CERTIFICATION/ACCEPTANCE OF SERVICES

Certification of services is performed by the COR via the Wide Area Work Flow (WAWF) system.

In accordance with Department of Defense Federal Acquisition Regulation Supplement (DFARS)

252.232-7003, Electronic Submission of Payment Requests and Receiving Reports, at the end of each billing period, the Contractor shall submit payment requests (invoices, receiving reports or combos) via Wide Area WorkFlow e-Business Suite/Invoicing, Receipt, Acceptance, and Property

Transfer (iRAPT). WAWF automatically notifies the COR via email of pending payment request.

The COR shall access WAWF within seven calendar days of the notification to verify accuracy of contractor’s data. If data is correct, the services are received and accepted by the COR, and the invoice is processed for payment by Defense Finance Accounting System (DFAS). If the contractor’s invoice contains errors, the COR shall consult with the contractor to mutually rectify the data. If the contractor disagrees with the COR, the issue is forwarded to the CO for resolution.

Most importantly, the COR must NOT approve a contractor's payment until all goods are received and/or all services have been rendered.

The COR is responsible for scheduling and completing WAWF training at https://wawf.eb.mil/.

Instructions are provided on the website if you are new to the WAWF system. If additional guidance is needed, contact the resource advisor or local financial management office.

9. Plan Revisions. Revisions to the QASP are the joint responsibility of the MFT. The COR should provide recommendations for improving the PWS and QASP through the FC to the CO for review. This is a living document that may be changed at any time with proper coordination and approval; however, if changes are made to the QASP or to the PWS, the COR and CO must ensure that the QASP corresponds with the requirements of the PWS throughout the life of the contract.

Attachment 3 Page 9 of 10

APPENDIX A

ACRONYMS

ADR Alternate Dispute Resolution

AFI Air Force Instruction

BRAG Business Requirements and Advisory Group

BSPS Business Strategy Planning Session

CAR Corrective Action Report

CE Civil Engineers

CM Contract Manager

CO Contracting Officer

COR Contracting Officer’s Representative

CORT Tool Contracting Officer’s Representative Tracking Tool

CPARS Contractor Performance Assessment Reporting System

CTIP Combating Trafficking in Persons

DFARS Department of Defense Federal Acquisition Regulation Supplement

DFAS Defense Finance Accounting System

FAR Federal Acquisition Regulation

FC Functional Commander iRAPT Invoicing, Receipt, Acceptance, and Property Transfer

ISWM Integrated Solid Waste Management

MFT Multi-functional Team

MSW Municipal Solid Waste

PWS Performance Work Statement

QAPC Quality Assurance Program Coordinator

QASP Quality Assurance Surveillance Plan

Attachment 3 Page 10 of 10

QCP Quality Control Plan

SS Services Summary

WAWF Wide Area Workflow