Attach_4_QASP.doc

FA4528-16-R-0004

Attachment 4

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

FOR

Integrated Solid Waste Management Services

(ISWM)

At

Minot AFB North Dakota

1 February 2016

Coordination and Review: See Signature Page on back

TABLE OF CONTENTS

1.0 PURPOSE

2.0 MULTI-FUNCTIONAL TEAM MEMBERS & RESPONSIBILITIES

3.0 SERVICE SUMMARY (SS) & METHOD OF ASSESSMENT

4.0 UNACCEPTABLE PERFORMANCE REMEDIES

5.0 CERTIFICATION/ACCEPTANCE OF SERVICES

6.0 PERFORMANCE MANAGEMENT

7.0 CONTRACTOR’S QUALITY CONTROL PLAN (QCP)

8.0 COMBAT TRAFFICKING IN PERSONS (CTIP)

MULTI-FUNCTIONAL TEAM SIGNATURE PAGE

1.0

PURPOSE

1.1 This Quality Assurance Surveillance Plan (QASP) has been developed to provide an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract. This QASP implements the requirements of Mandatory Procedures (MP) 5301.602-2(d) and MP5346.103 with respect to the Government’s quality assurance requirements.

1.2 This QASP is based on the premise that the Contractor is responsible for contract management and quality control actions necessary to meet the terms of the contract, not the Government. The Government’s objective in having the service provided is to survey activities to provide sufficient assurance to justify acceptance/rejection of the Contractor’s integrated solid waste management services. Based on quality data trends, the frequency and methods of Government surveillance may be changed. Failure to provide quality services could result in termination of the contract and other monetary repercussions. Results that the Multi-Functional Team (MFT) is striving to achieve in managing the acquisition is to assure the Contractor obtains an acceptable level of performance, meets the stated qualifications, and are available to provide services according to Air Force needs. A contract to provide the service is the best means of achieving this objective and results.

1.3 The Contractor is encouraged to manage costs and resources effectively while meeting government expectations. The Contracting Officer Representative (COR) shall inspect by watching actual task performance, physically checking an attribute of the completed task, checking a management information report, investigating customer complaints, conferring with facility managers, or otherwise inspecting the task or its results to determine whether or not performance meets the standards contained in the Performance Work Statement (PWS). This QASP provides the Government with an objective and recordable means for reducing the Contractor’s profits for repeated non-performance. Conversely, Contractor s has an incentive to utilize their resources in a cost effective manner to increase profit.

1.4 This QASP describes the method(s) used to evaluate Contractor provided services in meeting performance objectives and performance thresholds. The COR will use periodic inspection assessment methods to evaluate the Contractor’s performance. The assessment procedures identified in this QASP, with active application of the Contractor’s quality control procedures are intended to ensure acceptable Contractor performance.

1.5 The role of Government quality assurance is to ensure contract standards are achieved. In conducting assessments, CORs are to be objective, fair, and consistent in evaluating Contractor performance against the performance standards.

1.6 This QASP is a living document and shall be revised or modified by members of the MFT as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained.

1.7 The COR shall input the appropriate information into the Contracting Officer Representative Tracking (CORT) Tool for this contract.

2.0

MULTI-FUNCTIONAL TEAM (MFT) MEMBERS AND RESPONSIBILITES

(Reference AFI 63-138, Paragraph 6.3)

Contracting Officer (CO)

Contract Administrator (CA)

Quality Assurance Program Coordinator (QAPC)

Contracting Officer Representative (COR)

COR Supervisor

Contractor (For partnering purposes only, the Contractor has a limited role.)

2.1 Initial Contract Performance Review – The MFT will meet to determine that the Contractor has successfully started performance, completed transition, is fully operational, is within the Firm-Fixed-Price (FFP) schedule, and performance parameters of the contract per AFI 63-138, Paragraph 6.4. This item may be waived by the Contracting Services Designated Official (SDO) for Contractor s that have continued performance under a successor contract as the incumbent and have otherwise demonstrated full compliance with contract start-up.

3.0 SERVICE SUMMARY (SS): The contract service requirements are summarized in performance objectives that relate directly to the mission. The performance threshold briefly describes the minimally acceptable levels of service required for each requirement. The SS and the Contractor’s Quality Control Plan (QCP) provide information on contract requirements, the expected level of Contractor performance and the expected method of Government surveillance and confirmation of services provided. These thresholds are critical to mission success. Procedures as set forth in the Federal Acquisition Regulation (FAR) 52.212-4 (a), Contract Terms and Conditions - Commercial Items, Inspection/Acceptance, will be used to remedy all deficiencies. During the first initial 30 days of the contract, two additional errors on each task shall be allowed in an effort to identify normal phase-in problems.

The SS cites the key performance objectives and the associated thresholds that must be attained, over which the Government shall exercise surveillance. The absence of any contract requirement from the SS shall not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract.

Threshold

Within 1 day of notification Customer Complaint

Within 1 day of notification Customer Complaint

3.1 Assessment Schedule.

3.1.1 The COR will develop a Monthly Surveillance Schedule based on this QASP’s requirements. A locally devised form may be used. The schedule shall be completed no later than 7 calendar days before the beginning of the period it covers. Surveillance Schedules, when completed, shall be marked “For Official Use Only”, and shall not be shown to the Contractor. Copies of the surveillance schedule shall be provided to the COR Supervisor and the Contracting Officer (CO), and input into the CORT Tool prior to the start of the surveillance period.

3.1.2 Changes to the Monthly Surveillance Schedule shall be posted promptly. Copies of the changed schedule shall be sent to the COR Supervisor and the CO. The COR shall document the reason(s) for changes of the surveillance schedule, and maintain the documentation in the COR files with the corresponding changed surveillance schedule.

3.2 Assessment of Service Summary (SS) Items.

3.2.1 It is essential for the CORs to conduct surveillance IAW the projected surveillance schedule for an effective quality assurance program. Mission requirements may require deviations from the surveillance schedule. Surveillance should be performed as close to the schedule as is practicable. The COR shall document the surveillance as it is conducted and update in the CORT Tool monthly.

3.2.2 The COR shall conduct surveillance of the Contractor’s performance by determining whether or not the performance meets the standards contained in the contract, the PWS, and the SS items. The COR is required to notify the Contract Administrator (CA) each month regarding the acceptability of service. The CA will review Monthly Assessment Reports (AR) initiated by the COR to ensure the COR is documenting the number of acceptable/unacceptable observations/non-performance of PWS requirements. The AR will be in the form of a letter signed by the COR. Any customer complaints and/or corrective action reports will be attached to the AR by the COR. If the Contractor exceeds the performance threshold for any of the SS in any one month period the CO may take action.

3.2.2.1 Quality Assurance. The Government shall inspect and evaluate the Contractor’s performance to ensure services are received IAW requirements set forth in this contract. The COR shall inspect by watching actual task performance, physically checking an attribute of the completed task, checking a management information report, investigating customer complaints, conferring with facility managers, or otherwise inspecting the task or its results to determine whether or not performance meets the standards contained in the PWS. The COR will use the Contractor’s work schedule or modified version thereof, to record surveillance results. Results of the surveillance then become the official Air Force record of the Contractor’s performance. When a performance threshold has not been met or Contractor performance has not been accomplished, the COR will initiate and provide the Contractor a Corrective Action Report (CAR) and forward the CAR and the Contractor’s response to the CO. The Contractor shall respond to the CAR IAW instructions provided and return it to the CO within 10 calendar days of receipt.

3.3 Surveillance Methods.

3.3.1 Periodic Surveillances. This method requires the COR to employ a “spot check” style of evaluation based on the Contractor’s schedule. Periodic surveillances will be conducted on a scheduled basis (daily, weekly, monthly, quarterly, semi-annual or annually) and may be adjusted, based on quality trends.

Any unsatisfactory inspection (defect) result shall be recorded, and the Contractor shall re-perform the service within 2 hours after notification by the COR.

Failing to meet the performance threshold as outlined in the SS for any of these performance objectives in any one month period shall result in a warning or letter of concern from the Contracting Officer.

Failing to meet the performance threshold as outlined in the SS of these performance objectives in any combination for any two, or more consecutive or non-consecutive months during a contract period shall constitute an immediate Progress Meeting with the MFT. All remedies shall be in accordance with the FAR 52.212-4 (a), Contract Terms and Conditions - Commercial Items, Inspection/Acceptance.

3.3.2 Customer Complaint. The COR will receive and investigate complaints. The COR shall be responsible for initially validating customer complaints. The CO shall make final determination of the customer complaint(s) in cases of disagreement with the COR and the Contractor.

Exceeding the performance threshold of the Performance Objectives in any one month period the CO may take action.

3.3.3 One Hundred Percent Inspection (If applicable to the Service Summary). This method requires the COR to review every occurrence. If the performance threshold is not attained for the performance objective the CO may take action.

3.4 Periodic Progress Meetings. The CO, COR Supervisor, COR, other Government personnel from the MFT, and the Contractor shall periodically, but not less than annually, meet to discuss the Contractor’s performance. The following issues shall be discussed; opportunities to improve the contract, any modifications required of the contract, unsatisfactory inspections against each performance objective observed and steps taken by the Contractor to prevent occurrences in the future. The Contractor shall provide a summation of unsatisfactory inspections and provide insight into any identified trends.

At these meetings the CO will inform the Contractor of how the Government views the Contractor’s performance and the Contractor will inform the Government of problems, if any, being experienced. The Contractor will also notify the CO, in writing, of any work being performed, if any, that the Contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues.

The minutes of these meetings will be reduced to writing, signed by the CO and any other signatures as deemed appropriate, distributed to the functional area and the Contractor. Should the Contractor not concur with the minutes, the Contractor will provide a written notification to the CO identifying areas of non-concurrence for resolution.

4.0 Remedies for Unacceptable Performance.

4.1.1 IAW the contract Inspection of Services, if any of the services do not conform to contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of Contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may:

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

4.1.1.2 Reduce the contract 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.

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

4.1.2.1 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

4.1.2.2 Decrease the invoice as stated in the PWS related to performance; or

4.1.2.3 Terminate the contract.

5.0 CERTIFICATION/ACCEPTANCE OF SERVICES

5.1 The customer (COR or Resource Advisor (RA) will certify receipt of Contractor services via the Wide Area Workflow (WAWF) website (select the iRAPT option). The certification will be accomplished via the WAWF website (https://wawf.eb.mil/). Certification of services shall be accomplished on the first workday following the submission of the invoice by the Contractor, to avoid payment of interest penalties.

6.0 PERFORMANCE MANAGEMENT This section identifies the use of performance measurement information to effectively obtain a positive change in organizational culture, systems, and processes, by helping to set agreed upon performance goals and sharing results of performance in pursuing those goals.

6.1 Market Research. On-going market research is conducted to ensure the contract requirements remain current with commercial standards, practices and industry performance evaluation methods.

6.2 COR Records Review. The CA will review the CORs files periodically, but no less than semi-annually to ensure completeness and 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 or Quality Assurance Program Coordinator (QAPC). As a minimum, the file will contain the following:

(a) Contractor Quality Control Plan (QCP) (b) Quality Assurance Surveillance Plan (QASP)

(c) Performance Work Statement (PWS)

(d) Request for CORs, COR Nomination Letters, COR Designation Letters, & COR Termination Letters

(e) COR training certificates, refresher certificates, & COR Supervisor Certificates for each COR (group by COR) (f) Correspondence between COR and Contractor & Correspondence to or from the CO/CA

(g) COR Monthly Schedules

(h) Records of Inspections, Surveillances, Schedules (if applicable) and the results

(i) Progress Meeting Minutes – to include other meetings

(j) Contract and all Modifications (in sequence, with most current mod on top)

(k) Delivery/Task Orders (DO/TO) & all DO/TO Modifications (if a “D” Type Contract, sequentially, with most current mod on top)

(l) My Invoice & WAWF Documentation (if required)

(m) All other documentation of actions taken by COR (PARs, CARs, Safety Issues, etc.)

(n) Customer Complaints

(o) Letters of Concern from CO (when applicable)

(p) Contractor Performance Assessment and Reporting System (CPARS) (when applicable – contract value over $1M)

(q) Past Documentation

6.3 Performance Feedback: The COR is advised to maintain/track a narrative summary of Contractor performance throughout the contract and retain it in their files. The COR will also keep the COR Supervisor informed of all performance assessments. This information is strictly a tool to support annual Contractor ratings in CPARS and provide a snapshot view of Contractor’s performance.

Performance

Element Description

6.3.1 Performance Ratings. Contractor ratings and criteria are described below:

Performance

Rating Criteria

7.0

CONTRACTOR ’S QUALITY CONTROL PLAN

7.1 CONTRACTOR QUALITY CONTROL PLAN (QCP). The Contractor shall develop and maintain a quality control plan to ensure ISWM services are performed IAW commonly accepted commercial practices and services identified in the PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-performance and continual repeat of defective service does not occur. A written QCP shall be submitted to the CO for review, feedback and approval. The plan shall be submitted with the Contractor’s proposal at time of solicitation. The plan shall specifically address the Contractor’s strategy to provide quality workmanship, continual process improvement and for correcting deficiencies as required.

8.0 Combating Trafficking in Persons (CTIP): The COR will verify and monitor that the Contractor has policies and procedures in place to prohibit any activities on the part of Contractor employees that support or promote trafficking in persons as part of ongoing surveillance of performance of contract services. The Contractor or the COR shall immediately bring to the attention of the CO any non-compliance with contract clause FAR 52.222-50, Combating Trafficking in Persons. Additional information on DoD’s efforts to combat trafficking in persons can be found at the following website: http://www.dodig.mil/programs/CTIP/index.html and the DFARS Procedures, Guidance, and Information 222.17. This required training is available in Advanced Distributed Learning Services https://golearn.adls.af.mil/kc/rso/login/ADLS_login.asp.

MULTI-FUNCTIONAL TEAM

SIGNATURE PAGE

CO

Contract Administrator

Quality Assurance Program Coordinator (QAPC)/Subject Matter Expert (SME)

COR Supervisor

CO Representative (Primary)

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