Attach_4_-_QASP.pdf

Attachment 4 – QASP FA4620-13-Q-A019

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

For

REFUSE COLLECTION AND DISPOSAL SERVICES

Fairchild AFB, WA

1. Purpose. This Quality Assurance Surveillance Plan (QASP) has been developed and adheres to

Department of Defense (DoD) and Air Force (AF) standards for Performance-Based Services Acquisition

(PBSA) requirements. This QASP will be used by the Multifunctional Team in conjunction with the

Contracting Officer Representatives (COR) to ensure contractor compliance and progress for meeting mission objectives on the Refuse Collection and Disposal service contract.

2. Objectives. This QASP is designed to provide the Multifunctional Team (MFT) a vehicle to ensure delivery of Refuse Collection and Disposal services are within cost and on schedule. The QASP will also provide the COR an effective systematic surveillance method for each item listed in the Performance Work

Statement (PWS), specifically the key performance objectives identified in the Services Summary

3. Results. Communication and assessment actions stated in the QASP seek to ensure 92d ARW, Fairchild

AFB, WA is provided with Refuse Collection and Disposal services that are acceptable, timely, and conducted in a manner that will achieve required objectives, cost savings and efficiencies.

3.1. The QASP’s success will be evidenced through goals set by the MFT and strong contractor management of provided services through aggressive quality control and a desire to ensure services outlined in the contract meet and/or exceed the standards applied to them.

4. Multifunctional Team (MFT). Members.

Functional Commander (FC)

Primary and Alternate Contracting Officer Representatives (COR)

Contracting Officer

Contract Specialist

Quality Assurance Program Coordinator (QAPC)

Contractor Point of Contact (POC)

4.1. Roles and Responsibilities of MFT Members. The Refuse Collection and Disposal MFT is composed of individuals/stakeholders who are responsible for the acquisition throughout the life of the requirement. The roles of the team members are identified and described below. (In accordance with

MP5346.103, MP5301.602-2, and AFI 63-101, Acquisition and Sustainment Life Cycle Management, Chapter 4.)

a. FUNCTIONAL COMMANDER/DIRECTOR (FC/FD):

Is the individual who is either ultimately responsible for or will report to the individual responsible for the base Refuse Collection and Disposal services. This individual reviews contractor performance documentation prepared by the Contracting Officer Representative on a regular basis to ensure performance is compatible with contract and mission objectives.

Responsible for identifying mission essential services.

b. CONTRACTING OFFICER REPRESENTATIVE (COR):

Perform inspection and acceptance for the Government assuring performance/delivery is in accordance with the contract requirements, terms and conditions.

Promptly report to the Contracting Officer, in writing, any performance issues/delays by the contractor.

Inform the Contracting Officer, in writing, of any needed changes to the Performance Work

Statement (PWS) or Quality Assurance Surveillance Plan (QASP).

Maintain COR records. Complete all required COR training.

Identify and track quality assurance surveillance reporting trends.

Provide assessment (evaluation) for the CPAR annual reporting.

Loads individual contract COR information into the Contracting Officer Representative

Tracking (CORT) tool used for tracking all Department of Defense (DoD) CORs.

c. CONTRACTING OFFICER REPRESENTATIVE SUPERVISOR (MANAGEMENT):

Address the qualifications of the prospective COR.

Affirm that the COR will be afforded necessary resources (time, supplies, equipment, opportunity) to perform the designated functions.

Affirm that the prospective COR understand the importance of performance of the designated functions.

Affirm that performance of the designated functions will be addressed as part of the

COR's performance assessments.

COR supervisors will solicit input on COR performance of their duties from the Contracting Officer.

Comply with these same provisions in the assignment of successor CORs.

Ensure CORs obtain training and are nominated in enough time to ensure designation by the

CO, prior to contract award.

d. CONTRACTING OFFICER (CO):

CO appoints the COR via the COR Designation Memorandum.

Facilitates Multi-Functional Team meetings.

Provides contract specific training to the COR.

Performs periodic reviews of COR performance assessment files.

Provides in conjunction with the QAPC ethics/integrity in relationships training with the CO, COR management (e.g. COR Supervisor, Functional Commander/ Directors (FC/FD), and the contractor.

Approves all COR documents in the Contracting Officer Representative Tracking (CORT) tool used for tracking all Department of Defense (DoD) CORs.

Only the CO may terminate a COR Designation.

e. QUALITY ASSURANCE PROGRAM COORDINATOR (QAPC):

Assists team members in developing performance objectives and thresholds.

Reviews the PWS and QASP to ensure that they are cohesive with each other and are in compliance with applicable directives.

In conjunction with the CO, provides training to the COR on duties/responsibilities, COR performance, conflicts of interest, unauthorized commitments, ethics and integrity and holds discussion on the seven steps to the Services Acquisition Process.

Provides training to the Functional Commander and COR Management (Supervisor).

Is Subject Matter Expert in the Contracting Officer Representative Tracking (CORT) tool used for tracking all Department of Defense (DoD) CORs, COs, required training, reports, and contracts.

f. CONTRACTOR:

Submit reports/deliverables, as required, in the PWS.

Attend MFT meetings when requested.

Respond to customer complaints.

Ensures satisfactory contract performance.

5. Management Strategy. The MFT will meet initially to form the milestones of the requirement and then no less than annually thereafter.

6. Contractor Performance Assessment Report (CPAR). Past performance information will be collected and reported by the COR and provided for review to the FC and COR Supervisor, Contract Specialist and

Contracting Officer through documentation of quarterly performance assessment of the contractor and subsequent annual CPARs. Contractor performance indicators such as Monthly Reports, Program

Management Reviews, other written records, etc. can also be used as a source for CPARs reporting.

Problems arising from contractor performance may be brought to the MFT for discussion and resolution.

7. Services Summary. The Services Summary provides a synopsis of the key performance objectives that relate directly to standards of performance required to meet mission needs for Refuse Collection and

Disposal Services. Assigned performance thresholds provide a baseline for the COR to determine whether the contractor has performed satisfactorily. These performance objectives and thresholds are key to the customer being able to achieve mission success. It is imperative that the contractor performs satisfactorily in order to achieve that success and through the COR’s performance assessment, ensure the government gets what it pays for.

Performance Objective PWS para. Performance Threshold

Collect Municipal Solid Waste in accordance with the established schedule.

1.1. No more than 2 Customer

Complaints monthly.

Perform unscheduled collections required by the

Contracting Officer in accordance with paragraph

1.1.

1.1.3.1 0 Deficiencies permitted.

Dispose of Municipal Solid Waste in accordance with the established governing directives.

1.3 0 Deficiencies permitted.

Maintain equipment in good workable condition.

Trucks washed and free of odors

1.4 No more than 2 Customer

Complaints monthly.

Reports and records are complete and received on time.

1.5 No more than 1 Customer

Complaint monthly.

8. Inspections.

8.1. Periodic Inspection. Utilizing periodic inspection of selected areas of work, the COR will ensure that all aspects of contract performance have been validated in order to ensure contract requirements are being met. Those areas found to be unsatisfactory shall be documented through the Customer Feedback Program.

8.2. Customer Feedback Program.

8.2.1. In addition to the COR’s periodic assessment of the Refuse Collection and Disposal services and documentation in the Customer Feedback Program, any base personnel that observe unacceptable services, either incomplete or not performed, should immediately contact the COR by telephone, email, letter, or fax.

If found to be valid, the COR will in turn submit a customer complaint to the contractor with copies to all applicable parties. The contractor shall review and take immediate corrective action.

8.2.2. All valid customer complaints shall be re-performed if applicable, as soon as possible after notification, but prior to the next service period. Re-performance however does not eliminate the customer complaint and it still applies against the contractor’s performance threshold. If the contractor challenges the validity of the complaint and the COR and contractor cannot come to agreement, the customer complaint will be forwarded to the Contracting Officer (CO) for resolution. Customer complaints will be tracked and if the performance threshold is exceeded, action will be taken by the CO in accordance with the applicable

Inspection/Acceptance clause.

8.2.3 If the COR identifies recurring instances of unsatisfactory performance, the COR may request to see the contractor’s internal quality control processes and the COR and MFT shall review it to ensure that the processes they are utilizing are sufficient.

9. Contract Management. This section identifies the use of measurement information to effect positive change in organizational culture, systems, and processes, by helping to set agreed upon goals, allocating and prioritizing resources, informing managers to either confirm or change current policy or program directions to meet those goals, and sharing results of performance in pursuing those goals.

9.1. Market Research. On-going market research is conducted to ensure that Refuse Collection and

Disposal standards and processes, identified in the PWS and contract remain current with commercial standards and industry performance evaluation methods.

9.2. Contracting Officer Representative Tracking (CORT) Tool . The CORT program is a DoD electronic depository listing all of the CORs, COR Management, and contracting officials’ information associated with each contract. The COR will initiate action to be assigned to a contract by self-nominating themselves as a COR or in response to a request for COR Support Memorandum, by completing required training and issuing a nomination memorandum to their supervisor for approval. The nomination process includes attaching training certificates required per “Type of Contract” designation made by the Contracting

Officer and any applicable refresher training as required.

9.3. Wide Area Work Flow. Certification of services is performed by the COR via the Wide Area Work

Flow (WAWF) system. CORs are required to take the online course and schedule one-on-one training with

92 CPTS/FMA. Certificates of training shall be downloaded into the CORT Tool. A declining balance worksheet shall be utilized to track funding on all service contracts.

9.4. COR Records Review. The Contract Specialist will review the COR’s performance assessment files no less than semi-annually. Contract Specialists newly assigned to the Refuse Collection and Disposal contract shall perform an initial review in addition to the semi-annual inspection in order to become familiar with the quality assurance aspects of the contract. Contract Specialist’s performing their first COR records review will obtain the assistance of the Quality Assurance Program Coordinator (QAPC).. Completed records reviews will be scanned by the Contract Specialist and uploaded into the Contract Management file in the CORT Tool for CO approval.

a. Surveillance Files. An inspection file must be developed and maintained by the COR IAW DFARS PGI

201.602-2(ii) and MP5346.103. This folder is typically kept in hard copy, in addition to the CORT documents, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. The surveillance folder must contain the following sections, but may contain any other sections or information that the COR finds useful:

Section 1. Quality Assurance Surveillance Plan (QASP)

Section 2. Surveillance Documents – The type of information that may be included are details of inspections or data gathering, conversations or meetings with the contractor, notes and comments that may be of value at some later date.

Section 3. Contract – The portions of the contract that apply to the functional area(s) e.g., PWS chapters, directive documents, references, pertinent terms defined by the contract, equipment listings, etc.

Section 4. COR Support/Nomination/Designation and Termination Memorandums, Certificates of Training.

Section 5. Records – A section used for filing all documentation associated with contract quality assurance, e.g., correspondence, CO inputs, customer complaints, Wide Area Work Flow

(WAWF) validation of payment.

10. Performance Feedback. Documentation is required to record, evaluate, and report contractor performance. On a quarterly basis, the COR will complete a narrative summary of the Refuse

Collection and Disposal contractor’s performance utilizing the attached Performance Assessment

Checklist, and forward it to the Contractor and CO. The COR will also brief COR Management on the results of these assessments. This information is a tool to provide the contractor and the Government a snapshot view of their performance, and when applicable provide information for compiling the annual

CPAR. Upon completion, the checklist will be scanned and uploaded into the CORT Contract

Management online file.

Performance Element Description

Quality of Service

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, and delivery schedule, administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

Business Relations

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

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

10.1. Performance Ratings/Assessment Values. Contractor ratings, corresponding assessment values, and criteria are described below:

Performance

Rating

Criteria

Exceptional

(Green)

Performance meets contractual requirements and exceeds many of the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good

(Green)

Performance meets contractual requirements and exceeds some of the government benefits. The contractual performance element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were highly effective.

Satisfactory

(Green)

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.

Marginal

(Yellow)

Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed 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.

Unsatisfactory

(Red)

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

11. Acquisition of Services Process.

11.1.1. Initial Contract Performance Review. All services acquisitions with a value in excess of $150,000 are required to be reviewed by the appropriate Services Designated Official (SDO) within 30 days of the contractor’s full assumption of contract workload (e.g., transition, phase-in, or similar event). The purpose of the review is to determine if the contractor successfully completed transition, is fully operational, and is within other performance parameters required by the contract. The Contracting Officer’s review shall be documented, identifying any negative information concerning contract execution and any corrective actions necessary. The Contracting Officer’s assessment will be reviewed/approved by the Services Designated

Official (SDO).

11.1.2. Annual Execution Review. All services acquisitions with a value in excess of $150,000 are required to also be reviewed annually by the Contracting Officer and the Services Designated Official. The review shall be conducted and documented prior to issuing the notification of the Government’s intent to exercise an option to ensure identification of any negative variations in schedule and/or other significant performance measures required by the contract. If significant variations exist, include an explanation of the causes for the variance and an assessment of the contractor’s corrective action plan.

12. Changes. Changes to this QASP shall be submitted in writing through the Contracting Officer.

CONTRACTOR PERFORMANCE ASSESSMENT CHECKLIST

Name: ____________________________________ Date: _______________________

Contracting Officer Representative (COR)

Period of Assessment: ________________________

Contractor: _________________________ Contract No: ____________________________

In accordance with the requirements outlined in the Refuse Collection and Disposal Quality Assurance

Surveillance Plan (QASP), the following areas of assessment are required to be completed.

1. Areas of Assessment.

Quality of Service. 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, tasks, milestones, delivery schedule, and administrative requirements (e.g., efforts that contribute to or effect performance).

Business Relations. Assess 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, and customer satisfaction.

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

2. Performance Ratings.

Unsatisfactory – Performance does not meet most contractual requirements and recovery is not likely in a timely manner.

Marginal – Performance does not meet some contractual requirements. The contractual performance assessed reflects a serious problem for which the contractor has not yet identified corrective actions.

Satisfactory - Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Very Good - Performance meets contractual requirements and exceeds some to the governments benefit. The contractual performance being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were highly effective.

Exceptional – Performance meets contractual requirements and exceeds many to the governments benefit. The contractual performance being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

*Check applicable blocks.

Unsatisfactory

Marginal

Satisfactory

Very

Good

Exceptional

Quality of Service

Schedule

Business Relations

Management of Key

Personnel

3. Remarks.

Note. Upon receipt of completed form, scan and file in Contracting Officer Representative Tracking

(CORT) tool.