Attachment_3_ISWM_QASP_V12-ca1.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

For

INTEGRATED SOLID WASTE MANAGEMENT

Fairchild AFB, WA

13 FEBRUARY 2018

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 (MFT) in conjunction with the Contracting Officer (CO) to ensure contractor compliance and progress for meeting mission objectives on the Integrated Solid Waste Management (ISWM) service contract.

2. Objectives. This QASP is designed to provide the MFT a vehicle to ensure ISWM service delivery are within cost and on schedule. The QASP provides the CO 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, Fairchild AFB, (FAFB) WA is provided ISWM services that are acceptable, timely, and conducted in a manner that will achieve required objectives, cost savings and efficiencies.

3.1. Goals. The QASP’s success will be evidenced through goals set by the MFT and contractor management ensuring provided services meet and/or exceed the standards applied to them.

4. Multifunctional Team (MFT). Members.

a. 92 CONS Contracting Officer (CO)

b. 92 CONS Contract Specialist (CS)

c. 92 CES Contracting Officer Representative (COR)

d. 92 CES COR Supervisor

e. 92 CONS Quality Assurance Program Coordinator (QAPC)

f. 92 CONS Small Business Specialist

g. Contractor Point of Contact (POC)

h. 92 CONS Flight Chief, Goods & Services

i. 92 CONS Commander

j. 92 CONS Advisory Staff

4.1. Roles and Responsibilities of MFT Members. The ISWM MFT is comprised of individuals and 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 63-138, Service Acquisition Management and Oversight, Chapter 6.)

a. 92 CONS CONTRACTING OFFICER (CO):

(1) CO appoints the COR via the COR Designation Memorandum.

(2) Facilitates MFT meetings.

(3) Provides contract specific training to the COR.

(4) Performs and documents a yearly administrative review of COR online file.

(5) Provides, in conjunction with the QAPC and CS, training requirements IAW applicable regulations.

(6) Ensures completeness and approves COR documents in CORT.

(7) Only the CO may terminate a COR Designation.

b. 92 CONS CONTRACT SPECIALIST:

(1) Assists the CO in matters pertaining to contract administration.

(2) Ensures all necessary paperwork and authorizations are obtained, documented, and filed.

c. 92 CES CONTRACTING OFFICER REPRESENTATIVE (COR):

(1) Performs inspection and acceptance for the government assuring performance/delivery is IAW contract requirements, terms and conditions.

(2) Promptly reports to the CO in writing performance issues/delays by the Contractor.

(3) Informs the CO in writing of needed changes to the PWS or QASP.

(4) Maintains COR records. Complete required COR training, both initial and refresher

(5) Identifies and tracks quality assurance surveillance reporting trends.

(6) Provides assessment (evaluation) for the Contractor Performance Assessment Report (CPAR) annual reporting, as required.

(7) Evaluates and documents the contractor’s performance IAW with the PWS and QASP.

(8) Loads individual contract COR surveillance documentation into the CORT tool.

d. 92 CES COR SUPERVISOR (MANAGEMENT):

(1) Reviews, approves (certify), or rejects COR nominations in the CORT tool.

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

(3) Affirms the prospective COR understand the importance of performing designated functions.

(4) Affirms performance of the designated functions will be addressed as part of the COR's annual performance assessments.

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

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

Contracting Officer, prior to contract award.

e. 92 CONS QUALITY ASSURANCE PROGRAM COORDINATOR (QAPC):

(1) Assists team members in developing performance objectives and thresholds.

(2) Reviews the PWS and QASP to ensure they are cohesive and in compliance with applicable directives.

(3) 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 Step Services Acquisition Process.

(4) Provides training to the Functional Commander and COR Management (Supervisor). The QAPC is the CORT Subject Matter Expert (SME).

f. 92 CONS SMALL BUSINESS SPECIALIST:

(1) Ensures vendors comply with Small Business contracting and subcontracting requirements, as applicable.

g. CONTRACTOR POINT OF CONTACT (POC):

(1) Provide Services

(2) Submit reports/deliverables, as required, in the PWS.

(3) Attend MFT meetings when requested.

(4) Respond to customer complaints.

(5)Ensures satisfactory contract performance.

h. 92 CONS FLIGHT CHIEF, GOODS AND SERVICES:

(1) Provides review at one level above the CO, as required.

i. 92 CONS COMMANDER:

(1) Provides overall direction and program compliance.

j. 92 CONS ADVISORY STAFF:

(1) Provides direct assistance to the 92d Contracting Commander in all matters as needed to facilitate organizational administration and execution.

5. Management Strategy. The MFT will meet initially to form the milestones of the requirement and as needed thereafter.

6. PERFORMANCE ASSESSMENT. This section identifies the processes that measure success towards achieving identified performance objectives within the performance thresholds in the Services Summary and achieving the objectives/goals developed in the PWS and this QASP.

6.1. Surveillance Approach. The intent of this plan is to primarily rely on the Contractor’s internal quality control processes, changing the government’s role from “oversight” to “insight”. The contractor’s original surveillance approach may not stay the same throughout the duration of the contract; therefore, the government should be prepared to periodically update the surveillance approach when necessary. The goal of this surveillance approach is to gain confidence in the Contractor’s way of doing business and then adjust the level of insight sufficient to maintain confidence.

6.1.1. Quality Assurance. Quality Assurance shall be based on the government’s evaluation of results, not the frequency or method of performance. All key performance objectives must meet the prescribed standards and thresholds identified in the Services Summary to be regarded as acceptable.

6.1.2. Quality Control. The Contractor shall utilize its own internal quality control processes ensure services are performed according to accepted commercial practices and the PWS. Instances of recurring unsatisfactory performance may result in the government reviewing the contractor’s quality control plan and supporting documentation upon request. The COR will verify key performance objectives and subsequent thresholds, in addition to other contract requirements, to ensure they are being performed in accordance with the applicable standards.

6.2. Services Summary. The following is a list of the key performance objectives that will be verified as contractually compliant by Government personnel; however, inspection of any contract requirements is authorized.

Performance Objective PWS Performance Threshold Remedy Collect Municipal Solid Waste in accordance with the established schedule.

1.1 No more than 2 Customer

Complaints monthly.

Re-performance within 1 business day of notification or a mutually acceptable timeframe to the COR, Customer and Contractor

Dispose of Municipal Solid Waste in accordance with the PWS.

1.3 0 Deficiencies permitted. Re-performance within 1 business day of notification or a mutually acceptable timeframe to the COR, Customer and Contractor

Maintain equipment in good workable condition. Trucks and solid waste containers washed, painted and free of odors.

1.4 No more than 2 Customer

Complaints monthly.

Re-performance within 1 business day of notification or a mutually acceptable timeframe to the COR, Customer and Contractor

Perform unscheduled collections as required and approved by COR and CO.

1.1.3. 0 Deficiencies permitted. Re-performance within 1 business day of notification or a mutually acceptable timeframe to the COR, Customer and Contractor

Reports and records are complete and received on time.

1.5 No more than 1 valid Customer

Complaint monthly.

Re-performance within 1 business day of notification or a mutually acceptable timeframe to the COR, Customer and Contractor

6.2.1. Manpower Reporting. In accordance with the Contractor Manpower Reporting criteria requirements at http://www.ecmra.mil and the PWS, CORs shall follow the directions in the user manual for ensuring compliance.

6.2.2. Periodic Inspection. Utilizing periodic inspection of selected areas of work, the COR will ensure relevant aspects of performance have been validated in order to ensure requirements are being met. In addition to areas identified in the Services Summary/PWS, the COR will monitor any areas of interest such as Human Trafficking, Environmental, and other contract requirements. Those areas found to be unsatisfactory shall be documented through the Customer Feedback Program.

6.3. Customer Feedback Program.

6.3.1 Unsatisfactory Performance. In addition to the COR’s periodic assessment of subject services, any base personnel that observe unacceptable services, either incomplete or not performed, should immediately contact the COR. If found to be valid, the COR will in turn submit a customer feedback/complaint to the contractor with copies to all applicable parties. The contractor shall review and take immediate corrective action.

6.3.2. Customer Complaints. All valid customer complaints shall be re-performed within 1 day of notification or a mutually acceptable timeframe to the COR, Customer, and contractor. Re-performance however; does not eliminate the customer complaint and it still counts toward 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 CO for resolution. Customer complaints will be tracked and if the performance threshold is exceeded, action may be taken by the CO in accordance with the applicable Inspection/Acceptance clause.

6.3.3. Recurring Unsatisfactory Performance. 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.

6.3.4. Performance Surveillance. Surveillance methods to be used are periodic review and customer complaint.

The COR shall monitor contractor performance in all of the areas identified in the Services Summary and the PWS. Performance of services will be evaluated to determine whether or not it meets the performance requirements of the contract.

7. CONTRACT MANAGEMENT. The following identifies areas where measurement information is documented and tracked to encourage positive change in systems and processes, helping to ensure completion of 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 between the contractor and the MFT.

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

7.2. Contracting Officer Representative Tracking (CORT) Tool The CORT website is a DoD electronic depository listing all of the CORs, COR Management, and CO’s information to include Contract surveillance, training certificates, and COR designation and termination letters. It is located on the Wide Area Workflow (WAWF) website at https://wawf.eb.mil/. The COR will initiate action to be assigned to a contract by self-nominating 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. . A DD2875 for CORTT access will be automatically generated within the CORT Tool system when access is requested. CORs will also self-nominate within the CORT Tool for their specific contract of responsibility. The COR nomination package includes uploading training certificates into CORTT as required per “Type of Contract” designation made by the CO and any applicable refresher training as required IAW DoDI 5000.72.

7.3. WAWF/iRAPT. Upon receipt of an approved DD 2875, the COR can perform certification of services via the WAWF system. CORs are required to take the online course and schedule any additional required training with 92 CPTS/FMA. Certificates of training shall be uploaded into the CORT Tool. A declining balance worksheet shall be utilized to track funding on all service contracts at a “per-CLIN” level. In addition to ensuring the contract has sufficient funding to pay for the contracted services, the COR shall coordinate with each unit’s respective Resource Advisor to ensure any and all excess funding remaining at the end of each option period is de-obligated.

7.4. COR Records Review. The CO shall perform, with participation of the COR and COR supervisor, a yearly administrative review of the COR's online file during the anniversary month of appointment, or more often, at the discretion of the CO to ensure performance assessment is being properly conducted, all documentation is entered into the CORT Tool, and the contractor performance is within acceptable levels. Upon completion of each CO review of the online COR File, the CO shall document the results on the COR File Annual Checklist, and upload each Checklist review to the CORT Tool.

7.4.1. Surveillance Files. An inspection file must be developed and maintained by the primary COR IAW DFARS PGI 201.602-2(ii) and MP5346.103. This folder is typically contained in hard copy, 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. QASP

Section 2. Contractor’s Quality Control Plan (QCP) (if requested for validation)

Section 3. 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 4. Contract/Modifications – The portions of the contract that apply to the functional area(s) of the surveillance folder, e.g., PWS chapters, directive documents, references, pertinent terms defined by the contract, equipment listings, etc.

Section 5. Appointment Letters/Certificates of Training – COR appointment letters and training certificates and Letter of Designation are contained in the CORT file. A memorandum is to be placed in this section referencing the electronic CORT file.

Section 6. Records – A section used for filing all documentation associated with contract quality assurance, e.g., correspondence, CO inputs, and customer complaints.

7.5. Performance Feedback. Documentation is required to record, evaluate, and report contractor’s performance. On a quarterly basis, the COR will complete a narrative summary of contractor performance and forward it to the contractor, COR Management, and CO that includes the following assessment elements. This information is a tool to provide the contractor and the government a snapshot view of their performance.

https://wawf.eb.mil/

7.5.1. Performance Ratings. Contractor ratings 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.

7.6. Acquisition of Services Process.

7.6.1. Initial Contract Performance Review. Contract performance will be reviewed by the MFT within 30 days of the contractor’s full assumption of contract workload. The purpose of the review is to determine if the contractor has successfully started performance, completed transition, is fully operational, and is within the

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.

estimated cost, schedule, and performance parameters of the contract. The MFT’s review shall be documented, identifying any negative information concerning contract execution and any corrective actions necessary. The SDO can waive the initial 30 day review if the contract is awarded to the incumbent.

7.6.2. Annual Execution Review. Contract performance will be reviewed annually by the SDO. 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.

7.7. Changes. Requested changes to this QASP shall be submitted in writing through the CO.

JAMES R. PLUMLEE

Contract Specialist

EDWARD C. CAMPBELL

Contracting Officer

DONALD R. ANDREOLI

Contracting Officer's Representative

SUSAN D. DALTON

Quality Assurance Program Coordinator

CONTRACTOR PERFORMANCE ASSESSMENT CHECKLIST

Name: ____________________________________ Date: _______________________ Contracting Officer Representative (COR)

Period of Assessment: ________________________

Contractor: _________________________ Contract No: ____________________________

In accordance with the requirements outlined in the Integrated Solid Waste Management 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.