Atch 7 Performance Plan.rtf

FA4855-10-R-0003

Attachment 7

PERFORMANCE PLAN

FOR

WASTEWATER TREATMENT PLANT

CANNON AFB, NEW MEXICO

DATED 11 DECEMBER 2009

TABLE OF CONTENTS

1. OBJECTIVE OF THE REQUIREMENT 3

3. MULTI-FUNCTIONAL TEAM (MFT) 6

5. PROGRAM MANAGER/QUALITY ASSURANCE PERSONNEL APPOINTMENT

6. HAZARDOUS MATERIAL (HAZMAT) – QAP RESPONSIBILITIES

7. PERFORMANCE PLAN REVISIONS OR NEW BRAG MEMBERS

1. OBJECTIVE OF THE REQUIREMENT. Wastewater treatment facility operations shall be conducted in order to provide continuous, cost effective, and efficient treatment of all wastewater delivered to the facility. The plant will operate 24 hours a day, 7 days a week. Such operations shall include general operation of plant equipment, valves and piping, sampling and lab analyses, waste and effluent disposal, and other related services. All operations shall be accomplished in accordance with the treatment facility operations manuals where applicable. Facility operations and effluent discharge practices shall comply with all applicable federal, state, and local regulatory standards, including the National Pollution Discharge Elimination System (NPDES) permit requirements. The contractor shall prepare all related correspondence and operating reports.

2. PURPOSE OF MANAGING THE REQUIREMENT:

2.1. GOVERNMENT’S RESPONSIBILITY. The government recognizes that the contractor is responsible for management and quality control actions required to meet the terms of the contract. However, the government must verify that services for which the contractor invoices were received and the services were in compliance with the performance thresholds identified in the Services Summary below. The purpose of this Performance Plan is to provide Quality Assurance Personnel (QAP) with an effective, systematic method for evaluating contractor’s performance in order to ensure the government is receiving the services for which it pays.

2.2. SERVICES SUMMARY (SS). The contract service requirements are summarized into performance objectives that relate directly to the mission of the 27th Special Operations Wing. The performance threshold briefly describes the minimum acceptable level of service for each requirement. These minimums do not relieve the contractor from performing 100 percent of all work requirements. These thresholds are critical to mission success; work must be accomplished according to the contract’s terms, conditions, and specifications.

SERVICES SUMMARY

SS

DESCRIPTION:

Conduct General Wastewater Treatment Plant Operations.

PWS REF

1.1

METHOD OF SURVEILLANCE

Periodic Inspection Performance Objective: Provide continuous, cost effective, and efficient treatment of all wastewater. All operations accomplished in accordance with the treatment facility operations manuals Performance Threshold: No Notice of Violations (NOV) permitted Scheduling Procedures: The QAP will evaluate the performance objective through periodic inspections during each service month.

Inspection Procedures: Monthly

SS

DESCRIPTION:

Maintain Preventive Maintenance Program.

PWS REF

1.2 – 1.4

METHOD OF SURVEILLANCE

Periodic Inspection Performance Objective: System is operating continuously, safely, and effectively. Responds to service calls within specified time. Corrective maintenance is performed timely and correctly.

Performance Threshold: 90% of all scheduled PMIs are properly and timely completed.

Scheduling Procedures: The QAP will evaluate the performance objective through periodic inspections during each service month.

Inspection Procedures: Monthly

SS

DESCRIPTION:

Provide Sampling and Laboratory Analysis

PWS REF

1.5

METHOD OF SURVEILLANCE

Periodic Inspection Performance Objective: Test results are accurate. Test are in accordance with applicable operating permit requirements and conditions.

Performance Threshold: Analysis and tests are accurate 100% of the time..

Scheduling Procedures: The QAP will evaluate the performance objective through periodic inspections during each service month.

_____________________________________________________________________________________________Inspection Procedures: Monthly

SS

DESCRIPTION

Sludge and Grit Disposal.

PWS REF

1.6

METHOD OF SURVEILLANCE

Periodic Inspection Performance Objective: Sludge and Grit disposal IAW federal and state regulations Performance Threshold: 100% of the sludge and grit is disposed of IAW all applicable regulations Scheduling Procedures: The QAP will evaluate the performance objective through periodic inspections during each service month. _____________________________________________________________________________________________ Inspection Procedures: Monthly

SS

DESCRIPTION

Maintain Documentation and Records.

PWS REF

1.7

METHOD OF SURVEILLANCE

Periodic Inspection Performance Objective: All documentation and records are maintained, kept current, and available for review at all times.

Performance Threshold: 100% of documentation and records are maintained, kept up to date, and available for review at all times.

Scheduling Procedures: The QAP will evaluate the performance objective through periodic inspections during each service month. _____________________________________________________________________________________________Inspection Procedures: Monthly

SS

DESCRIPTION

Safety & Health Plan

PWS REF

METHOD OF SURVEILLANCE

Performance Objective:

Assess the Contractor for compliance with their health & safety plan along with OSHA requirements.

Performance Threshold:

Standard is no critical defects. A critical defect occurs where there is non-compliance with OSHA standards; and a safety incident or mishap is attributed to inadequate or non-performed S&H tasks; or missed or inadequately performed duties jeopardized the S&H of environment, personnel or equipment.

Scheduling Procedures: The QAP shall schedule random monthly inspections Inspection Procedures:

The QAP shall conduct standard Air Force occupational, environmental, and health inspections and review the Contractor’s program documentation, to include the Contractor’s Quality Control Plan.

2.3. NON SERVICES SUMMARY (NON SS). Although the SS contains only the items considered most important for mission accomplishment, the government retains the right to surveil all requirements of the contract. QAP may choose to periodically surveil requirements not listed on the SS; these services are referred to as non SS items and may include, but are not limited to, the items identified in the table below. NOTE: Currently, this requirement does not identify any non SS items; references to non SS items throughout this plan shall remain in case non SS items are later added. The contractor’s failure to perform these requirements could also result in issuance of unacceptable inspection ratings and/or a PAR (see Paragraph 4.4.4).

3. MULTI-FUNCTIONAL TEAM (MFT). The MFT is a customer-focused team formed under the guidelines of AFI 63-124, Performance-Based Services Acquisition, and is instituted under the authority of the Wing Commander. At this base, the MFT is called the Business Requirements Advisory Group (BRAG). The BRAG plans and manages this requirement throughout the life of the contract. BRAG members and their roles and responsibilities are outlined in a BRAG Charter, which can be found at Appendix A.

4. ASSESSING CONTRACTOR’S PERFORMANCE. The following paragraphs outline the strategy, methods, and tools the BRAG shall use to assess the contractor’s performance against the performance objectives and thresholds identified in the SS.

4.1. SCHEDULING SURVEILLANCE VISITS:

4.1.1. Methods of Surveillance. The government shall perform surveillances to ensure the contractor is performing satisfactorily. The types of surveillance methods used for this requirement are outlined below. At the start of contract performance, QAP may conduct more frequent surveillances (i.e., weekly) until the government is satisfied the contractor is performing in accordance with contract requirements. Upon determining contractor is performing satisfactorily, QAP may change the frequency to that outlined in the SS. The QAP may revert to more frequent surveillances should the contractor’s performance warrant increased surveillance. The QAP shall advise the Contract Administrator (CA) immediately when the frequency of surveillance changes.

4.1.1.1. Periodic Surveillance. A type of surveillance that is based upon selecting samples for evaluation on other than 100% inspection or on a statistically random basis. The QAP shall choose the date, time, and location to surveil. During any months while “reduced” periodic surveillances are being performed, defects noted that exceed the performance threshold shall automatically cause the surveillances to increase. QAP surveillances may increase up to 100% inspections if necessary.

4.1.1.2. 100% Inspections. Inspecting a requirement every time it occurs.

4.1.2. Surveillance Schedule. The QAP shall prepare a schedule for surveillance visits for all SS and non SS items, and submit the schedule to the CA 10 workdays prior to the surveillance period. The schedule may be prepared on a monthly, quarterly, or annual basis. The schedule shall coincide with the surveillance requirements outlined in Paragraphs 2.2 and 2.3 of this plan. The QAP shall notify the CA in advance of any changes to the schedule. A calendar or a form such as that found at Appendix B may be used to set up the surveillance schedule. The schedule is “For Official Use Only” and shall not be provided to the contractor. The CA shall assess QAP performance during a surveillance at least once quarterly. The Quality Assurance Program Coordinator (QAPC) shall assess QAP and CA performance at least once annually.

4.2. CONDUCTING SURVEILLANCES. The QAP shall conduct surveillances on the dates noted on the surveillance schedule. QAP must inspect task performance by watching actual task performance, physically checking an attribute of the completed task, or otherwise surveilling the task or its results to determine whether or not the performance meets the standards contained in the contract. QAP must be objective, fair, and consistent in evaluating contractor performance against contract requirements.

4.3. DOCUMENTING SURVEILLANCE RESULTS. Accurate QAP documentation is an important component of the official Air Force record of the contractor’s performance. The contracting officer cannot properly administer the contract without documentation of actual surveillance. Therefore, QAP must document surveillance as it is accomplished. A locally-developed form (QAP Surveillance Checklist - Appendix C) may be used to document and collect this information. The surveillance checklist must include:

4.4. SURVEILLANCE RATINGS. QAP shall document acceptable and unacceptable performance. QAP surveillance documentation and the interim submission of the Contractor Performance Assessment Report (CPAR) are used to develop the annual CPAR (see Paragraph 4.9). QAP shall annotate positive and negative performance (as appropriate).

4.4.1. Unacceptable Surveillance Ratings. When results of surveillance net an unacceptable rating, the QAP must document the area of non-compliance. Customer complaints and comments from other sources shall be validated by the QAP to ensure the complaint relates to the actual requirement of the contract (see Paragraph 4.5 below). Should results of surveillance net an unacceptable rating, the QAP shall monitor the performance threshold assigned to each SS and notify the contract administrator (see Paragraph 4.4.1.4). Any non-conformance with contract requirements is considered a “defect.” The term “defect” is used in reference to a performance objective in the SS that does not meet the objective’s associated performance threshold. The preferred course of action upon discovery of unacceptable performance is to require the contractor to re-perform at no additional cost to the government. When unacceptable performance is documented, QAP shall take the following actions:

4.4.1.1. If government actions caused the unacceptable performance, the QAP shall take steps to prevent such actions in the future. Government-caused complaints/defects shall not be counted against the contractor.

4.4.1.2. If QAP determines unacceptable performance is not government-caused, QAP shall request performance or re-performance of all identified defects. The QAP shall inform the contractor’s on-site representative of the unacceptable performance, annotate the reasons why, and request his/her initials and date on the surveillance checklist. By initialing and dating the form, the contractor’s on-site representative is acknowledging notification of, not agreement with, the unacceptable performance. If the contractor wants to dispute the results of the surveillance, QAP must refer him/her to the contracting officer for resolution.

4.4.1.3. Re-surveil the service found defective, and document the rating, date, and time of re-surveillance. NOTE: The initial unacceptable rating (even after re-performance) counts toward the performance threshold.

4.4.1.4. Notify the CA immediately of unacceptable performance and requests for re-performance (if applicable) and results thereof (see Paragraph 4.4.1).

4.4.2. Unacceptable Re-performance. When re-performance is determined unacceptable, the QAP shall inform the contractor’s on-site representative that performance is still unacceptable, annotate the reasons why, and request the on-site representative’s initials and date on the surveillance checklist. By initialing and dating the form, the contractor’s on-site representative is acknowledging notification of, not agreement with, the unacceptable performance. If the contractor wants to dispute the results of the surveillance, the QAP must refer him/her to the contracting officer for resolution. See Paragraph 4.4.4 regarding Performance Assessment Report (PAR) actions.

4.4.3. Exceeding Performance Threshold. If the number of complaints/defects exceeds the performance threshold for any SS item, the QAP shall initiate a PAR (see Paragraph 4.4.4) for issuance by the contracting officer. If re-performance is not practical, or if serious unacceptable performance trends develop with the contractor’s performance, the following actions may be taken, at the contracting officer’s discretion:

4.4.4. Performance Assessment Report (PAR). A PAR shall be issued when unacceptable performance exceeds the performance threshold, as identified in the SS. A PAR shall also be issued when non-performance, after notification to perform, or when re-performance (due to an unacceptable surveillance rating), was not accomplished within the terms of the contract. The PAR form and the instructions for completing the form are located on the base shared drive: P:\27_SOMSG\27_SOCONS\QAPC\Performance Plan Forms.

4.5. CUSTOMER COMPLAINTS:

4.5.1. Educating the Customer. The key to the success of a customer complaint system is customer education. QAP must familiarize their customers with applicable contract requirements and the customer complaint process. If customers are aware of the services they are entitled to receive and the contract standards for those services, the result should be fewer complaints caused due to misunderstandings. An active customer education program may include briefings upon changes in key personnel, brochures, letters, e-mail reminders, etc.

4.5.2. Documenting Complaints. A customer feedback form or the Customer Complaint Record may be used to document complaints received from customers. A locally-developed form or log that consistently captures the pertinent information regarding feedback and resolutions may also be used. The Customer Complaint Record and the instructions for completing the form are located on the base shared drive: /27_SOMSG\27_SOCONS\QAPC|Performance Plan Forms.

4.5.3. Validating Complaints. The QAP shall review all customer feedback for complaints and suggestions and validate the complaint’s applicability to the contract requirements. Other government offices shall also notify the QAP directly for complaints related to contractor performance. If the complaint is not valid, the QAP shall advise the customer of contract requirements. If complaint is valid, QAP shall process the Customer Complaint Record (see Paragraph 4.5.2).

4.6. SUBMITTING SURVEILLANCE DOCUMENTATION. All documentation resulting from surveillance becomes a permanent part of the contract file. QAP shall submit surveillance results (documentation) to the contracting officer no later than the 5th workday following the end of the surveillance period. The QAP shall forward the results and the CPAR (see Paragraph 4.9) to the Functional Commander/Program Manager (see Appendix A) for review and coordination/signature prior to submitting surveillance results to the CA.

4.7. CERTIFYING RECEIPT OF CONTRACTOR SERVICES:

4.7.1. Wide Area Workflow Training. QAP are responsible for certifying receipt of the contractor’s services in Wide Area Workflow (WAWF) and for determining payment due on a monthly basis. Prior to certifying receipt of services for the month, the QAP must review the surveillance documentation to ensure that all performance was at or above the performance thresholds of the SS for the month and that all services were received. In order to access WAWF, QAP shall complete WAWF training through the following website: https//wawf.eb.mil/. The training consists of separate modules, each with its own training certificate. Upon completion of all training modules, the QAP shall ensure DD Form 2875, System Authorization Access Request (SAAR), is completed and delivered (along with copies of the training certificates) to the Budget & Accounting Liaison Office to receive a WAWF userID and password.

4.7.2. Processing Invoices. When the contractor generates an invoice in WAWF, the QAP should receive a system-generated e-mail advising of the invoice’s existence. QAP are responsible for processing invoices immediately upon receipt, but shall verify that services being invoiced were received prior to accepting the invoice. QAP shall ensure a copy of the invoice and receiving report are printed and filed in their contract file.

4.7.3. Expenditure Log. The CA maintains an expenditure log which tracks the starting amount for each year of the contract, all increases and decreases made to the contract via modifications, decreases made via invoice payments, and the ending balance for each contract line item number (CLIN). Tracking the amounts remaining on each CLIN aids in ensuring an anti-deficiency action is not committed and identifying excess funds for de-obligation as we near end of year (specifically for estimated quantity CLINs). The QAP shall develop a similar tracking system and periodically (at least quarterly) check balances with the CA to ensure the dollar amounts match.

4.8. PROGRESS MEETINGS. The CA shall schedule regular performance progress meetings, or the meetings may be held when requested by the contracting officer, QAP, or the contractor. Initially, progress meetings may be held more frequently (i.e., weekly, monthly) until a comfort level is reached that performance is well underway or parties agree that meetings should continue on a more frequent basis. Upon reaching the performance comfort level or BRAG members agree that progress meetings could be held less frequently, progress meetings for this requirement shall be held on a quarterly basis. QAP are required to attend these meetings. The CA shall write and distribute meeting minutes. Meeting attendees have 10 calendar days from receipt of the minutes to advise the contracting officer of non-concurrence with any portion of the meeting minutes. Non-concurrence shall be provided in writing. NOTE: The frequency of meetings shall not necessarily indicate poor contractor performance.

4.9. CONTRACTOR PERFORMANCE ASSESSMENT REPORT (CPAR):

4.9.1. CPAR Submittal. The QAP shall submit a monthly CPAR to the contracting officer no later than the 5th workday following the end of the surveillance period. Prior to submitting the CPAR to the contracting officer, the QAP shall forward the CPAR, along with the contractor performance surveillance results (see Paragraph 4.6) to the Functional Commander/Program Manager (see Appendix A) for review and coordination/signature. The CA shall provide the results to the contractor at the regularly scheduled progress meeting. The CPAR form and the instructions for completing the form are located on the base shared drive: P:\27_SOMSG\ 27_SOCONS\QAPC\Performance Plan Forms.

4.9.2. Substantiating the Rating. When providing the CPAR ratings, the QAP shall provide a narrative substantiating the rating for each of the assessment elements. The narrative shall contain what the contractor did that warrants stated rating, how the contractor performed said action, and what the result of the action was (i.e., the benefit to the government). By providing concrete narratives, the QAP is supplying the required documentation for the annual CPAR.

4.9.3. Annual CPAR. The BRAG shall compile the interim CPAR inputs in order to develop the annual CPAR. The BRAG shall review and finalize the annual assessment and forward to the contractor via the Contractor Performance Assessment Reporting System (CPARS). The contractor shall have 30 calendar days to respond to the assessment before it is permanently documented in the automated collection system and the Past Performance Information Retrieval System (PPIRS).

5. PROGRAM MANAGER/QUALITY ASSURANCE PERSONNEL APPOINTMENT.

5.1. PROGRAM MANAGERS. In accordance with AFI 63-124, Performance-Based Services Acquisition, the Functional Commander may delegate his/her duties. The individual(s) to whom these duties are delegated is called the Program Manager. The Functional Commander shall complete the appointment letter located on the base shared drive: P:\27_SOMSG\27_SOCONS\ QAPC\Performance Plan Forms and submit the letter to the QAPC. Upon receipt of the letter, the QAPC shall provide the Program Manager with the required training.

5.2. QUALITY ASSURANCE PERSONNEL. Prior to performing any QAP duties, all QAP shall complete QAP Phase I and Phase II training and shall be provided with a letter from the CO delegating CO duties and responsibilities to the QAP. Functional Commanders and/or the Program Manager shall complete the appointment letter located on the base shared drive: P:\27_SOMSG\27_SOCONS\QAPC\Performance Plan Forms and submit the letter to the QAPC. The QAPC shall schedule appointee(s) for Phase I training (if needed) and upon completion of Phase I, the QAPC shall forward appointment letter and request for Phase II training to the contract administrator.

6. HAZARDOUS MATERIAL (HAZMAT) – QAP RESPONSIBILITIES. When the contractor is required to submit paperwork to the QAP for reporting HAZMAT, the QAP shall be responsible for ensuring said paperwork is coordinated through the Natural Resources Management Element (27 SOCES/CEAN) and the HAZMAT Pharmacy.

7. PERFORMANCE PLAN REVISIONS OR NEW BRAG MEMBERS. Revisions to this Performance Plan are the joint responsibility of the BRAG. Revisions may be made at any time changes are deemed necessary and are agreed upon by the BRAG. BRAG members shall sign the initial Performance Plan at Appendix D of the plan and upon revision. Upon assumption of duties as a new BRAG member, new appointees shall read this Performance Plan and acknowledge their understanding of their duties and responsibilities as part of the BRAG by signing at Appendix D of the plan.

APPENDIX A

BRAG CHARTER

1. NAME. Business Requirements Advisory Group (BRAG) – Wastewater Treatment Plant

2. AUTHORITY. AFI 63-124, Performance-Based Services Acquisition

3. PURPOSE. AFI 63-124 requires the formation of a Multi-Functional Team (MFT) to create an environment that shapes and executes the acquisition. The BRAG is a customer-focused, MFT instituted under the authority of the Wing Commander. The BRAG plans the acquisition and then remains responsible for assessing contractor performance and managing the requirement throughout the life of the contract. Following are the roles and responsibility of BRAG members.

4. DUTIES AND RESPONSIBILITIES:

4.1. FUNCTIONAL COMMANDER (FC) (May delegate duties):

Ensures the Performance Work Statement (PWS) and Performance Plan are prepared in performance-based format, foster innovation, and define metrics; and obtains contracting officer coordination on the final product.

Ensures the requirements documents (PWS, Performance Plan, Independent Government Estimate (IGE), and funding document) are submitted to the contracting officer.

Nominates qualified individuals as primary/alternate Quality Assurance Personnel (QAP).

Reviews Quality Assurance Personnel’s (QAP’s) surveillance schedule and surveillance checklist, which contains contractor performance documentation, prior to submission to the Contract Administrator (CA) to ensure performance is compatible with contract and mission objectives.

Ensures QAP compliance with Performance Plan procedures.

4.2. PROGRAM MANAGER (PM): Delegated by the FC to oversee the contracted services for the functional area. When appointed as the delegated FC, assumes the responsibilities performed by the FC. The

4.3. CONTRACTING OFFICER (CO):

The only agent authorized to bind the government in a contractual relationship.

The only agent whose interpretation of the contract is legally binding.

Ensures open communication is maintained between all parties, pre and post award.

Delegates authority to QAP for inspection and acceptance in accordance with the terms of the contract.

Manages the listing of QAP assigned to the contract.

Informs the contractor of the names, duties, and limitations of authority for all QAP assigned to the contract.

Takes appropriate action should unacceptable contractor performance occur.

Advises the BRAG on developing incentives/remedies, as appropriate, tied to performance objectives and thresholds.

Advises the BRAG on developing the Performance Plan.

Maintains, in the contract file, documentation of training provided by contracting personnel and/or Quality Assurance Program Coordinator (QAPC).

4.4. CONTRACT ADMINISTRATOR (CA):

Responsible for the day-to-day administration of the contract.

Reviews QAP documentation and identifies deficiencies for QAP corrective action.

Processes contract modifications as necessary.

Schedules and conducts progress meetings.

Documents progress meeting minutes and distributes to BRAG members.

Business advisor to the customer throughout development and administration of the contract.

4.5. QUALITY ASSURANCE PERSONNEL (QAP):

Notify the CO of any performance deficiencies.

Complete surveillance schedule and documentation, and forward to the CA.

Analyze, quantify, prepare, and forward contractor performance assessment results to the CA. Monthly contractor performance assessment results shall be used as a metric to track contractor progress in meeting performance objectives.

Certify acceptance of services.

Recommends any changes necessary to the contract, PWS, Performance Plan, or other requirements to provide more effective operations or eliminate unnecessary costs.

Issue work in accordance with the PWS.

DO NOT have the authority to make any contractual commitments or authorize any changes on the government’s behalf. Any changes shall be referred to the CO.

4.6. QUALITY ASSURANCE PROGRAM COORDINATOR (QAPC):

Ensures quality assurance procedures are IAW AFI 63-124 and local procedures.

Participates in the BRAG.

Supports the BRAG in developing contract requirements.

Reviews and coordinates all PWSs and Performance Plans. Ensures requirements documents are clear and enforceable.

Reviews and coordinates all changes to the PWS and Performance Plan.

Provides training for the FCs and QAP as required.

Processes and maintains quality assurance appointments and delegation memos.

Assists with market research in determining commercial quality assurance practices.

Assists, as required, with evaluation of the contractor’s Quality Control Plan (QCP).

4.7. CONTRACTOR:

Complies fully with the terms and conditions of the contract.

Participates as a member of the BRAG, post-award.

Maintains and implements a QCP that ensures services tendered to the government for acceptance conform to contract requirements.

Ensures that non-conforming contract services are identified and corrected. Revises quality control as required to prevent recurrence of non-conforming contract services.

Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

APPENDIX B

QAP SURVEILLANCE SCHEDULE

This appendix can be found under separate Excel file.

APPENDIX C

QAP SURVEILLANCE CHECKLIST

This appendix can be found under separate Excel file.

APPENDIX D

PERFORMANCE PLAN SIGNATURE PAGE

I have read the Performance Plan and understand the role I play as a member of the BRAG.

NAME/TITLE

SIGNATURE

DATE

Functional Commander or Program Mgr

Quality Assurance Personnel – Pri

Quality Assurance Personnel – Alt

Contract Administrator - Pri

Contract Administrator - Alt

Contracting Officer

Quality Assurance Program Coordinator

Contractor (after award)