QASP-AFDTL_Waste_Disposal_23Oct_14.pdf

AIR FORCE MEDICAL OPERATIONS AGENCY

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

AIR FORCE DRUG TESTING LABORATORY WASTE DISPOSAL SERVICES

23 October 2014

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) For

AIR FORCE DRUG TESTING LABORATORY WASTE DISPOSAL SERVICES

TABLE OF CONTENTS

Page #

1.0 MISSION 3

2.0 PURPOSE 3

3.0 AUTHORITY 4

4.0 ROLES AND RESPONSIBILITIES 4

5.0 CONTRACTOR’S QUALITY CONTROL PLAN (QCP) 6

6.0 PERFORMANCE REQUIREMENTS AND METHOD(S) 6

OF SURVEILLANCE

7.0 SURVEILLANCE DOCUMENTATION 8

8.0 ACCEPTANCE OF SERVICES 9

9.0 CONTRACT MANAGEMENT 9

10.0 COORDINATION AND APPROVAL 11

APPENDICES:

1. SERVICES SUMMARY (SS) AND METHOD OF 12

SURVEILLANCE

2. CUSTOMER COMPLAINT RECORD 13

3. SAMPLE COR SERVICES SUMMARY SURVEILLANCE REPORT 14

4. PERFORMANCE RATINGS USED FOR COR 16

SERVICES SUMMARY SURVEILLANCE REPORT

5. CONTRACTING OFFICER’S ANNUAL COR FILE

INSPECTION CHECKLIST AND COR CONTRACT FILE INDEX 17

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1.0 Mission

The Air Force Medical Operations Agency (AFMOA) is responsible for optimizing the health, safety, and performance of the U.S. Air Force Medical Services (AFMS). Its mission covers a broad range of programs including medical operations support to include forensic drug testing.

Contract service is required to properly remove and destroy medical waste accrued to the normal course of drug testing operations

2.0 Purpose

This Quality Assurance Surveillance Plan (QASP) is a government-developed document used to determine if the contractor’s performance meets the performance standards outlined in the contract. The QASP establishes procedures on how to conduct surveillance/inspection process to ensure successful PWS performance. It provides a systematic method for continuous oversight process to determine conformity with the technical requirements of the contract. The QASP establishes:

What will be monitored.

How monitoring will take place.

Who will conduct monitoring.

How monitoring efforts and results are documented.

The contractor is responsible for implementing and delivering performance that meets contract objectives using its Quality Control Plan (QCP). The QASP provides the structure for the government’s surveillance of the contractor’s performance to assure that it meets contract requirements. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance. The Contracting Officer (CO) shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract and determines the final assessment of contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s QCP. This

QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

The QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

3.0 Authority

Authority for issuance of this QASP is provided under Part 37.604 and 46.4 of the Federal

Acquisition Regulation (FAR), Inspection of Services clause (also reference 52.212-4 Contract

Terms & Conditions—Commercial Items Paragraph (a) Inspection/Acceptance), which provides for inspection, acceptance and documentation of the service called for in the contract or order.

This acceptance is to be executed by the Contracting Officer (CO) or a duly authorized representative.

4.0 Roles and Responsibilities

Multi-Functional Team Roles and Responsibilities. The purpose of the multi-functional team is to create an environment that shapes and effectively executes acquisitions within their purview. The emphasis is on teamwork, trust, common sense and agility. These stakeholders are responsible for the acquisition throughout the life of the requirement, instituted under the authority of the senior leadership; every representative within the multi-functional team brings to the team their unique level of expertise. The following personnel comprise the Multi-Functional

Team (MFT) and shall oversee and coordinate surveillance activities.

Government Representatives:

Contracting Officer (CO) – The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The CO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract and shall determine the final assessment of the contractor’s performance. The CO shall designate a primary and alternate COR prior to contract award. Upon request, the CO shall provide an assessment on COR performance to the COR Supervisor. The CO is the only person with the authority to make interpretations of and changes to the contract.

Specific duties of the CO include:

Delegating authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract.

Informing the contractor of the names, duties, and limitations of authority for all CORs assigned to the contract.

Periodically assessing the COR’s performance.

Managing contractor performance surveillance data, including submitting Contractor

Performance Assessment Reporting System (CPARS) reports.

Ensuring the MFT reviews this QASP annually (at a minimum) for recommended changes.

Providing contract-specific training (to include refresher training) administered by CO or

CO’s designee to all appointed CORs.

Contracting Officer Representative (COR) Supervisor– The COR Supervisor nominates the

COR, ensures the COR is trained before performing any COR duties and supports the COR’s surveillance activities.

Contracting Officer’s Representative (COR) - The COR is responsible for providing continuous program and technical oversight of the contractor’s performance. While the COR may serve as a direct conduit to provide Government guidance and feedback to the contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the government’s behalf. The COR is responsible for reporting early identification of performance problems to the CO and may use the applicable appendix items for documenting contractor performance.

Specific duties of the COR include:

Evaluating and documenting the contractor’s performance in accordance with the procedures set forth in the QASP.

Recommending any changes necessary to the contract, PWS, QASP, or other items to provide operations that are more effective or eliminate unnecessary costs.

Keeping a COR file that accurately documents the contractor’s actual performance (i.e.

COR surveillance reports).

Utilizing COR file data (i.e. performance and COR surveillance reports) to assist the CO in the preparation of the CPARS reports.

Receiving required training before performing any COR duties (IAW MP5301.602-2(d)).

To notify the CO immediately regarding contractor non-compliance with FAR 52.222-

50, “Combating Trafficking in Persons.”

o The Contractor shall comply with FAR 52.222-50, Combating Trafficking in

Persons. Additional information about Trafficking in Persons can be found at the site for the Department of State’s Office to Monitor and Combat Trafficking in

Persons below.

http://www.state.gov/j/tip o In accordance with the Defense Contingency COR Handbook section on

Combating Trafficking in Persons, the COR must inform the PCO if the

Contractor/subcontractor and/or Contractor/subcontractor personnel fail to comply with the requirements of FAR 52.222.50.

o The PCO must convey the information to DoD Combat Trafficking in Persons

(CTIP) Law Enforcement and Support / Office of Under Secretary of Defense

(OUSD) Personnel and Readiness (P&R) Defense Human Resources Activity

(DHRA).

Quality Assurance Program Coordinator (QAPC) - The QAPC is responsible for developing, managing, and implementing the Quality Assurance Program. The QAPC provides the QAPC

Led Training & may provide refresher training, as needed.

http://www.state.gov/j/tip http://www.acq.osd.mil/dpap/ccap/cc/corhb/Files/DCCOR_Handbook_2012.pdf

Other Key Government Personnel -

The Program Manager (PM) - Has the overall responsibility for initiating, managing, and tracking the various programs/projects that support the contract. The PM is the primary liaison of the contractor employees’ performance and the Contracting Officer (CO) and the COR. The PM is responsible for assisting in the preparation of requirements documents providing customers with a single contact point, monitoring the contractor’s overall performance of all assigned contracts, task orders and recommending contract changes and other supporting documentation.

The CO and PM share joint responsibility in facilitating the multi-functional team meetings.

Chief Medical Logistics Officer - Has overall responsibility for identifying mission essential services and developing the necessary documents in accordance with DFARS 237.76, Continuation of Essential Contractor Services. Coordinates with and requests supervisors assign primary and alternate Contracting Officer Representatives (CORs) who will be available full time or as warranted by the procurement cycle. Reviews contractor performance documentation on a regular basis to ensure performance is compatible with contract and mission objectives while supporting a higher level of contractor performance, and fostering synergistic partnerships.

Contractor Representatives:

Contractor – Complies fully with the terms and conditions of the contract and ensures non-conforming contract services are identified and corrected.

Specific duties of the Contractor include:

Participating as a member of the MFT in the post-award management phase.

Maintaining and implementing their commercial quality procedures that ensure contract requirements are met.

Ensuring that the QCP is revised when necessary to prevent recurrence of non-conforming contract services.

Tendering to the government for acceptance, only those services that conform to contract requirements.

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

5.0 Contractor’s Quality Control Plan (QCP)

A Contractor’s QCP, and updates a needed, is provided in accordance with the terms and conditions of the contract. The Contractor’s QCP compliments this QASP and is located in the contract file.

6.0 Performance Requirements and Method(s) of Surveillance

6.1 Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the CO and the contractor, which enables positive, open and timely communications.

The COR uses the methods contained in this QASP to ensure the contractor complies with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance.

Additionally, this QASP is based on the premise that the contractor, not the Government, is responsible for management and quality control/quality assurance actions to meet the terms of the contract.

Incentives. Performance that continually exceeds the performance objectives as outlined in the PWS may result in reduced surveillance and favorable Contractor Performance

Assessment Reports (CPAR). Performance that does not meet the performance objectives as outlined in the PWS may result in re-performance of the defective service in accordance with the Inspection of Services clause, reduction of fee/price, negative CPAR reporting and/or increased surveillance.

Non-Service Summary (SS) Items. Quality performance is expected on all contract requirements by the contractor and is not limited to just SS items. All Non-SS items may be inspected by the COR.

6.2 Surveillance Summary

The Services Summary (SS) and Method of Surveillance (Appendix 1) is the list of performance objectives and thresholds that must be performed by the contractor. This summary details the method(s) of surveillance the COR will use to validate and inspect these performance objectives. Inspection of each objective will be documented in the COR file.

Performance objectives define the desired outcomes. Performance thresholds define the level of service required under the contract to meet the performance objective. The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance thresholds. The PWS and QASP should be used to form the foundation of the COR’s inspection.

Method(s) of Surveillance:

100% Inspection: The COR will inspect and evaluate the contractor’s performance each time it is performed. The result of the contractor’s overall performance is then evaluated to determine acceptability of the service provided.

Periodic Inspection: These items are inspected using periodic surveillance (daily, weekly, monthly, quarterly, etc.) as determined by the COR. The results of the periodic surveillance inspections may be used as the basis for actions (other than payment deductions) toward the contractor. In such cases, the Inspection of Services clause becomes the basis for the CO’s actions. The schedules (if applicable) are submitted to the CA for review prior to the month being inspected.

Customer Complaint: The COR is the point of contact and must collect all customer complaints. The Customer Complaint Record below will be used for this purpose. All complaints and any resulting resolution of such complaints must be documented with the information required on the customer complaint form. Customer complaint forms become a permanent part of the COR file.

7.0 Surveillance Documentation

7.1 Customer Complaint Record (Appendix 2)

The COR shall ensure complaint procedures and forms are made available to all customers

(See Customer Complaint Record below). Any personnel that observe questionable or incomplete services or services not performed, or performed improperly, should immediately contact the COR. The COR shall receive, document, and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the complainant and explain why the complaint was invalid. The COR shall fully document the resolution for each complaint on the Customer Complaint Record. Complaints will be tracked and if the performance threshold is exceeded, the COR shall notify the CO in writing. The CO will notify the contractor and appropriate action can be taken.

7.2 Sample COR Services Summary Surveillance Report (Appendix 3)

The communication of expected outcomes begins the performance management feedback loop. Performance standards are expressed in the PWS and are assessed using the methods of surveillance shown in the SS surveillance. This report shall be submitted to the

Contracting Officer (CO) (through the Contract Specialist) and uploaded into the

CORT Tool no later than the 5 th business day of each month. The CO may agree to printing this report from the CORT Tool each month in lieu of a separate submittal.

8.0 Acceptance of Services

Before acceptance of product(s) or service(s) and/or approval of an invoice, the COR shall prepare a COR Services Summary Surveillance Report (Appendix 3) in accordance with the

QASP and FAR 52.212-4 (Contract Terms and Conditions – Commercial Items), Inspection and

Acceptance Clause or FAR 52.246-4 Inspection of Services—Fixed Price (or -5 for Cost

Reimbursement/-6 T&M & LH, etc.). The report can be tailored to meet the surveillance needs for the requirement but as a minimum, it must contain the Services Summary with performance ratings & explanation(s) for any PWS requirement rated above or below “Satisfactory” (See

Attachment 1 to Appendix 3 for definitions of Performance Ratings). The report shall identify both positive and negative performance. The report shall be signed and dated by the COR & CO and uploaded to the CORT Tool.

The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract. The COR will certify receipt of contractor services via the Wide Area

Workflow (WAWF) website. Certification of services shall be accomplished no later than seven

(7) calendar days after receipt of the invoice. To avoid payment of interest penalties, if the invoice is unacceptable, it should be rejected in WAWF within the first seven (7) calendar days after receipt of the invoice, and the CO should be notified immediately.

9.0 Contract Management

The MFT shall conduct periodic progress meetings to review the contractor’s performance. At these meetings, the CO will apprise the contractor of how the Government views the contractor’s performance and the contractor will apprise the Government of problems, if any, being experienced. The contractor will immediately notify the CO and/or COR of any work being performed that the contractor considers over and above the requirements of the contract.

Appropriate action shall be taken to resolve any outstanding issues (i.e. CPARS, customer complaint reports, etc.).

The MFT shall also provide any recommended changes to the QASP to the CO at the progress meetings or on an annual basis (at a minimum).

Initial Contract Performance Review: This evaluation shall take place within 30 days after the contractor assumes full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the contractor has successfully started performance, completed transition, is fully operations, and is within the estimated cost, schedule, and performance parameters of the contract.

Initial Contract Performance Review Criteria

Technical. Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, safety, or health standards).

Schedule. Assess the timeliness of the contractor against contract requirements;

task orders, milestones, delivery schedule, administrative requirements, and sample negative and positive turnaround times (e.g., efforts that contribute to or affect the schedule variance).

Management/Performance. Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

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

Special Interest Items. Assess process improvement and adherence to forensic procedures.

COR Contract File: A contract file must be established and maintained by the COR. The COR shall maintain the file in a computer data base system using the Contractor Officer

Representative Tracking (CORT) Tool. Until notified otherwise, the COR shall also maintain a hard copy (paper) file. The COR will create a profile, complete the required training, and upload their certificates into the CORT Tool and then self-nominate by selecting their supervisor who will approve this action. Final approval, in CORT, is accomplished by the CO. Upon Approval, The CORT tool will be used to track CORs, contract documents, reports and all other documentation maintained in the hard copy COR file. The contents of the COR Contract file are shown at Appendix 5.

10.0 Coordination & Approval: The multi-functional team member signatures below indicate their coordination and acceptance/approval of the QASP for the Air Force Drug Testing

Laboratory Waste Disposal Services. These signatures indicate coordination on the plan at the time of development and will remain in effect until the plan is changed.

QASP COORDINATION:

Mark R. Bruins, GS-14, Date

Primary COR/Program Manager

Deputy Director, HQ AFDTL

AFMOA/SGBD

David Romo, GS-12 Date

Alternate COR

Administrative Officer, HQ AFDTL

AFMOA/SGBD

PERRY STANSBURY, Lt Col, USAF, MSC, CFAAMA Date

Chief, Medical Logistics – San Antonio

Air Force Medical Operations Agency (AFMOA/SGAL)

Joint Base San Antonio—Lackland

TOMMY LEOS, GS-13, USAF Date

Contracting Officer

773 ESS/PK

QASP APPROVAL:

________________________________________ __27 Oct 2014__

KARLA F. DODD, GS-13, USAF Date

QAPC

1166872444C Typewritten Text 28 Oct 2014

APPENDIX 1

Services Summary (SS) and Method of Surveillance: AFMOA/ SGBD

Method(s) of Surveillance

Performance Requirements

PWS

Paragraph Reference

Performance Threshold/

Standard

Surveillance Method

1 20 clean and sanitized containers with a 96 gallon capacity are on hand at the AFDTL

2.1.1. to 2.1.1.4

No more than one (1) instance per contract year of failure to provide 20 clean- 96 Gal containers.

Periodic Inspection weekly

2 Provide disposal service sufficient to remove all discarded samples

2.1.2.1 Discarded samples

are removed as scheduled with no more than 2 late removals during a 6 month period attributable to the Contractor

Periodic Inspection weekly

3 Provide drivers possessing qualifications to enter onto Lackland

AFB

2.1.2.2 No more than one (1)

deficiency per option period

Periodic Inspection Quarterly

4 Provide and certify evidence of Privacy Act data and PII destruction with on-site verification

2.1.3.2 to 2.1.3.2.3

No Deficiencies 100% Inspection Quarterly

5 Provide and certify evidence of urine disposal

2.1.4 to 2.1.4.3

No Deficiencies 100% Inspection

Monthly

6 Provide report showing contract costs are being tracked and managed

2.5.2.4 No more than one

late report per year

100% Inspection monthly

Appendix 2– Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

APPENDIX 3

Sample “COR Services Summary Surveillance Report”

CONTRACT #:_______________________

SERVICE (PWS Title): ____________________________________________________

SURVEY PERIOD :_( sample: 1 – 31 Jan 2014) ____________________

Performance

Requirements

PWS

Paragraph

Reference

Performance

Threshold/ Standard

Surveillance

Method

1 20 clean and sanitized containers with a 96 gallon capacity are on hand at the

AFDTL

2.1.1. to

2.1.1.4

No more than one (1) instance per contract year of failure to provide 20 clean- 96

Gal containers.

Periodic

Inspection weekly

2 Provide disposal service sufficient to remove all discarded samples

2.1.2.1 Discarded samples are

removed as scheduled with no more than 2 late removals during a

6 month period attributable to the

Contractor

Periodic

Inspection weekly

3 Provide drivers possessing qualifications to enter onto

Lackland AFB

2.1.2.2 No more than one (1)

deficiency per option period

Periodic

Inspection

Quarterly

4 Provide and certify evidence of Privacy Act data and PII destruction with on-site verification

2.1.3.2 to

2.1.3.2.3

No Deficiencies 100%

Inspection

Quarterly

5 Provide and certify evidence of urine disposal

2.1.4 to

2.1.4.3

No Deficiencies 100%

Inspection

Monthly

6 Provide report showing contract costs are being tracked and managed

2.5.2.4 No more than one late

report per year

100%

Inspection monthly

SERVICE or STANDARD (For Non-Service Summary Items found not meeting standards):

ANALYSIS OF RESULTS:

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance during Survey Period:

PREPARED BY: ____________________________________ DATE: _________________

(COR Name/Office Symbol)

CONTRACTING OFFICER: ___________________________DATE:_________________

(CO Name/Office Symbol)

APPENDIX 4

“Performance Ratings used for COR Services Summary Surveillance Report”

The evaluation ratings are as follows:

Excellent/Outstanding – Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with no problems and the contractor actions were highly effective.

Very Good - Performance meets contractual requirements and exceeds some to the Government’s benefit.

The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

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

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

Appendix 5

CONTRACTING OFFICER'S ANNUAL COR FILE INSPECTION CHECKLIST

(to be accomplished in the anniversary month of appointment) AND COR CONTRACT FILE INDEX

Contract Type A B C

Date File Review Accomplished Contract Exp:

Position Name

Request for

COR

Support Ltr (Date)

CLC 106

or CLC

222 Cert (Date)

CLM 003

Cert

(Date)

QAPC

COR

(COR I)

Trainin g (Date)

CO

Contract Specific

(COR II)

Training

(Date)

Nominati on

Complete (Dates) (Ltr &

CORT)

Designati on Ltr signed by all parties (last date signed)

Termination Ltrs

(Date)

SDO

COR SUP

COR

Alt COR

Does the COR File contain the following, as applicable:

(mark one location for each of the following)

NOTES:

1. COR shall be able to show CO the document(s) in the system. Not just state that's where it is.

2. The CORT Tool is not DoD 5015.2 Record System compliant. Therefore cannot be used as a location for COR files. However, use of CORT Tool is mandatory.

TOPICS TO DISCUSS

WAWF EDA

COR File (Hard or

Soft)

Other (Specify)

A Basic contract and all attachments and Task Order

B All Modifications to Basic contract and Task Orders

C PWS

D QASP (have COR explain QASP)

E Contractor's Quality Control Plan (CQCP)

F Surveillance Inspection Reports

G QASP being followed? (SDS items, type of inspection, etc)

H Did the contractor receive formal notification of unacceptable inspections? Conversations with the contractor documented?

I Customer Complaint Records

J Corrective Action Report(s)

K Minutes of Post-Award Conference (if applicable)

L

Minutes of Initial Contract Performance Review IAW AFI 63-101

4.9 (taken place w/I 30 days after the contractor assumes full performance responsibilities or waiver from SDO).

M Documentation showing control/disposition/monitoring of GFP (if applicable)

N OPSEC CLC 107 training certificate

O Trafficking in Person certificate

P WAWF training certificate

CONTRACTING OFFICER'S ANNUAL COR FILE INSPECTION CHECKLIST Page 2 of 2

CONTRACT NUMBER

COMMENTS:

Printed Name

SIGNATURE DATE

COR

CO or Contract Administrator

Contracting person performing inspection

QAPC