Attch_2_QASP_1Sep15.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

SNOW REMOVAL FOR ROME RESEARCH SITE (RRS) &

DEFENSE FINANCE ACCOUNTING SERVICE (DFAS)

Contract: TBD

01 September 2015

FA8751-15-R-0022

1. PURPOSE: This Quality Assurance Surveillance Plan (QASP) has been developed to assess Contractor performance and manage the contract to obtain efficiencies and to improve performance and cost savings through the contract performance period. It describes how the Government will evaluate and assess Contractor performance and is intended to be a “living” document that will be revised or modified as circumstances warrant. This plan is based on the premise that the Contractor, not the Government, is responsible for managing and ensuring that quality controls meet the terms of the contract.

2. OBJECTIVE: This requirement will support the Air Force Research Laboratory Information Directorate (AFRL/RRS) and the Defense Finance and Accounting Service (DFAS). The contractor will be responsible for providing all labor, materials, and equipment necessary to remove snow, haul snow, and mitigate ice on road network, walks, parking areas, and around buildings as required, eliminating hazardous driving and walking conditions as defined in the Performance Work Statement (PWS) dated 30 April 2015, ULDF#: 15-0512. In addition, the contractor shall furnish all labor, materials, and equipment necessary to remove ice mitigation materials from all roads, walks, parking areas, and adjacent lawn areas at the conclusion of the snow removal season as defined in the PWS. The area to be serviced is approximately 155,000 square yards. The anticipated period of performance is 01 November 2015 through 31 October 2016 plus 4 option years. If all options are exercised, performance would conclude 31 October 2020.

3. GOALS: By virtue of this QASP, the Multi-Functional Team (MFT) will manage this contract and strive to achieve efficiencies, improve customer service and Contractor performance, and ensure cost savings. Additional goals are as follows:

Maximize performance Encourage innovation Promote performance-based services Increase awareness that performance-based services require participation from all team members

4. ROLES AND RESPONSIBILITIES: The Contracting Officer’s Representative (COR) is appointed by the COR’s Supervisor and delegated authority by the Contracting Officer (CO) to perform quality assessment functions and manage performance in accordance with the QASP.

This individual serves as the on-site technical manager, assessing Contractor performance against contract performance standards. However, all members of the MFT are stakeholders, and as such, are responsible for the success of the services acquisition. Execution and performance management and measurement of all the goals and objectives identified in the QASP are the joint responsibility of the MFT members.

4.1. MFT MEMBERS ROLES & RESPONSIBILITIES:

Chief, Contracting Division Contracting Officer Contract Administrator

Contracting Officer’s Representative Supervisor Contracting Officer Representative Quality Assurance Program Coordinator Contractor Representatives from Small Business, Financial Management, and Legal, as required

4.1.1. CHIEF, CONTRACTING DIVISION: Serves as the Business Advisor to senior leadership; develops and implements acquisition strategies for services acquisitions; appoints and provides oversight of the MFT in planning, assessing Contractor performance, and managing the acquisition throughout the life of the requirement in accordance with the FAR and all supplements. Provides Management and Oversight of the Acquisition of Services Process (MOASP) on services acquisitions to the MAJCOM for consolidation. The Chief, Contracting Division, will provide a health of services acquisitions presentation to senior leadership on an annual basis.

4.1.2. CONTRACTING OFFICER (CO): Ensures open communication is maintained between all parties, pre- and post-award. Ensures the COR meets all qualification and training requirements prior to his/her assuming COR duties on the contract. Delegates authority for inspection and acceptance to the COR in accordance with the terms and conditions of the contract.

Informs the Contractor of the names, duties, and limitations of authority for the COR assigned to the contract. Periodically assesses the COR’s performance and advises the QAPC on any problems. Manages Contractor performance assessment data that may include submitting input to the Contractor Performance Assessment Reporting System (CPARS) Reports or Management and Oversight of Acquisition of Services Process (MOASP) Reports. Issues contract modifications as necessary. Takes appropriate action should unacceptable contract performance occur. Facilitates MFT Meetings.

4.1.3. CONTRACT ADMINISTRATOR (CA): Serves as the focal point for issues regarding the contract; prepares and processes modifications to the contract; assists the CO in ensuring Contractor performance meets contract standards; and, records and transcribes minutes of the MFT meetings. Verifies that the COR is accomplishing surveillance in accordance with the QASP and that all surveillance is documented in a timely manner. If deficiencies are discovered in the COR’s surveillance procedures, advises the CO and QAPC of the deficiencies and ensures corrective action is taken. Reviews the COR’s quality assurance files, as a minimum, on a quarterly basis. Assists the CO in providing COR training, as required.

4.1.4. CONTRACTING OFFICER’S REPRESENTATIVE SUPERVISOR (COR

SUPERVISOR): Ensures requirements documents developed by the MFT satisfy mission requirements, are performance-based, foster innovation, and define metrics. Nominates qualified individuals as primary and alternate COR. Ensures all personnel within the functional area who may have contact with Contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

Reviews the COR’s Contractor performance documentation on a regular basis to help ensure contract compliance.

4.1.5. CONTRACTING OFFICER’S REPRESENTATIVE (COR): Assists in the development of technical requirements and independent Government estimates (IGE) for contract services. Evaluates and documents the Contractor’s performance in accordance with the procedures set forth in this QASP. Immediately notifies the CO of any significant performance deficiencies. Maintains assessment documentation throughout the life of the contract. Certifies acceptance of services. Promotes business decisions to meet customer requirements by researching the marketplace to remain current with the most efficient and effective performance assessment methods and techniques. Performs market research throughout the life of the requirement to ensure the team is knowledgeable of the commercial marketplace. Fosters partnerships with industry to ensure exchanges of information with the service industry and other business experts. Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, and assessing the risk associated with these initiatives. Uses the QASP for implementing initiatives brought forward, and monitoring the success of implementation. Recommends any changes necessary to the contract, PWS, QASP, or other requirements to provide more effective operations or eliminate unnecessary costs.

4.1.6. QUALITY ASSURANCE PROGRAM COORDINATOR (QAPC): Coordinates all aspects of the Quality Assurance Program. Participates as a member of the MFT. Reviews and coordinates all PWSs and QASPs. Ensures all COR training is completed. Performs an annual review of COR surveillance files.

4.1.7. CONTRACTOR: Complies fully with the terms and conditions of the contract.

Participates as a member of the MFT in the post-award management phase. Maintains and implements a Quality Control (QC) Plan that complements the QASP, as required. Ensures that non-conforming contract services are identified and corrected. Tenders to the Government for acceptance only those services that conform to contract requirements. Recommends changes to the contract that will provide more effective operations or eliminate unnecessary costs.

4.1.8. SMALL BUSINESS SPECIALIST, FINANCIAL MANAGEMENT POINT OF

CONTACT, LEGAL ADVISOR: Provide expertise and guidance to the MFT when required.

5. PROCEDURES: In accordance with the PWS, the Contractor shall perform all requirements within specified timelines and frequencies. The COR will monitor and assess contract performance using metrics (measureable criteria) in accordance with the Services Summary to track Contractor progress toward meeting stated performance objectives. COR documentation of Contractor performance shall be accomplished as the observation is completed, thus preventing loss of information. If the COR identifies unacceptable performance, the Contractor shall be notified of the deficiency. The Contractor will be provided an opportunity to reperform the work if reperformance is possible. The COR shall reinspect the Contractor’s work when corrective action is complete. If the Contractor fails to meet the performance objectives after reperformance, the Contractor’s performance will be recorded as unacceptable. The COR will notify the CO and the Contractor any time performance objectives are not met. If reperformance is not possible, an adjustment will be made to the cost in accordance with the Inspection of Services clause contained in the contract. The COR will complete all surveillance inspections and document results to be retained in the contract file for review/information as applicable. All documentation generated in the performance of this plan shall be marked "For Official Use Only".

6. METHODS OF ASSESSMENT: The COR will inspect the Contractor’s performance of contract requirements using a combination of (1) periodic inspection and (2) customer feedback.

6. 1. PERIODIC INSPECTION: Services are inspected using periodic surveillance on a schedule (i.e. weekly, monthly, quarterly – as identified in the Services Summary) that is appropriate for the services being performed, as determined by the COR and CO. The results of periodic inspection may initiate actions toward the Contractor. In such cases, the Inspection of Services clause becomes the basis for the CO’s actions. A periodic surveillance schedule is submitted by the COR to the CA for review prior to the month during which inspection will occur.

All inspections will be documented by the COR accordingly and retained in the COR surveillance records.

6.2. CUSTOMER FEEDBACK: The COR will ensure any organization receiving the Contractor’s service has been provided sufficient information regarding the PWS, QASP, and contract for the customer to understand the requirements and provide meaningful feedback to the COR. This information will cover the format and content of the service being performed; the action that may be expected from the COR, CA, and CO as a result of the customer’s feedback;

and the limitations on the customer in dealing with Contractor personnel.

The COR is the point of contact and must collect all customer feedback. The AF Form 714, Customer Complaint Record, or a similar locally devised form may be used for this purpose. All complaints and resolution of such complaints must be documented with the information required on the customer complaint form. Periodically, the COR will contact any customer receiving the Contractor’s service to assure there is an understanding of the contract requirements by all affected personnel. Customer feedback will be retained in the COR surveillance records.

7. SERVICES SUMMARY: The following table identifies and describes the performance objectives and thresholds for the critical tasks/work requirements specified in the PWS.

Performance Objective Para Performance Threshold

Priority 1 Areas are addressed first and most frequently during peak business hours.

1.1.1.1 No more than 2 valid defects per

month

Eliminate hazardous driving and walking conditions during the winter season

1.2 No more than 2 valid defects per

month

Ascertain road and weather conditions 1.2 No more than 2 valid defects per month

Plowing operations begin within 1 hour of snow accumulation reaching 2” depth

1.2 No more than 2 valid defects per

month

7.1. The performance threshold for each of the performance objectives is listed in the table above.

If the Contractor fails to meet the performance objectives, the Contractor’s performance will be recorded as unacceptable. The COR will notify the CO and the CO will determine the appropriate action to take in accordance with paragraph (a) of FAR 52.212-4, Contract Terms & Conditions – Commercial Items clause in the contract. The CO will follow the requirements paragraph (a) of FAR 52.212-4, Contract Terms & Conditions – Commercial Items clause in the contract for Contractor’s failure to correct nonconforming services.

8. UNACCEPTABLE PERFORMANCE: When the Contractor’s performance is determined to be unacceptable, the COR will attempt to determine the cause of the unacceptable performance.

If any Government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the Contractor. The COR will take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. The COR will completely document the circumstance.

8.1. ON-THE-SPOT CORRECTIVE ACTION: When the COR observes a performance deficiency that he/she determines to be minor and follow-up action is not required, the responsible Contractor personnel will accomplish on-the-spot corrective action to correct the deficiency and its cause. The deficiency shall be documented by the COR for trend analysis and possible inclusion with the monthly feedback letter to the Contractor, however no formal correspondence has to be generated.

8.2. CORRECTIVE ACTION REPORT: When unacceptable performance cannot be corrected on-the-spot and is not the result of a Government action or lack of action, the COR shall promptly notify the Contractor and issue a Corrective Action Report (CAR) (see Para. 12, below) to the Contractor to assure corrective action is taken. This method will be required when the unacceptable performance is not considered minor and follow-up action is necessary.

Performance deficiencies more severe in nature (such as safety hazard to personnel or hardware, clear violation of contract requirements, 3 or more requests to the Contractor by the COR for on-the-spot corrective actions in the same functional area, etc.) are documented by using a CAR. By signing and dating the CAR, the Contractor is acknowledging that he/she has been informed of the unacceptable performance. The COR shall require the Contractor to reperform the service, if reperformance is possible; such reperformance will be at no additional cost to the Government. If the Contractor challenges the validity of the COR’s finding, and the COR and Contractor cannot come to an agreement, the matter shall be referred to the CO for resolution.

8.3. ACTION FOR UNACCEPTABLE PERFORMANCE: Unacceptable performance, even if corrected through reperformance by the Contractor, shall be documented as either a major or minor finding.

8.3.1 MAJOR FINDING: If at any time the COR identifies a condition as having a significant adverse effect on the quality of service, the COR shall document the finding and notify the CO immediately. The following are examples of major findings:

Failure to meet a performance threshold.

Failure to accomplish corrective action within a prescribed suspense period for deficiencies identified by the Government.

Failure to prevent recurrence of deficiencies identified by the Government.

Failure to provide corrective action to a CAR within the prescribed suspense period.

Any failure to adhere to safety or security regulations that results in a breach of safety or security.

8.3.2. MINOR FINDING: If at any time the COR identifies a condition as departing from established standards, but having little or no adverse effect on the services provided, the COR shall document the findings, but is not required to notify the CO. However, if the same minor finding is identified at least 3 times, the COR will examine the performance trend to determine if it constitutes a major finding. If the COR believes there is indication of a major finding, or that the minor finding will recur, the COR shall notify the CO in writing.

8.4. REMEDIES FOR UNACCEPTABLE PERFORMANCE:

8.4.1. Service contracts allow for penalties in the event that the Contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the CO against the Contractor within the general provisions of the contract for nonconformance to the PWS and Services Summary.

8.4.2. In accordance with the contract Inspection of Services clause, if any of the services performed do not conform with contract requirements, the Government may require the Contractor to reperform the services in conformity with contract requirements. When the services cannot be corrected by reperformance, the Government may:

By contract or otherwise, remove, replace, or correct the services and charge the cost to the Contractor; or

Terminate the contract for default.

9. CERTIFICATION OF SERVICES: Certification of services is performed by the COR via Wide Area Work Flow (WAWF), an electronic invoicing and receiving report system. At the end of each billing period, the Contractor inputs invoice information in the WAWF system. An automatic email is generated to notify the COR of the pending invoice. The COR accesses WAWF and verifies the accuracy of the invoice. If the data is correct, the COR certifies the invoice and payment is made by the Defense Finance Accounting Service (DFAS). If the COR encounters an error in the invoice, the COR consults with the appropriate Contractor personnel to rectify the data. If the Contractor disagrees with the COR, the issue is forwarded to the CO for resolution.

9.1. CONTRACTOR INSPECTION RECORDS: Records of inspections shall be kept and made available to the Government throughout the contract performance period and for the period after contract completion until final settlement of any claims under this contract.

10. CONTRACT MANAGEMENT: The Government shall utilize the following approaches, methods, and tools to manage the contract upon award:

10.1. MULTI-FUNCTIONAL TEAM: The MFT is the first element of performance management. A MFT is established and meets on a periodic basis. The MFT will manage contract performance throughout its lifecycle and is responsible to ensure the acquisition requirements are met on schedule and within budget during its lifecycle.

The MFT shall conduct periodic progress meetings to review the Contractor’s performance. At these meetings the Contracting Officer 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. Appropriate action shall be taken to resolve any outstanding issues.

10.2. CONTRACTOR PERFORMANCE ASSESSMENT REPORTING (CPAR): The COR shall conduct, document, track, and analyze Contractor performance via regularly scheduled assessments. The assessment results shall be maintained as Past Performance Information (PPI).

This documentation will be used to support the CPAR. Performance assessment data is entered by the Government into the web-based Contractor Performance Assessment Reporting System (CPARS) on an annual basis. The report assesses a Contractor’s performance and provides a record, both positive and negative, on a given contract for a specific period of time. Each assessment is based on objective facts and is supported by contract management data, performance management data, and performance assessment data.

10.3. COR MONTHLY REPORT: The COR shall submit an assessment report to the CA and CO no later than the first week following each month of Contractor performance. The report shall assess the Contractor’s performance in comparison to the objectives and thresholds listed in the Services Summary. In addition, since the Contractor shall maintain and implement a QC Plan to ensure the services provided conform to the requirements of the PWS, the COR shall monitor the Contractor’s performance in accordance with its own QC Plan.

The COR monthly report may include information such as the number of assessments scheduled and conducted, the number of unacceptable performances observed, the number of CARs issued, the number of valid complaints, any significant performance discrepancies, and a rating of the Contractor’s overall performance. The report shall be signed and dated by the COR. A feedback letter will be forwarded from the CA to the Contractor each month.

11. CONTRACTOR NOTIFICATION: The COR will ensure that the appropriate Contractor personnel, such as a Contract Manager, is regularly informed of contract performance status as well as any performance deficiencies observed by the Government. Notification of performance deficiency is for corrective action only and does not indicate that the Contractor concurs with the Government’s determination that performance was deficient. The COR also will notify the CA of all performance deficiencies observed.

12. COR DOCUMENTATION REQUIREMENTS: All surveillance activity in support of the QASP must be documented to provide the required objective evidence to justify Government acceptance of services. Thorough documentation of the Contractor’s performance, especially unperformed or poorly performed work, is essential for tracking Contractor performance throughout the period of performance. This documentation provides the CO with Contractor status as it applies to performance objectives and thresholds. The COR, as a trained inspector, will document any performance deficiencies by compiling facts describing the inspection methods and results. The COR will develop documentation to substantiate nonconformance with the contract.

The documentation, together with any recommendations, will be forwarded to the CA, who will decide whether to elevate the problem to the CO for corrective action. The COR is delegated specific authorities by the CO in the “Appointment of Contracting Officer’s Representative” memo. CORs are required to maintain accurate records of the Contractor's performance and keep the COR Supervisor informed of all data pertaining to Contractor status. The COR shall maintain the following documentation:

COR SURVEILLANCE FOLDER: A surveillance folder must be developed and maintained by each COR who is assigned to accomplish quality assurance for a performance requirement in accordance with the Surveillance Folder Checklist.

MONTHLY SURVEILLANCE SCHEDULE: The COR will develop a monthly schedule of planned surveillance activities to include at least the date, time, location, applicable PWS paragraph for the work to be observed, description of service being inspected, and surveillance method used. Once this schedule is completed, it becomes a FOR OFFICIAL USE ONLY document and must be marked accordingly. The COR shall not allow the Contractor to see the schedule. The COR must submit the monthly schedule to the CA for review prior to the month during which inspection will occur. The COR Supervisor must review and coordinate on the schedule prior to submission to the CA.

PERFORMANCE ASSESSMENT REPORT (PAR): A PAR is used to document both positive and negative routine performance. PARs must also document who was present during the surveillance (Government and Contractor personnel) and must be initialed by the Contractor. The PAR is kept in the COR’s Surveillance folder and is subject to review by the COR Supervisor, CO, CA, QAPC, and third party auditors.

CORRECTIVE ACTION REPORT (CAR): While the Government reserves the right to issue a CAR at any time, it should be used only after negative PARs and other corrective actions are ineffective. It is a formal contracting action issued by the CO, with a suspense date and the Contractor must respond to it in writing by that date. Critical issues involving safety, security, health, etc., are an exception and in such cases, issuing a CAR immediately could be the most appropriate action. The COR writes the CAR which the CO reviews and issues to the Contractor. All CARs will be logged into the CAR Log by the COR for tracking and trend analysis. The COR Supervisor will be consulted as necessary regarding the level of corrective action to be pursued. The Contractor’s Corrective Action Plan must be returned to the CO by the suspense date in Block 5 of the CAR and shall:

o identify cause of the deficiency o identify corrective action to be taken o identify measures to prevent recurrence

If the Contractor cannot respond within the 10 days provided, he/she must submit a written request to the CO with justification for the additional time requested. Instructions for completion of the CAR are attached to the form. The CAR will be closed per the instructions on the form and will become a permanent part of the contract file. Each CAR will be documented in the monthly surveillance report, Contractor feedback letter, and CAR Log in the contract surveillance file.

CORRECTIVE ACTION REPORT (CAR) LOG: A chronological log used by the COR to record all CARs. The CAR log shall contain the CAR number, date issued, Contractor, description of unacceptable performance, suspense date, and closeout date. All CARs and CAR logs shall be maintained by the COR for the life of the contract.

CUSTOMER COMPLAINT RECORD: A Customer Complaint Record must identify parameters and must ensure people know how to submit complaints. Not receiving complaints does not necessarily mean satisfactory performance.

13. DISPOSITION OF DOCUMENTS: Documenting and maintaining records of all surveillance activities is required, and becomes a permanent part of the contract file. The COR must maintain contract surveillance files during the entire term of the contract and, at closeout of the contract, these files and records are to be provided to the CO for inclusion in the official contract file or for disposition as directed by the CO. At the completion of the contract, the COR will contact the CO for disposition instructions. This will include monthly records that substantiate whether or not services were received.

14. ADDITIONAL GUIDANCE: Although the COR is responsible for surveillance of the contract requirements, this surveillance in no way relieves the Contractor of the responsibility to perform all services as required in the PWS. The Government reserves the right to inspect any item included in the PWS that may not be specifically identified in the Services Summary. The Contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The Contractor should develop and execute its own QC Plan to ensure success in meeting the contract performance objectives.

10. REVISIONS TO THE QASP: The COR or any MFT member may request/recommend revisions to this QASP during the duration of the contract.

11. DEVIATIONS FROM AIR FORCE INSTRUCTIONS (AFI): The MFT will document any decision to deviate from AFI 63-101 Chapter 4.

This QASP has been developed by the MFT and is approved for implementation and use to effectively assess Contractor’s performance outcomes for the SNOW REMOVAL FOR ROME RESEARCH SITE (RRS) & DEFENSE FINANCE ACCOUNTING SERVICE (DFAS) service.

MARK RABE LAWRENCE MARCISOFSKY

COR Supervisor Contracting Officer’s Representative

AFRL/RIOCO AFRL/RIOCO

JOHN HABERER ASHLEY ELLINGER

Contracting Officer Contract Administrator

AFRL/RIKO AFRL/RIKO

KELLY CONNIFF LINDA REED

Quality Assurance Program Coordinator Chief, Contracting Office

AFRL/RIKA AFRL/RIK

JANIS NORELLI WILLIAM WHITMAN

Small Business Specialist Legal Advisor

AFRL/RIB AFRL/RIJ

Contractor