121_-_6_QASP_2.pdf

Quality Assurance Surveillance Plan (QASP)

Water and Wastewater Technical Assistance to the Commonwealth Utilities Corporation

1 Vision, As part of direct oversight responsibility for the Commonwealth Utilities Corporation (CUC), program requirements, EPA Region 9 Pacific Island Territories Construction Grants Program must ensure professional and responsible implementation of EPA funded water and wastewater infrastructure projects.

2 Mission

EPA’s mission in this context is to provide technical assistance to CUC for drinking water and wastewater operations. The EPA is seeking full-time, on-island operational support for the duration of the contract period. This contract aims to improve CUC’s current operational practices. This effort will improve CUC’s institutional capacity to maintain assets by ensuring that assets are properly operated, with an emphasis on preventative maintenance. Ultimately, optimizing operational practices will help CUC extend the longevity of EPA funded water and wastewater infrastructure investments and maintain compliance with the Clean Water Act and Safe Drinking Water Act requirements.

3 Purpose This Quality Assurance Surveillance Plan is a government-developed document used to determine if the contractor's performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process including:

- What will be monitored?

- How monitoring will take place?

- Who will be conduct the monitoring?

- How monitoring efforts and results will be documented?

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government's surveillance of the contractor's performance to assure that it meets contract standards. It is the government's responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor's quality control plan. 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.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

4 Authority

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract. This acceptance is to be executed by the contracting officer or a duly authorized representative.

5 Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

5.1 Program / Project Manager

The PM provides primary program oversight, nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR's performance assessment activities. While the PM 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.

N/A

5.2 Contracting Office (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. Determine and document the final assessment of the contractor's performance in the governments past performance tracking system.

Assigned CO: James Hallman EPA Region 9, Contracts Office Telephone: 213-244-1810 Email: hallman.james@epa.gov

5.3 TASK Order Contracting Officer's Representative (TOCOR)

The TOCOR is responsible for providing continuous technical oversight of the contractor's performance. The TOCOR uses the QASP to conduct the oversight/surveillance process. The TOCOR shall keep a Quality Assurance file that accurately documents the contractor's actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The TOCOR is responsible for reporting early identification of performance problems to the CO. The TOCOR is required to provide an annual performance assessment to the CO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. The TOCOR is not empowered to many any contractual commitments or to authorize any contractual change on the Government's behalf.

Assigned TOCOR: Thomas Konner EPA, Region 9, Infrastructure Section, Water Division Telephone: 415-972-3408 Email: konner.thomas@epa.gov

6 Performance Requirements and Method of Surveillance

6.1 Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The TOCOR's contribution is their professional, non-adversarial relationships with the CO, PM and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent TOCOR evaluations of contractor performance against contract requirements. The TOCOR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The TOCOR 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 QC/QA actions to successfully meet the terms of the contract.

6.2 Surveillance Matrix

The Surveillance Matrix (Attachment 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the TOCOR will use to validate and inspect these performance elements. Inspection of each element will be documented in the TOCOR file. Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor's performance as it relates to the performance element standards. The PRS should be used to form the foundation of the TOCOR's inspection checklist.

Appendix 1 - Surveillance Matrix

Task 1. PROGRAM MANAGEMENT

PERFORMANCE

REQUIREMENTS

PERFORMANCE STANDARD ACCEPTABLE QUALITY

LEVEL

SURVEILLANC

E METHOD

Progress Reports: Deliver monthly progress reports to EPA including overview of funding, and expenditures, task progress, delays, issues and their resolution, upcoming activities and challenges.

• Reports shall be managed in a consistent, timely and professional manner.

• Reports shall concisely and accurately detail current project status; current and projected issues and how they will be managed; upcoming activities and milestones.

• Reports shall be delivered to the

TOCOR five business days after completion of the prior month’s reporting period.

• 90% of all reports shall be thorough, up to date, clear, concise, accurate and verifiable.

• 90% of all reports shall be provided to the

TOCOR not later than the close of business 5 days after completion of the prior monthly

• Regular review of reports and delivery dates.

Kick-off Call/Meeting: The Contractor shall conduct a kick-off call & meeting, prepare the agendas and meeting summaries.

• Kick-off call and meeting shall be coordinated with all parties.

• Agenda topics shall include all pertinent issues for discussion.

• Open issues shall be addressed within 5 days of call and meeting.

• Call and meeting summaries shall be submitted to the COR within 5 days of the meetings.

• The kick-off call is scheduled within 2 weeks of Task Order award. Kick-off meeting will be scheduled within 3 weeks of kick-off call.

• Draft agendas submitted to the COR at least 3 days prior to the meetings.

• 90% of all agenda topics are fully addressed during the meetings.

• Review for consistenc y and due diligence.

Routine Calls with

EPA/CUC:

Schedule routine bi-weekly calls with CUC and EPA and separate weekly status update calls with EPA.

• Each call shall cover recent accomplishments, challenges, project status, current and potential issues and upcoming milestones.

• Calls shall be managed in consistent, timely and professional manner.

• Call agendas and summaries

(required for

Contractor/CUC/EPA calls only and not for Contractor/ EPA), shall include key details, clarifications and agreements.

• Contractor shall send EPA weekly status/progress updates.

• Agendas shall be submitted to the COR and other stakeholders as appropriate, 3 days prior to each CUC call

• Any follow-up issues shall be addressed within 2 days if possible.

• 90% of all agendas and call summaries shall be thorough, up to date, clear, concise and free of spelling and grammar errors.

TOCOR to review for consistency and due diligence.

Final Reports Final Report shall be concise and professional. Report will summarize project implementation, actions taken and their results, lessons learned and recommendations for improvement.

• Final report shall be delivered within three days of due date.

• There shall be no more than five grammatical mistakes or typos in report.

TOCOR to review for consistency and due diligence.

Operational Oversight The contractor shall provide at least 3 full-time on-island staff to support and oversee CUC operations and complete contract objectives.

• All staff shall have operator certification in their respective fields.

• At least one drinking water subject matter expert and wastewater subject matter expert.

TOCOR to conduct site visits and ensure competency of staff assigned.

TASK 2. OPERATIONS AND MAINTENANCE ASSESSMENT, OPTIMIZATION, AND IMPLEMENTATION

PERFORMANCE STANDARD ACCEPTABLE

QUALITY LEVEL

SURVEILLANCE

METHOD

Monthly Recommendations and progress: Deliver monthly reports that include recommendations to improve current practices for more efficient operational procedures,

• Reports shall be managed in a consistent, timely and professional manner.

• Reports shall concisely and accurately detail current project status;

current and projected

• 90% of all reports shall be thorough, up to date, clear, concise, accurate and verifiable.

• TOCOR will review and ensure acceptable quality levels are met.

• TOCOR will track calendar and status on implementing/instituting recommendations within CUC operations.

issues and how they will be managed; upcoming activities and milestones.

• Reports shall be delivered to the TOCOR five business days after completion of the prior month’s reporting period.

• 90% of all reports shall be provided to the

TOCOR not later than the close of business 5 days after completion of the prior monthly reporting period.

SOP Review, Inventory, and Update: Deliver a report of SOPs that are required to operate the system safely and up to industry standards, which includes an inventory of CUC’s current SOPs, as well as SOPs that need to be developed. Review and if necessary, update or develop SOPs for operations. Work with Operations to implement all of the necessary SOPs.

• Initial report shall be delivered to TOCOR 6 months after initiation of the contract period.

• 5 updated or new SOPs shall be delivered to TOCOR within one year after initiation of the contract period.

• Implementation of SOPs shall be complete by contract close-out.

• At least 75% of operational practices are improved.

• TOCOR will review and ensure acceptable quality levels are met.

Preventative Maintenance Plan: Work with the operators to develop and implement a

Initial plan shall be delivered to

TOCOR 12 months after initiation of the contract period.

• 90% of all reports shall be thorough, up to date, clear, concise, accurate and verifiable.

• TOCOR will review and ensure acceptable quality levels are met.

preventative maintenance plan.

• 90% of all reports shall be provided to the TOCOR not later than the close of business 5 days after completion of the prior monthly

Task 3. FILE/DATA MAINTENANCE

PERFORMANCE

STANDARD

ACCEPTABLE

QUALITY LEVEL

SURVEILLANCE METHOD

File Maintenance Evaluation and System Implementation: Set up a standard reporting system for operators to record routine operational data in.

• System shall be easy to use and reflect routine maintenance procedures.

• At least 90% of all operational staff shall be trained to use the new system.

• TOCOR will review for consistency with required quality level

Task 4. OPERATOR AND MAINTENANCE CREW TRAININGS

PERFORMANCE

STANDARD

ACCEPTABLE

QUALITY LEVEL

SURVEILLANCE METHOD

Operator and Safety

Trainings: Provide any trainings that may be required to bring operations and

• Trainings shall be aligned with industry best practices.

• 50% of the operators shall be certified in level 1 in their respective specialty.

• TOCOR will review maintenance staff up to industry standards.

Training Plan: Develop onboarding training plan for new operations and maintenance staff.

• Plan shall be comprehensive and easily implemented.

• 90% of all reports shall be thorough, up to date, clear, concise, accurate and verifiable.

• TOCOR will review for consistency with required quality level

Update SOPs: Review and update routine maintenance, preventative maintenance, and safety SOPs.

• At least 10 updated SOPs for safety procedures and operational practices.

• Review existing SOPs and update as appropriate.

• 90% of all SOPs shall be thorough, up to date, clear, concise, accurate and verifiable.

• At least 75% of existing and new SOPs shall be implemented by contract close-out.

• TOCOR will review

Task 5. EMERGENCY RESPONSE PLAN

PERFORMANCE

STANDARD

ACCEPTABLE

QUALITY LEVEL

SURVEILLANCE METHOD

Emergency Response Plan

• Emergency Response Plan (ERP) shall at minimum include all of the components in EPA’s Drinking Water and Wastewater ERP templates.

• 90% of all reports shall be thorough, up to date, clear, concise, accurate and verifiable.

• TOCOR will review