1._QASP-Sludge_to_Landfill2019.pdf

IBM19R0003

QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)

Sludge Removal and Disposal For the

United State Section, International Boundary and Water

Commission (USIBWC)

TABLE OF CONTENTS

L.0 1.1

1.2 1.3 2.0 3.0 4.0 5.0 6.0 7.0.

INTRODUCTION

PURPOSE

PERFORMANCE MANAGEMENT APPROACH

PERFORMANCE MANAGEMENT STRATEGY

ROLES AND RESPONSIBILITIES

IDENTIFICATION OF SERVICES TO BE PERFORMED

METHODOLOGIES TO MONITOR PERFORMANCE

QUA LITY ASSURANCE REPORTING

ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

FAILURE TO PERFORM

LIST OF ATTACHMENTS

ATTACHM ENT I- REQUIRED PERFORMANCE METRICS (RPM) TABLE

ATTACHMENT II – QUALITY ASSURANCE MONITORING FORM (QAMF)

ATTACHMENT III – QAMF – CUSTOMER COMPLAINT

INVESTIGATION

ATTACHMENT IV - DAILY SLUDGE REMOVAL LOG FORM (DSRL)

Attachment I contains a table that identifies performance-based measures which will be used to monitor Contractor performance. The USIBWC will periodically evaluate the Contractor's performance by appointing a representative(s) to monitor performance to ensure services are received. The USIBWC representative will evaluate the Contractor's daily performance through personal dealings and direct inspections of work products and demonstrated knowledge of applicable regulations. The USIBWC may conduct random facility inspections and increase the number of quality control inspections if deemed appropriate because of repeated failures discovered during quality control inspections or because of repeated customer complaints. Likewise, the USIBWC may decrease the number of quality control inspections if performance dictates. The USIBWC representative shall make final determination of the validity of customer complaint(s).

If any of the services do not conform to contract requirements, the USIBWC may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re- performance, the USIBWC may:

(a) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(b) Reduce the contract price to reflect the reduced value of the services performed. Price reductions will be in accordance with the acceptable quality level identified in the required performance metrics table.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Scope of Work Statement (SOW) for the removal of sludge from a storage site within the Nogales International Waste Water Treatment Plant (NIWWTP) and disposal at a municipal landfill. This QASP sets forth the procedures and guidelines the United States Section of the International Boundary and Water Commission (USIBWC) will use in evaluating the technical performance of the contractor.

1.1 PURPOSE

1.1.1. The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in the SOW.

1.1.2 This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the contractor's performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

1.2.1 The performance-based SOW structures the acquisition around "what" service is required as opposed to "how" the contractor should perform the work. This QASP will define the performance management approach taken by the USIBWC to monitor, manage, and take appropriate action on the contractor's performance against expected outcomes or performance objectives communicated in the SOW.

Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether or not expected outcomes for required services are being achieved adequately by the contractor.

1.2.2 Performance management also represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether or not outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (Federal, State, and local) and compelling business situations such as safety and health. An outcome focus provides the contractor flexibility to continuously improve and innovate

Over the course of the contract as long as the critical outcomes expected are being achieved at the desired levels of performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

1.3.1 The contractor's internal quality control system will set forth the staffing and procedures for self inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PMS. The contractor will Utilize its internal quality control system to assess and report their performance to the designated Government representative.

1.3.2 The Government representative will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The Government will make decisions based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively

2.0 ROLES AND RESPONSIBILITIES

2.1. The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration and cost control; and resolving any differences between the observations documented by the Contracting Officer's Technical Representative (COTR) and the contractor's performance.

2.2 The CO will designate one COTR as the Government authority for performance management.

2.3 The COTR is responsible for monitoring, assessing, and communicating the technical performance of the contractor and assisting the contractor. The COTR will have the responsibility for completing QA monitoring forms (refer to Attachments II and III) used to document the inspection and evaluation of the contractor's work performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract.

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

The contractor shall provide plant, equipment and staff required to complete the services within the contract performance period. The performance standards are established in the paragraph of the SOW that covers the categories of work. The acceptable level of performance is set in the acceptable quality level related to a paragraph(s).

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate contractor performance. The primary methods of surveillance are reports and customer input/feedback. The Government will use appointed representatives, as well as reports and input from users/customers as sources of comments on the contractor's performance.

4.2 The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of professional communication between employees and customers is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer focused through initially addressing customer complaints and investigating the issues and/or problems.

4.3 The acceptable quality levels (AQL) located in Attachment L Required Performance Metrics Table, for contractor performance, are structured to provide negative incentives for performance shortfalls. For three (3) of the activities, the desired performance level is established at one hundred percent (100%). The fourth level of performance is established at 75%. All are keyed to the relative importance of the task to the overall mission performance.

5.0 QUALITY ASSURANCE REPORTING

5.1 The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the SOW and measured by the required performance metrics in Attachment I.

5.2 The Government's QA monitoring, accomplished by the COTR (and others as designated) will be reported using the monitoring forms in Attachments II and III. The forms, when completed, will document the COTR's understanding of the contractor's performance under the contract to ensure that the SOW requirements are being met.

5.2.1 The COTR will retain a copy of all completed QA monitoring forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING

RESULTS

6.1 The Government shall use the observation methods cited to determine whether the AQLs have been met. The Government's evaluation is then translated into the specific negative incentives that cause adjustments to the contractor's monthly payments.

6.2 At the end of each month, the COTR will prepare a written report for the CO summarizing the overall results of the quality assurance monitoring of the contractor's performance. This written report consists of the contractor's submitted monthly progress report and the completed Quality Assurance Monitoring Forms (Attachment II) will become part of the QA documentation.

6.3 The CO may require the contractor's project manager, or a designated alternate, to meet with the CO and other Government personnel as deemed necessary to discuss performance evaluation. The COTR will define a frequency of in-depth reviews with the contractor, however if the need arises, the contractor will meet with the CO as often as required or per the contractor's request. The agenda of the reviews may discuss:

• Monthly performance measured by the metrics and trends

• Issues and concerns of both parties

• Projected outlook for upcoming months and progress against expected trend

• Recommendations made by the COTR based on contractor information

• Issues arising from independent reviews and inspections

6.4 In addition to QA monitoring, the COTR will use the information contained in the contractor's monthly report to assess the contractor's level of performance for each objective measured in this QASP (detailed in Attachment I). The COTR must coordinate and communicate with the contractor to resolve issues and concerns of marginal or unacceptable performance. The contractor will discuss with the CO/COTR satisfaction ratings receiving a "less than acceptable" rating. For such cases, the contractor should highlight its perspective on factors driving customer satisfaction and present plans to adjust service levels accordingly to bring the satisfaction rating up to an acceptable level.

6.5 The CO/COTR and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics must be incorporated as a contract modification at the convenience of the CO.

7.0. FAILURE TO PERFORM

7.1 The contractor may receive deductions or even termination based on failure to perform. The following criteria apply for determining appropriate action:

1. Notifications. Consistent with FAR Part 49, the CO shall notify the service provider of failure to meet standards through QA monitoring forms, cure notices, or show cause notices and shall inform the service provider project manager or designated alternate of such notices

2. Deductions. The government has the right of withholding a percentage of payment of the monthly cost for performing particular services based on failure to meet performance standards. The percentage or monthly deducted amount of such withholding is identified in the Required Performance Metrics (RPM) Table of Attachment I.

3. Termination. If the CO determines that the contractor has failed to perform to the extent that a termination for default is justified, the CO shall issue a notice of termination, consistent with FAR Part 49.

ATTACHMENT 1

Required Service

Performance Standards

Acceptable Quality Levels

Method of Surveillance

Incentive (Negative) (Impact on contractor)

Comply with all governmental agencies having jurisdiction for permits and other requirements

SOW Article 2 – item 2.3.1 & 2.3.2

100% Files review, periodic random inspection, complaints

The contractor shall be responsible for the payment of fines and/ or civil penalties levied against the government and/ or contractor by any regulatory agency having jurisdiction, as a result of failure to comply with the terms and conditions of any duly authorized permit, court order, administrative order, law, statute or ordinance, for reasons resulting from the contractor’s negligence or poor performance during the period of the contract.

Maintain daily sludge transportation rate of 75 to 110 tons, provided this tonnage is available.

SOW Article 6 – item 6.4

95% Daily and monthly review of Daily Log & Monthly Reports;

random inspection of complaints

The contractor shall provide trucks, trailers, equipment, and staff as necessary to maintain daily transportation rate of 75 to 110 tons as long as such tonnage is available.

If within seven (7) calendar days of notification, the contractor has failed to provide the required resources or perform necessary work, the contracting officer may cause the work to be done by a third party.

The contractor shall be responsible for payment of such third party costs.

Further, a deduction of $750.00 per contract work day to the contractor’s monthly invoice may be made after the second day of

REQUIRED PERFORMANCE METRICS (RPM) TABLE

performance failure. The CO may exercise any of the options under the contract for failure to perform.

Maintain and repair all trucks, trailer and equipment.

Obtain all Equipment Inspection Certificates & provide them to IBWC upon request.

SOW Article 4 – items 4.1.1, 4.1.3, 4.1.4, & 6.7

100% Quarterly review of Inspection Reports;

random inspection of complaints.

The contractor shall remove from service any truck, trailer or other equipment for which any required up to date positive inspection certificate is not readily available. The contractor shall immediately replace such truck, trailer or other equipment to maintain the required sludge daily transportation removal rate.

Failure to provide repairs and/or replacements to maintain the daily transportation rate stated in the contract shall be considered as failure to perform. A deduction of $400.00 per contract work day to the contractor’s monthly invoice may be made after the second day of performance failure. The CO may exercise any of the options under the contract for failure to perform.

Coordinate with other contractors and IBWC employees as necessary.

SOW Article 3 – item 3.1,

3.2. & 3.3

100% Random inspection of complaints.

The contractor shall stop and/ or reschedule any activities that may impede other parties or impact safety. Failure to comply shall be considered as a failure to perform. A deduction of $250.00 per each failure to coordinate may be made to the contractor’s monthly invoice after the first failure. The CO may exercise any of the options under the contract for failure to perform.

ATTACHMENT II

QUALITY ASSURANCE MONITORING

FORM SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Reports

I 00% Inspection

Periodic Inspection

Customer

Input/Feedback

LEVEL OF SURVEILLANCE SELECTED (Check):

Monthly Quarterly As needed

ANALYSIS OF RESULTS:

SERVICE PROVIDER'S PERFORMANCE (Check): Meets Standards

NARRATIVE OF PERFORMANCE DURING SURVEY

PERIOD:

Does Not Meet Standards

PREPAREDBY: DATE:

ATTACHMENT III

QUALITY ASSURANCE MONITORING

FORM- CUSTOMER COMPLAINT

INVESTIGATION

SERVICE or STANDARD:

SURVEY PERIOD:

DATE/TIME COMPLAINT RECEIVED:

AM/PM

SOURCE OF COMPLAINT: (NAME)

(ORGANIZATION)

(PHONE NUMBER)

(EMAIL ADDRESS)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF

COMPLAINT:

_ _ AM/PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECENEDMwVALIDATEDBY =-----------------------

PREPAREDBY: ------------- DATE: _

ATTACHMENT IV

DAILY SLUDGE REMOVAL LOG (DSRL) FORM

DATE: …………………………………..

PREPARED BY: …………………………………………... SIGNATURE:

………………………………… DATE: ………………

TRUCK

ID

TIME

IN

TIME

OUT

TICKET

NO.

TICKET

DATE

TICKET

TIME

GROSS

LOAD TARE NET

LOAD NOTES