Att 2 SBIWTP OandM QASP 2020V2.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Operation and Maintenance of the South Bay International Wastewater Treatment Plant and Facilities for the

United States Section, International Boundary and Water

Commission (USIBWC)

Quality Assurance Surveillance Plan O&M for SBIWTP 2020

TABLE OF CONTENTS

1.0 INTRODUCTION

1.1 PURPOSE

1.2 PERFORMANCE MANAGEMENT APPROACH

1.3 PERFORMANCE MANAGEMENT STRATEGY

2.0 ROLES AND RESPONSIBILITIES

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

5.0 QUALITY ASSURANCE REPORTING

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

7.0. FAILURE TO PERFORM

ATTACHMENT I

ATTACHMENT II

ATTACHMENT III

Attachment I contains a table that identifies performance-based measures which will be used to monitor Contractor performance. The United State Section of the International Boundary and Water Commission (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 Performance Work Statement (PWS) for USIBWC Administration Services of the Operation and Maintenance of the South Bay International Wastewater Treatment Plant (SBIWTP) and Facilities. This QASP sets forth the procedures and guidelines the 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 PWS.

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 PWS structures the acquisition around “what” service is required as opposed to “how” the Contractor shall 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 PWS. 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 PWS. 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 Representative (COR) and the Contractor’s performance.

2.2 The CO will designate one full-time COR as the Government authority for performance management. The number of additional representatives serving as Technical Inspectors depends upon the complexity of the services measured as well as the Contractor’s performance.

2.3 The COR is responsible for monitoring, assessing, and communicating the technical performance of the Contractor and assisting the Contractor. The COR 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 Operation and Maintenance Services in accordance with the PWS. The performance standards are provided as an attachment to the contract. The acceptable level of performance is provided under the acceptable quality level for each required service.

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.

NOTE: The customer always has the option to communicate complaints to the COR as opposed to the Contractor. The COR will accept the customer complaints and will investigate using the Quality Assurance Monitoring Form – Customer Complaint Investigation identified in Attachment III.

4.3 The acceptable quality levels (AQL) located in Attachment I, Required Performance Metrics Table, for Contractor performance, are structured to provide negative incentives for performance shortfalls. For all but one (1) activity, the desired performance level is established at one hundred percent (100%). 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 PWS and measured by the required performance metrics in Attachment I.

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

5.2.1 The COR 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 COR 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 COR 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 COR based on Contractor information

• Issues arising from independent reviews and inspections

6.4 In addition to QA monitoring, the COR 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 COR must coordinate and communicate with the Contractor to resolve issues and concerns of marginal or unacceptable performance. The Contractor will discuss with the CO/COR satisfaction ratings receiving a “less than acceptable” rating. For such cases, the Contractor shall 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/COR and Contractor shall jointly formulate tactical and long–term courses of action. Decisions regarding changes to metrics, thresholds, or service levels shall 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 to withhold 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 I

REQUIRED PERFORMANCE METRICS (RPM) TABLE

Required Service Performance Standards

Acceptable Quality Levels

(AQL)

Method Of

Surveillance

Incentive (Negative)

(Impact on Contractor Payments)

The Contractor shall coordinate with Mexican Pumping Station No. 1 and 1A operators in a manner to maintain an average daily/monthly inflow of 25 million gallons per day

PWS section C, Paragraph C.3.2.b(1)

100%

Monthly flow report review, files review, periodic and/or random inspection, complaints

$10,000 shall be deducted from the monthly progress payment amount for each month that the inflow from Mexico is less than an average of twenty-five (25) million gallons per day

Final work plan and work plan updates

PWS Section

C.3.1.a files review, periodic and/or random

$5,000 shall be deducted payment amount for each late submission of the work plan and work plan updates.

Staffing levels

C, Paragraphs C.3.1.a and C.3.2.a random

If within thirty (30) calendar days of notification the Contractor has failed to provide additional staff or perform necessary work, the Contracting Officer may cause the work to be done by a third party. The cost of said work shall be the responsibility of the Contractor, and the gross salary of each vacant position shall be deducted from the monthly progress payment amount. Also $10,000 shall be deducted from the monthly progress payment amount for each month for each vacant position that is not filled within thirty (30) calendar days.

Acceptable Quality Levels

(AQL)

Method Of

Surveillance

Incentive

Risk Assessment

C3.1.b and C.3.2.g(12)

Files review;

random inspection payment amount if the Contractor did not submit the initial Risk Assessment and annual updates to the COR by the contract due dates

Complying with all governmental agencies having jurisdiction permits and requirements.

Paragraphs C.3.2.b(2) and C.3.2.f(6) random

The Contractor shall be responsible for the payment of fines and or civil penalties levied against the Government and/or the 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.

Also $15,000 shall be deducted from the monthly progress payment amount for each failure of compliance stated above.

Canyon Collector structures cleaning

C.3.2.b(7) random payment amount for each Canyon Collector structures if the structure is not fully cleaned of all debris and put back into service within forty-eight (48) hours of the end of a rainfall event

Acceptable Quality Levels

(AQL)

Method Of

Surveillance

Incentive

Canyon Collectors, off-site disposal of the debris (trash, garbage, sand, rocks, miscellaneous materials, etc.).

C.3.2.b(7) random

$15,000 shall be deducted payment amount for each canyon if off-site disposal is not completed within seven

(7) calendar days of each cleaning event.

Annual inventory

C.3.2.c(2) random payment amount if the Contractor did not submit the inventory results to the COR no later than ninety

(90) calendar days after receipt of the contract award or did not submit the annual inventory results by September 30th.

Chemicals

C.3.2.c(5) random payment amount if the Contractor did not report the current unit cost and total quantities used monthly for each chemical

Assessment and Five Year Capital Plan

C.3.2.c(9)

C.3.2g(10) random payment amount if the Contractor did not submit the initial assessment and Five Year Capital Plan to the COR by the contract due dates

Deferred Maintenance and Repairs Report

C.3.2.c(10)

C.3.2g(11)

Files review, payment amount if the Contractor did not submit the Deferred Maintenance and Repairs Report to the COR by the contract due

Acceptable Quality Levels

(AQL)

Method Of

Surveillance

Incentive

Maintain and repair of all equipment, machinery, instrumentation, structures, and plant furnishings to a fully operational condition.

C.3.2.d(1)

95% of all equipment are operational at all times.

random

$10,000/ month shall be deducted from the monthly progress payment amount if AQL not met.

Laboratory Management

C.3.2.e random

$3,000/month shall be deducted from the monthly progress payment amount if samples or test results are missing or incomplete.

Twenty-four hour reporting

C.3.2.g(4) random

$10,000/ event shall be deducted from the contract amount if the Contractor did not deliver report to the COR within Twenty-four

(24) hours.

Spill and Transboundary Wastewater Flow Events

C.3.2.g(3) random

$10,000/event shall be amount if the Contractor did not report spills and transboundary wastewater flows in accordance with Section VI.C.2.d of the NPDES Permit No.

CA018928, Order No. R9- 2014-0009, As Amended.

The Contractor did not report to COR within two

(2) hours Category 1 flow event specified in Section VI.C.2.d.i.a) of the NPDES Permit No. CA018928, Order No. R9-2014-0009, As Amended. The Contactor did not notify by telephone the County of San Diego Health Department and the City of Imperial Beach within two

(2) hours of discovery of Category 1 flow event.

Acceptable Quality Levels

(AQL)

Method Of

Surveillance

Incentive

Spill and Transboundary Wastewater Flow Events

C.3.2.g(3) random

$1,000/event shall be amount if the Contractor did not provide the reports to USIBWC and did not collect the data for the reports in a manner required by USIBWC

Implementation of Prevention/Response Plan

C.3.2.g(5) random from the contract amount if the Contractor did not implement and maintain an updated Prevention / Response Plan

Draft and final Monthly NPDES Monitoring Report (influent and effluent sampling)

C.3.2.g(6) random the Contractor did not deliver report to the COR by contract due dates

Annual Report for Storm Water Discharges

(SWPPP)

Paragraphs Paragraph C.3.1.c and C.3.2.g(7) random

$1,000 shall be deducted the Contractor did not deliver report to the USIBWC by contract due

Monthly Operations and Maintenance Report

Paragraphs C.3.2.d(1)

C.3.2.g(8) random the Contractor did not deliver report to the USIBWC by contract due

Markups/red-lines to the Plant as-builts

C.3.2.g(13) random

$3,000 shall be deducted the Contractor did not provide markups/red-lines to the Plant as-builts within 30 calendar days of completion of each modification to the Plant.

Acceptable Quality Levels

(AQL)

Method Of

Surveillance

Incentive

Daily Canyon Collector inspections

C.3.2.b (8) random the Contractor did not collect all data for the inspection forms as required by USIBWC and submit the reports or other data required by USIBWC in a timeframe required by

USIBWC.

Receive favorable adjudication of background investigation and/or fingerprint check prior to physically working at the SBIWTP.

1) Contractor employees requiring a Moderate or High Risk investigation must receive a favorable adjudication of their background investigation prior to physically working at the SBIWTP and 2) Contractor employees requiring a Low Risk investigation must receive a favorable fingerprint check prior to physically working at the

SBIWTP.

C.4.14.j daily observations, periodic and/or from the contract amount for each new employee the Contractor allows to physically work at the SBIWTP prior to the favorable adjudication of their background investigation and/or fingerprint check.

Immediate removal of contractor employees that have not received a favorable adjudication of their background investigation prior to physically working at the

SBIWTP

C.4.14.j daily observations, periodic and/or from the contract amount for each day the employee is found on-site after the removal notification is received from USIBWC security office

ATTACHMENT II

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

SURVEILLANCE METHOD (Check): _____ Reports

_____ 100% 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

____ Does Not Meet Standards

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD:

PREPARED BY: ___________________________________ 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:

RECEIVED AND VALIDATED BY: _____ __ ____

PREPARED BY: ___________________________________ DATE: ______________________