Attachment 9 - USCG SFLC PreAward Preparation Package.pdf

Pre-Award Preparation Package

Shipyard Pre-Award Survey Preparation Package

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 2

The below listed items will be requested by a U.S. Coast Guard Representative for each survey conducted and may include additional items which are contract specific. This list is covered in detail in the checklist which follows.

Contractor Organizational Chart

Sub-Contractor List with address, points of contacts, phone numbers

Estimating form or spreadsheet (Initial and CFR)

Contractor Furnished Equipment Management Process or OPS manual

Heavy Weather/Severe Weather and Fire Emergency Procedures

Safety Program

Prior (2 each) CG Vessels in for repair at facility: Vessel Name, Contract Number, and Port Engineer

Example of a past Progress Chart (GANTT)

CFR Form

Gas Free Program and Competent Person qualifications

Updated Certifications including:

o NDT o Welding Certifications (Requires industry endorsed initial certification and 6 month continuity)

Painting QA Program with current Certifications

Production QA Program or Process

Environmental Compliance:

o Title V air permit o Confirmation of MACT compliance o Asbestos removal license o EPA Cert to remove ODS or repair AC&R o State or Federal EPA issued Hazardous Waste Generation ID Number o Two Past copies of Hazardous Waste Manifests o Notification of PCB Activities with EPA o Copies of Manifest or BOL for asbestos shipments o Blast Material Disposal permit o EPCRA Tier I or II Report (or confirmation of exemption) o Hazardous Material Tracking System Docs o NPDES permit (include Hydro blast Certifications or License if applicable) o Spill Prevention, Control and Countermeasures approved by EPA o Facilities response Plan approved by EPA (may be contained in Spill Plan)

All Dry-Dock/Mobile Hoist relevant certificates and documentation

CG Facility Certification as per USCG SFLC Standard Specification 8634

Dock Master Resume

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 3

Common Acronyms

CFE-Commercial Furnished Equipment

CFR- Condition Found Report

EPCRA- Emergency Planning and Community Right-to-Know Act

FRP-Facility Response Plan

GANTT- A Gantt chart is a type of bar chart, which illustrates a project schedule

GFE-Government Furnished Equipment

GFP-Government Furnished Property

KTR-Contractor

MACT-Maximum Achievable Control Technology

MTI-Mandatory Turn-In

NDT- Nondestructive testing or Non-destructive testing

NDE-Nondestructive examination

NDI-Nondestructive inspection

NPDES-National Pollutant Discharge Elimination System

ODS- Ozone Depleting Substance

QA-Quality Assurance

SFLC- Surface Forces Logistics Center

SPCC- Spill Prevention, Control, and Countermeasure Plan

WX-Weather http://www.epa.gov/osweroe1/content/lawsregs/epcraover.htm http://cfpub.epa.gov/npdes/

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 4

MANAGEMENT PERSONNEL

Description Response

1. Organization

Required Doc:

Organization Chart

1. Does the contractor have a well organized Personnel/

Organization Chart?

2. Total workforce size?

2. Sub-Contractor Control/Resources

Required Doc:

Sub-contractor list

List of All Required Technical Reps

Teaming Memo/Joint Venture

1. Provide a list of sub-contractors for contract?

2. What work items are the sun-contractors responsible for?

3. Is there a “Contractor Teaming Arrangement”

4. What % of work will be conducted by subcontractors?

5. Has there been any issue with unresponsive or unreliable subs?

6. Who is responsible for oversight of sub-contractors workmanship?

3. Estimating Capability

Required Doc:

KTR Estimating Form

Condition Found Report Form

Critical Inspection Report Form

1. Is the estimating process well documented and thorough?

2. Does the estimating sheet show an understanding of the work?

3. Does the CFR form address technical requirements, are they detailed?

4. Does KTR have a Critical Inspection form?

5. How are the forms submitted?

4. Personnel Qualification Accountability 1. Does the KTR maintain training records for employees? If yes, by who?

2. How does the KTR ensure work is done by properly skilled personnel?

3. Is there a method for recording completion of “certified” work?

5. Labor Base

1. How difficult is it to increase workforce for surge requirements?

2. Does the KTR have a list of ready hires if necessary?

3. Does the KTR use a hiring service? If so, who?

6. Labor and Management Communication

1. Does the KTR have a written communication policy/procedure?

2. How often does management meet and who does that include?

(Foreman/Supervisors/Project Managers (PM))

3. How is conflict resolved, internally or with CG?

4. Who is the POC for conflict/complaints?

5. Will there be a dedicated PM for DD? If yes, who?

7. Process for Identifying, Purchasing, and Tracking CFE

Required Doc:

Contractor Furnished Equipment Management

Process or OPS manual

1. Does the KTR have a written procedure for purchases?

2. Who orders CFE, and how are supplies tracked/managed?

3. Will GFE/CFE be stored in a secured place? Where? Who has access?

Remarks: *

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative explanation for the overall risk selected for this evaluation factor.

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 5

SAFETY

8. Emergency Procedures:

Required Doc:

Heavy Weather Plan

Fire Plan

1. Does KTR have a “Severe WX Plan” IAW SFLC Std Spec 0000

3.2.3?

2. Does KTR have a Fire Plan?

9. Safety Program

Required Doc:

Safety Program

(index if program is multivolume, too large to be attached, and can easily be requested by section)

1. Does KTR have a written program that addresses common safety concerns, such as:

a. Personal Protective Equipment (PPE)

b. Safety Data Sheets (SDS)

c. Dive Plan

d. Hot Work/Fire Watch

e. Tag-Out

f. Confined spaces

g. Emergency actions

h. First Aid

i. Training for new hires

j. Toxic and hazardous Substances

10. Insurance-Certificate of Liability

Required Doc:

Certificate of Liability

1. Does the KTR have insurance to cover major equipment involved in the availability (i.e. cranes, mobile hoists, docks)?

11. Emergency Services

Required Doc:

OSHA Injury Report

Memorandum of Understanding /FD

1. Last OSHA reportable injury?

2. Do you have a MOU with local FD?

3. How often does FD conduct site visits?

4. Distances-

a. Closest Fire Department________

b. Closest Ambulance____________

c. Closest Hospital______________

12. HAZMAT Program & EPA Compliance

Required Doc:

Title V Air Permit

EPA ID #

Hazardous Waste Manifest-General

Hazardous Waste Manifest-Blast Material

EPA 7710-53

EPCRA Tier I or Tier II Report

NPDES Permit

1. Complete “Environmental Compliance for Shipyards” Worksheet

2. Does the KTR use “Best Management Practices” for water run-off and containment of blast media?

3. Does KTR have an Environmental Waste Management Plan IAW

SFLC STD Spec 0000, Appendix B2?

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 6

SATISFACTORY RECORD OF INTEGRITY AND BUSINESS ETHICS

13. Better Business Bureau complaints? 1. Is company rated by BBB or equivalent?

14. Business Classification

Required Docs:

Letter of Proof of classification (Self Certification)

1. Set Aside?

2. Small business

3. Hub Zone

4. Service Disabled Veteran

5. Women/Minority/Native American

6. Are you registered in BETA SAMS (System for Award

Management )

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 7

ABILITY TO MEET DELIVERY OR PERFORMANCE DATE

15. Prior CG Vessels and POC for each

Required Docs:

Prior CG Vessel List (w/ cost and POC info)

Past Performance Reports

1. Any delays in delivery?

2. What % of work was from Growth? Reason for growth?

3. Where there any issues/problems with CFE/GFE?

4. Any conflicts associated with contract/personnel?

5. Any Contract Deficiency Reports issued by Contracting Officer?

6. Any Letters of Concern issued by Contracting Officer?

16. Prior Commercial Vessels (if new to CG work)

Required Docs:

Prior Vessel List (w/ cost and POC info)

Past Performance Reports

1. Any delays in delivery? Growth? Problems with CFE?

2. Any conflicts?

17. Prior CG Vessels of similar size and scope (Unless included in Item 15)

Required Docs:

Prior CG Vessel List (w/ cost and POC info)

Past Performance Reports

Note** When/if this information is captured and there is no history, recommend a MODERATE RISK assessment in this category and overall.

1. Does the Contractor have any past history working on similar (or larger) class of cutters/boat? If so, when?

2. Provide the POC and contract number for the above referenced contracts, (Contracting Officer, Port Engineer, and Engineering

Officer)

3. Were there any issues or delays associated with these contracts?

If so, explain.

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 8

PRODUCTION CAPABILITY

18. Production Quality Control Program

Required Doc:

QA/QC Program

1. Does the KTR have a written/documented QA/QC program IAW

SFLC STD Spec 0000 3.2.4?

2. Who monitors and ensures quality of work on each project? How often? It is documented on a form?

19. Projected Workload

Required Doc:

Projected Schedule during availability timeline

1. During the scheduled availability timeline, are there any other major projects?

2. How does the predicted workload compare to normal (heavy, average, light)?

20. Scheduling Flexibility 1. If necessary due to CG requirements or unforeseen circumstances, can the work be handled if it is moved either earlier or later, and by how much?

21. Performance Period Verification 1. Does the KTR believe the work-hours required for the spec are realistic for the availability window?

2. How many hours per shift, shifts per day, days per week?

3. Will over-time be required?

4. Do the Optional items make a substantial difference?

22. Availability of Supplies/Services 1. Are there any concerns of delay due to receipt for goods? Have any of the work items historically had problems?

2. Can KTR provide all items listed in Work Item “Temporary

Services”?

23. Graphical Planning Document

Required Doc:

Example of a Planning and Progress Chart

1. Does the chart address critical inspections?

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 9

TECHNICAL CAPABILITY

24. Gas Free Program or Confined Space Program

Required Doc:

Gas Free or Confined Space Program

Marine Chemist Certifications

Competent Person Certifications

1. Does KTR have a written Program? Does it address Competent

Person (CP) and Marine Chemist requirements?

2. Will a Marine Chemist be subcontracted (provide contact info)?

3. Are (CP) staffed?

4. How often does KTR train CP? OSHA Training?

25. Nondestructive Inspection (NDI) of welds

Required Doc:

NDI Written Programs

NDI Personnel Qualifications/Certification

1. Does the KTR have a written NDI Program?

2. Does KTR comply with AWS (SCWI or CWI) or ASNT

3. Are NDI personnel staffed or subcontracted?

4. If staffed; provide certifications, if not, provide contact information for NDI Company.

26. Painting Quality Assurance Program

Required Doc:

Paint Inspection Certifications (QP1/NACEIII)

QA Paint Manual-should list qualified individuals

SSPC Audit Letter

Instrument/Tool Calibration List(due at Arrival

Conference)

1. Does the KTR have a written Paint Program?

2. Are QP1 inspectors staffed/subcontracted? Provide

Certifications, Paint QA manual and SSPC Audit Letter.

3. If NACE III subcontracted, provide contact information. (The

Tech Rep shall neither be an employee of the Contractor, nor of any coating system manufacturer)

4. What media will be used for U/W paint removal?

27. Welding Program

Required Doc:

Welding Procedures Specification (WPS)

(AWS D1.1, AWS D1.2 and ASME Section IX)

Welders Performance Qualifications/Procedures

Qualification Record (PQR)

Welder Qualifications Continuity Record (last 2 years)

1. Does the KTR have a Written Welding Program?

ABS/AWS/NAVSEA/ASME/ASTM

2. What welding is required for this Specification?

Aluminum/Steel/HY/Pipe/Brazing

3. If AWS/ABS, are WPS Stamped?

4. If ABS; approved by ABS Office Houston SFLC IAW Std Spec

5. If NAVSEA; provide Annual Audit Letter from USN

6. Provide certifications with continuity records?

7. Will the majority of welding be subcontracted? If yes, how will oversight be maintained?

28. Dock Master Program

Required Doc:

Dock Master Resume

Docking Plan

1. Does the KTR have a formal/written docking plan?

2. Who is the dock master?

3. Provide a resume as per SFLC Std Spec 8634 requirements

(Qualification process and past experience).

4. How many dockings performed in the last 6 months? 12?

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 10

FACILITY CAPABILITIES

29. Capacity and Capability of Dry-Dock/Railway/Mobile Hoist

Required Doc:

Dry-Dock/Mobile Hoist /Crane Certification

1. What will be used to haul out CG Cutter?

2. Are all certifications current, signed by a PE, and in keeping with SFLC Std Spec 8634?

3. Is KTR listed in NAVARCH Database?

4. When is DD due to expire?

30. Pre-Award Dry-Dock Calculations 1. Calculations available?

2. Who will complete them?

31. Shop Capability, Equipment, Layout, Cleanliness, Office

Space

1. What shops does KTR have that will be used during the availability?

2. Any specialty equipment?

3. Are the shops clean and well organized?

4. Was the Hazardous Materials Storage Site organized? Were items labeled? Secured?

5. What office /berthing will be available to the CG crew?

32. Pier Facilities

Required Doc:

CG Facility Certification as per SFLC Std Spec 8634

1. Where will CG moor?

2. What services are available, i.e.

3. PW/FM/Sewage/compressed air/power (AMP/VT/Phase)?

4. If the Cutter/Boat will be on Blocks/Cradle, what substrate will it be on? Is it solid and homogeneous? Was it evaluated by PE and recorded on SFLC Std Spec 8634?

33. Yard Access from Land/Sea 1. Will the facility’s land access be controlled 24/7?

2. What security measures are available (guard/cameras)?

3. Can facility be locked from outside IAW SFLC Std Spec

0000 3.2.11.4?

4. Minimum water depth to and at moor (low tide)?

5. Minimum water depth in floating dock (low tide)?

34. Physical Plant Condition: 1. Is all major equipment well cared for and maintained?

Overall Evaluation: Risk overall is * High Moderate Low * Surveyor shall, in remarks above, provide a narrative

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 11

Environmental Compliance for Shipyards Worksheet Description Docs Submitted

AIR MEDIA Yes No N/A In

Compliance

Non

Compliance

Remarks

35. Does the shipyard use more than 265 Gallons of marine paint per year?

If yes, the shipyard is required to have a Title V Air permit to be in compliance with the Clean Air Act.

If no, the shipyard is not required to follow the MACT.

If un known, then shipyard’s status will have to be determined.

36. Does the shipyard have a Title V Air Permit?

Required Docs: Title V Permit

37. If the shipyard has a Title V Air Permit, does the shipyard follow the Maximum Achievable

Control Technology (MACT) for Marine

Coatings IAW 40 CFR Part 63?

If yes, then shipyard is in compliance

38. If no, does the shipyard emit 25 tons of one

HAP or 100 tons of all HAPs in one year?

If yes, then shipyard is out of compliance with the Clean

Air Act

If no, then shipyard is not required to have a permit and in compliance

If un known, then shipyard’s status will have to be determined.

Volatile organic compound

(VOC) Hazardous Air

Pollutant (HAP)

39. Does the shipyard have an asbestos removal license IAW the Asbestos Model Accreditation

Plan (MAP)?

Required Docs: License

If yes, record license #/state

40. If shipyard does not have an asbestos license, do they use a contractor to remove asbestos?

If no, then the SOW should not include asbestos removals

If yes, then contractor’s license#/state

41. Does the shipyard have EPA Certified

Technicians to remove Ozone Depleting

Substances (ODS) or repair AC&R equipment

IAW 40 CFR Part 82?

Required Docs: License

If shown, then shipyard is in compliance

If none, the shipyard cannot work on AC&R equipment

If yes, record license #/state

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 12

LAND MEDIA Yes No N/A In

Compliance

Non

Compliance

Remarks

42. Does the shipyard have an EPA ID# for

Hazardous Waste generation?

Obtained from EPA 8700-12B or HazWaste Manifest

Information can be verified on EPA Website

If no, then shipyard is out of compliance

If yes, enclose EPA Form or

Manifest

43. Does the shipyard have 2 copies of HazWaste

Manifests?

Required Docs: Manifest copies

If yes, the shipyard is in compliance If not provided, the shipyard is out of compliance with the Resource Conservation and Recovery Act

If yes, enclose Manifest

44. Has the shipyard filed a Notification of PCB

Activity with the EPA?

Required Docs: EPA 7710-53

If no, then the shipyard cannot store PCBs for disposal.

The SOW should not include PCB removals

45. Have shipyard show copies of manifests or bills of lading for asbestos shipments.

Required Docs: Manifests

If none can be found and removals have been conducted, then shipyard is out of compliance with the Clean Air Act

46. Is abrasive blast material used to remove paint?

Use of Silica blast grit is prohibited.

Specify Type:

47. If abrasive blast material is used, how is it disposed of?

Landfill or Recycle

Is media tested before removal?

48. If it is recycled, facility must have a blast material disposal permit. If it is sent to a landfill, provide the address.

Required Docs: Blast Material Disposal Permit or

Facility(ies) name and address for this year

49. Is a sub contractor used for all blasting? If so provide all contact information.

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 13

LAND MEDIA Yes No N/A In

Non

Compliance

Remarks

50. Does the shipyard show an EPCRA Tier I or

Tier II Report from this year.

Required Docs: Tier I/II report

Stands for Emergency Planning and Community

Right-to-Know Act (EPCRA)

If yes the shipyard is in compliance

If no, then shipyard is out of compliance

51. Does shipyard have a Hazardous Materials

Tracking System?

If no, the shipyard could be out of compliance

WATER MEDIA Yes No N/A In

Non

Compliance

Remarks

52. Does the shipyard have a NPDES permit?

Required Doc: NPDES Permit

If yes, in compliance

53. If shipyard does not have a NPDES, do they have a Notice Of Intent with the State for the following;

a. General Storm Water

b. Sewage Waste Water

If no, shipyard is out of compliance

Note: If the shipyard does not have a NPDES permit, it cannot discharge cooling water from CG vessels while the vessel is out of the water.

54. How is run-off from water jetting and washing operations contained to prevent from entering ground, waterways, and storm & sewer systems?

(SFLC Std Spec 0000 Appendix B2.2.16.1.7)

55. How is hydro blast water treated?

On-Site or Off-Site

Allowed to drain in water system?

Written Plan? If so, Provide

56. If Hydro blast water is treated on-site, does

Shipyard have a NEPES permit?

(If yes, the permit should cover treatment)

(If no, the shipyard is out of compliance)

57. If Hydro blast is stored and treated off site, obtain manifests or bills of lading.

If none, then have shipyard give address of treatment facility (ies) for last year.

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 14

WATER MEDIA Yes No N/A In

Non

Compliance

Remarks

58. Does the shipyard have a total above ground

Petroleum, Oils, and Lubricants POL storage capacity greater than 1,320 Gallons?

Containers 55 gallons and greater are counted.

If no, the shipyard is in compliance

59. If shipyards POL > 1,320 gals, does the shipyard have a Spill Prevention, Control and

Countermeasures Plan approved by the EPA.

Required docs: Spill Plan

If shown, the shipyard is in compliance.

If no, the shipyard is out of compliance.

60. Does shipyard transfer POL to/from vessels and has a total POL capacity greater than 42,000

Gallons?

If no, then shipyard is in compliance

61. If shipyard transfer POL to/from vessels and has a total POL capacity greater than 42,000

Gallons obtain

Required docs: Facilities Response Plan approved by EPA

If no, then shipyard is out of compliance

62. Does shipyard transfer POL to/from vessels that have capacities greater than 250 barrels

(10,500 Gal.) via fixed or mobile facilities transferring oil.

If no, then shipyard is in compliance

CG vessels over 175 foot fall into this category.

63. If shipyard transfers POL to/from vessels > 250 barrels (10,500 Gal.), obtain

Required docs: Spill Plan (Oil Response

Plan, Facility Response Plan IAW 33 CFR

154.1010) approved by the local Captain of the

Port.

(A current USCG Marine Safety Office (MSO) / Captain of the Port (COTP)-approved Facility Response Plan per

33 CFR Section 154.1017 will be considered acceptable in meeting these requirements) If shown, then shipyard is in compliance

If not shown, the shipyard is out of compliance

USCG SFLC QUALITY ASSURANCE (Rev. 03/2017) FOUO (When Completed) 15

COMPLIANCE CHECKLIST FOR CONTRACTOR’S PROPERTY CONTROL SYSTEM

REQUIREMENT YES NO N/A REFERENCE

A. MANAGEMENT

1. Has or will the contractor assign a Property Administrator to the contract to ensure that the requirements of FAR Part 45 and the contract requirements will be met?

B. CONTROL

1. For both the Government provided and Contractor Acquired Property, is there a system for:

(a) Recording the receipt of property?

(b) Recording the rejection of property?

(c) Recording the acceptance of property?

(d) Recording the property in the formal property account?

(e) Marking property?

(f) Recording and reporting overages?

(g) Recording and reporting damages?

2. Is there a system for providing a complete inventory schedule of all on hand materials to the Property Administrator of the Government-Owned property?

3. Is there a system or technique for locating any item of Government property within a reasonable time period after a request from the

Government?

4. Is there a system for the immediate identification and reporting of excess

(no longer needed) Government Property?

5. Does the contractor require that a physical inventory of Government

Property be made? If yes, circle how often it will be done:

Monthly Quarterly Semi-Annually Annually

6. Is there a system for the proper care and maintenance of Government

Property that will be stored for long duration contracts?

7. Will the property be stored in a secure area to prevent theft?

8. Will Government Property be provided to or acquired by subcontractors?

9. If the answer to 8. is “YES”, has the contractor included FAR Part 45, and the applicable property clauses in the subcontract(s)?

10. If the answer to 8. is “YES”, has the contractor reviewed and approved the Sub-contractor’s Property Control System to ensure that the Property

Control System Requirements covered by this checklist and the contract are met?

11. Other requirements (i.e.) list of unique requirements set forth in the contract)?

C. APPROVAL, CONDITIONAL APPROVAL, OR DISAPPROVAL

The system is recommended for: 1. Approval

2. Conditional Approval

(see attached discrepancies)

3. Disapproval

(see attached discrepancies)