ATTACHMENT 2 - Quality Assurance Surveillance Plan (QASP).pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

M/V RACCOON DRYDOCK SERVICES AND REPAIRS

1. PURPOSE

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

What will be monitored.

How monitoring will take place.

Who will conduct the monitoring.

How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

This QASP is a "living document" and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the contractor.

Updates shall ensure that the QASP remains a valid, useful, and enforceable document.

Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

52.246-4 Inspection of Services – Fixed-Price,

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (KO) - The KO 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 KO shall also assure that the contractor receives impartial, fair, and equitable treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned KO: Mary Fronck Organization or Agency: USACE, San Francisco District Telephone: 415-503-6554

Email: Mary.Fronck@usace.army.mil

c. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the

ATTACHMENT 2 - Quality Assurance Surveillance Plan (QASP) W912P721Q00 contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the KO, the COR shall provide documentation to the KO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf.

The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the KO for action.

Assigned COR: COR Retained by Contracting

d. Other Key Government Personnel

Marty Plisch Title: Navigation Supervisor Telephone:

415-289-3051 Email: Marty.L.Plisch@usace.army.mil

Joseph Rakstins Title: Marine Machinery Mechanic Telephone: 415-289-3055 Email: Joseph.r.rakstins@usace.army.mil

3. CONTRACTOR REPRESENTATIVES:

The Contractor is responsible for quality control and shall establish and maintain an effective quality control system. The quality control system shall consist of plans, procedures, and organization necessary to produce an end product, which complies with the contract requirements. The system shall cover all construction operations, both onsite and offsite, and shall be keyed to the proposed construction sequence. The project manager will be held responsible for the quality of work on the job and is subject to removal by the Contracting Officer for non-compliance with quality requirements specified in the contract. The project manager in this context shall mean the individual with the responsibility for the overall management of the project including quality and production.

The following employees of the contractor serve as the contractor’s Program Manager and Task Manager for this contract.

a. Program Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

b. Task Manager - <upon award, enter name> Telephone: <enter number>

Email: <enter address>

c. Other Contractor Personnel - Title: <enter title> Telephone: <enter number> Email: <enter address>

4. QUALITY CONTROL PLAN

The QC Plan shall include, as a minimum, the following to cover all construction operations, both onsite and offsite, including work by subcontractors, fabricators, suppliers, and purchasing agents:

a) A description of the quality control organization, including a chart showing lines of authority and acknowledgment that the QC staff shall implement the three phase control system for all aspects of the work specified.

b) Procedures for scheduling, reviewing, certifying, and managing submittals, including those of subcontractors, offsite fabricators, suppliers, and purchasing agents. These procedures shall be in accordance with Section 5

SUBMITTAL PROCEDURES.

c) Control, verification, and acceptance testing procedures for each specific test to include the test name, specification paragraph requiring test, feature of work to be tested, test frequency, and person responsible for each test.

d) Procedures for tracking preparatory, initial, and follow-up control phases and control, verification, and acceptance tests including documentation.

e) Procedures for tracking construction deficiencies from identification through acceptable corrective action. These procedures will establish verification that identified deficiencies have been corrected.

f) Reporting procedures, including proposed reporting formats.

A list of the definable features of work; a definable feature of work is a task which is separate and distinct from other tasks and has separate control requirements. Different trades or disciplines could identify it, or it could be work by the same trade in a different environment. Although each section of the specifications may generally be considered as a definable feature of work, there is frequently more than one definable feature under a particular section. This list will be agreed upon during the coordination meeting

Acceptance of Plan

Acceptance of the Contractor's plan is required prior to the start of construction. Acceptance is conditional and will be predicated on satisfactory performance during the construction. The Government reserves the right to require the Contractor to make changes in his QC Plan and operations including removal of personnel, as necessary, to obtain the quality specified.

Notification of Changes

After acceptance of the QC Plan, the Contractor shall notify the CO or COR in writing of any proposed change. Proposed changes are subject to acceptance by the CO or COR.

Coordination Meeting

After the Pre-construction Conference, before start of construction, and prior to acceptance by the Government of the QC Plan, the Contractor shall meet with the COR and discuss the Contractor's quality control system. The QC Plan shall be submitted for review a minimum of seven calendar days prior to the Coordination Meeting. During the meeting, a mutual understanding of the system details shall be developed, including the forms for recording the QC operations, control activities, testing, administration of the system for both onsite and offsite work, and the interrelationship of Contractor's Management and control with the Government's Quality Assurance. Minutes of the meeting shall be prepared by the Government and signed by both the Contractor and the COR. The minutes shall become a part of the contract file. There may be occasions when either party to reconfirm mutual understandings and/or address deficiencies in the QC system will call subsequent conferences or procedures which may require corrective action by the Contractor.

SUBMITTALS

Submittals shall be made as specified in Part 5 Submittal Procedures. The

QC organization shall be responsible for certifying that all submittals are in compliance with the contract requirements.

CONTROL

Contractor Quality Control is the means by which the Contractor ensures that the construction, to include that of subcontractors and suppliers, complies with the requirements of the contract. The QC System Manager for each, definable feature of work shall conduct at least three phases of control as follows:

Preparatory Phase

This phase shall be performed prior to beginning work on each definable feature of work; after all required plans/documents/materials are approved/accepted, and after copies are at the work site. This phase shall include:

g) A review of each paragraph of applicable specifications.

h) A review of the contract drawings.

i) A check to assure that all materials and/or equipment have been tested, submitted, and approved.

j) Review of provisions that have been made to provide required control inspection and testing.

k) Examination of the work area to assure that all required preliminary work has been completed and is in compliance with the contract.

l) A physical examination of required materials, equipment, and sample work to assure that they are on hand, conform to approved shop drawings or submitted data, and are properly stored.

m) Reviews of the appropriate activity hazard analysis to assure safety requirements are met.

n) Discussion of procedures for controlling quality of the work including repetitive deficiencies. Document construction tolerances and workmanship standards for that feature of work.

o) A check to ensure that the portion of the plan for the work to be performed has been accepted by the Contracting Officer.

p) Discussion of control phase

Initial Phase

This phase shall be accomplished at the beginning of a definable feature of work.

The following shall be accomplished:

q) A check of work to ensure that it is in full compliance with contract requirements. Review minutes of the preparatory meeting.

r) Verify adequacy of controls to ensure full contract compliance. Verify required control inspection and testing.

s) Establish level of workmanship and verify that it meets minimum acceptable workmanship standards. Compare with required sample panels as appropriate.

t) Resolve all differences.

u) Check safety to include compliance with and upgrading of the safety plan and activity hazard analysis. Review the activity analysis with each worker.

v) The initial phase should be repeated for each new crew to work onsite, or any time acceptable specified quality standards are not being met.

Follow-up Phase

Daily checks shall be performed to assure control activities, including control testing, are providing continued compliance with contract requirements, until completion of the particular feature of work. The checks shall be made a matter of record in the QC documentation. Final follow-up checks shall be conducted and all deficiencies corrected prior to the start of additional features of work, which may be affected by the deficient work. The Contractor shall not build upon or conceal nonconforming work.

COMPLETION OF INSPECTION

Punch-Out Inspection

Near the completion of all work or any increment thereof the QC System Manager shall conduct an inspection of the work and develop a "punch list" of items which do not conform to the approved drawings and specifications. Such a list of deficiencies shall be included in the QC documentation, and shall include the estimated date by which the deficiencies will be corrected. The QC System Manager or staff shall make a second inspection to ascertain that all deficiencies have been corrected. Once this is accomplished, the Contractor shall notify the Government that the facility is ready for the Government "Pre-Final" inspection.

Pre-Final Inspection

The Government will perform this inspection to verify that the work is complete and ready for use. A Government "Pre-Final Punch List" may be developed as a result of this inspection. The Contractor's QC System Manager shall ensure that all items on this list have been connected and so notify the Government so that a "Final" inspection with the customer can be scheduled. Any items noted on the "Pre-Final" inspection shall be corrected in a timely manner. These inspections and any deficiency corrections required by this paragraph will be accomplished within the time slated for completion of the entire work or any particular increment thereof if the project is divided into increments by separate completion dates.

Final Acceptance Inspection

The Contractor's Quality Control Inspection personnel, his superintendent or other primary management person and the COR will be in attendance at this inspection as well as additional Government personnel including, but not limited to, those from the Project Office. The COR based upon results of the Pre-Final inspection will formally schedule the final acceptance inspection. Notice will be given to the COR at least 5 days prior to the final acceptance inspection and must include the Contractor's assurance that all specific items previously identified to the Contractor as being unacceptable, along with all remaining work performed under the contract, will be complete and acceptable by the date scheduled for the final acceptance inspection.

Failure of the Contractor to have all contract work acceptably complete for this inspection will be cause for the Contracting Officer to bill the Contractor for the Government's additional inspection cost.

Documentation

The Contractor shall maintain current records providing factual evidence that required quality control activities and/or tests have been performed. These records shall include the work of subcontractors and suppliers and shall be on an acceptable form that includes, as a minimum, the following information:

w) Contractor/subcontractor and their area of responsibility.

x) Operating plant/equipment with hours worked, idle, or down for repair.

y) Work performed each day, giving location, description, and by whom. When Network Analysis (NAS) is used; identify each phase of work performed each day by NAS activity number.

z) Test and/or control activities performed with results and references to specifications/drawings requirements. The control phase should be identified (Preparatory, Initial, and Follow-up). List deficiencies noted along with corrective action.

aa) Quantity of materials received at the site with statement as to acceptability, storage, and reference to specifications/drawings requirements.

bb) Submittals reviewed, with contract reference, by whom, and action taken. cc) Off-site surveillance activities, including actions taken.

dd) Job safety evaluations stating what was checked, results, and instructions or corrective actions.

ee) Instructions given/received and conflicts in plans and/or specifications.

ff) Contractor's verification statement. These records shall indicate a description of trades working on the project; the number of personnel working; weather conditions encountered; and any delays encountered. These records shall cover both conforming and deficient features and shall include a statement that equipment and materials incorporated in the work and workmanship comply with the contract. The original and one copy of these records in report form shall be furnished to the Government daily within five days after the date(s) covered by the report, except that reports need not be submitted for days on which no work is performed. As a minimum, one report shall be prepared and submitted for every seven days of no work and on the last day of a no work period. All calendar days shall be accounted for throughout the life of the contract. The first report following a day of no work shall be for that day only. Daily reports shall be signed and dated by the QC System Manager and submitted to the Government inspector by no later than Noon of the following day. The report from the QC System Manager shall include copies of test reports and copies of reports prepared by all subordinate quality control personnel.

NOTIFICATION OF NON-COMPLIANCE

The Contracting Officer will notify the Contractor of any detected noncompliance with the foregoing requirements. The Contractor shall take immediate corrective action after receipt of such notice. Such notice, when delivered to the Contractor at the worksite, shall be deemed sufficient for the purpose of notification. If the Contractor fails or refuses to comply promptly, the Contracting Officer may issue an order stopping all or part of the work until satisfactory collective action has been taken. No part of the time lost due to such stop orders shall be made the subject of claim for extension of time or for excess costs or damages by the Contractor.

GOVERNMENT ACTION AND INSPECTION

DEFINITIONS

"Services" as used in this clause, includes work or services performed, workmanship, and materials furnished or utilized in the performance of services.

RIGHTS

The Government has the right to inspect and test all services called for by the contract, to the extent possible at all times and places during the term of the contract. The Government will perform inspections in a manner that will not unduly delay the work.

INSPECTION

The Contractor must be present during the final inspection of the work by

Federal, State, or local inspectors. Any deficiencies noted during the inspection will be corrected by the Contractor before final payment will be authorized.

NON-COMPLIANCE

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

gg) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements and,

hh) Reduce the contract price to reflect the reduced value of the services performed.

REPEATED NON-COMPLIANCE

If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may:

ii) By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service or,

jj) Terminate the contract for default.

SUBMITTAL PROCEDURES

GENERAL

Definitions of submittals used in specifications are as follows:

kk) SD-OI Data. Submittals which provide calculations, descriptions, or documentation regarding the work.

ll) SD-04 Drawings. Submittals which graphically show relationship of various components of the work, schematic diagrams of systems, details of fabrication, layouts of particular elements, connections, and other relational aspects of the work.

mm)SD-06 Instructions. Preprinted material describing installation of a product, system or material, including special notices and material safety data sheets, if any, concerning impedances, hazards, and safety precautions.

nn) SD-07 Schedules. Tabular lists showing location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work.

oo) SD-08 Statements. A document, required of the Contractor, or through the Contractor, from a supplier, installer, manufacturer, or other lower tier Contractor, the purpose of which is to confirm the quality or orderly progression of a portion of the work by documenting procedures, acceptability of methods or personnel, qualifications, or other verifications of quality.

pp) SD-09 Reports. Reports of inspections or tests, including analysis and interpretation of test results. Each report shall be properly identified. Test methods used shall be identified and test results shall be recorded.

qq) SD-13 Certificates. Statement signed by an official authorized to certify on behalf of the manufacturer of a product, system or material, attesting that the product, system or material meets specified requirements. The statement must be dated after the award of the contract, must state the Contractor's name and address, must name the project and location, and must list the specific requirements, which are being certified.

rr) SD-14 Samples. Samples, including both fabricated and un-fabricated physical examples of materials, products, and units of work as complete units or as portions of units of work.

ss) SD-18 Records. Documentation to record compliance with technical or administrative requirements.

tt) SD-19 Operation and Maintenance Manuals. Data which forms a part of an operation and maintenance manual.

SUBMITTAL CLASSIFICATION

Submittals are identified with submittal description (SD) numbers and are classified as follows:

Government Approved (GA) Governmental approval is required for extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction", they are considered to be "shop drawings".

For Information Only (FIO) All submittals not requiring Government approval will be for information only.

They are not considered to be "shop drawings" within the terms of the Contract Clause referred to above.

Approved Submittals The Contracting Officer's approval of submittals shall not be construed as a complete check, but will indicate only that the general method of construction, materials, detailing and other information are satisfactory. Approval will not relieve the Contractor of the responsibility for any error, which may exist, as the Contractor under the CQC requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work. After the Contracting Officer has approved submittals, no re-submittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

Disapproved Submittals The Contractor shall make all corrections required by the Contracting Officer and promptly furnish a corrected submittal in the form and number of copies specified for the initial submittal. If the Contractor considers any correction indicated on the submittals to constitute a change to the contract, a notice in accordance with the Contract Clause "Changes" shall be given promptly to the Contracting Officer.

Withholding of Payment Payment for materials incorporated in the work will not be made if required approvals have not been obtained.

EXECUTION

General The Contractor shall make submittals as required by the specifications. The CO or COR may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Units of weights and measures used on all submittals shall be the same as those used in the contract drawings. Each submittal shall be complete and in sufficient detail to allow ready determination of compliance with contract requirements. Prior to submittal, all items shall be checked and approved by the Contractor's Quality Control (CQC) representative and each item shall be stamped, signed, and dated by the CQC representative indicating action taken. Proposed deviations from the contract requirements shall be clearly identified. Submittals shall include items such as:

Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O&M manuals (including parts list); certifications; warranties; and other such required submittals. Submittals requiring Government approval shall be scheduled and made prior to the acquisition of the material or equipment covered thereby. Samples remaining upon completion of the work shall be picked up and disposed of in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

Submittal Register (Eng Form 4288)

At the end of this section is one set of ENG Form 4288 listing items of equipment and materials for which submittals are required by the specifications; this list may not be all-inclusive and additional submittals may be required. The Contractor will also be given the submittal register as a diskette containing the computerized ENG Form 4288 and instructions on the use of the diskette. Columns "d" through "q" have been completed by the Government; the Contractor shall complete columns "a" and "r" through "t" and submit the forms (hard copy plus associated electronic file) to the Contracting Officer for approval within 7 calendar days after Notice to Proceed. The Contractor shall keep this diskette up-to date and shall submit it to the Government together with the monthly payment request. The approved submittal register will become the scheduling document and will be used to control submittals throughout the life of the contract. The submittal register and the progress schedules shall be coordinated.

Scheduling Submittals covering component items forming a system or items that are interrelated shall be scheduled to be coordinated and submitted concurrently.

Certifications to be submitted with the pertinent drawings shall be so scheduled.

Adequate time (a minimum of 12 calendar days exclusive of mailing time) shall be allowed and shown on the register for review and approval.

No delay damages or time extensions will be allowed for time lost in late submittals.

Transmittal Form (Eng Form 4025)

The sample transmittal form (ENG Form 4025) attached to this section shall be used for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form. These forms will be furnished to the Contractor.

Filling out all the heading blank spaces and identifying each item submitted shall properly complete this form. Special care shall be exercised to ensure proper listing of the specification paragraph and/or sheet number of the contract drawings pertinent to the data submitted for each item.

Submittal Procedures Submittals shall be made as follows:

uu) Deviations. For submittals, which include proposed deviations requested by the Contractor, the column "variation" of ENG Form 4025 shall be checked. The Contractor shall set forth in writing the reason for any deviations and annotate such deviations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

vv) Control of Submittals. The Contractor shall carefully control his procurement operations to ensure that each individual submittal is made on or before the Contractor scheduled submittal date shown on the approved "Submittal Register."

ww) Government Approved Submittals (GA). Upon completion of review of submittals requiring Government approval, the submittals will be identified as having received approval by being so stamped and dated. The COR will retain copies of the submittal.

xx) Information Only Submittals (FlO). Normally submittals for information only will not be returned. Approval of the Contracting Officer is not required on information only submittals. The Government reserves the right to require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

Prepared by: Joseph Rakstins

Signature – Contracting Officer’s Representative

PERFORMANCE REPORT

1. CONTRACT NUMBER: <insert number>

2. Prepared by: (Name of COR) <insert name>

3. Date and time of observation:

4. Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

INSPECTION REPORT

1. CONTRACT NUMBER:

2. Prepared by: (Name of COR)

3. Date and time of observation:

4. Service being inspected:

5. Rating:

a. Has service visibly occurred?

Yes/ No (Circle one) Comments:

b. Has the service resulted in the appearance specified in the contract?

Yes/ No (Circle one) Comments:

c. Has the service been performed in accordance with the contract (if applicable)?

Yes/No (Circle one) Comments:

6. Observation:

Signature – Contracting Officer’s Representative Date