Attch. 02 FY26 SBIWTP O&M QASP.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 2026

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

Forms .......................................................................................................................... Error! Bookmark not defined.

Appendices and Forms below 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, or weekly, 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.

(c) Increase the contract price to reflect the value of the services performed. Price increase 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 and Appendix Forms 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 a COR as the Government authority for performance management. The Government reserves the right to add additional representatives serving as Technical Inspectors due to 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 (below) 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 services in accordance with the PWS. The performance standards are provided is in the table below.

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, site walks, 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 at the end of the QASP.

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.

5.2 The Government’s QA monitoring, accomplished by the COR (and others as designated) will be reported using the monitoring forms below. 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. The COR will provide these findings in a monthly COR report to the CO.

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 contractor performance monitoring checklist have been met.

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 (below) 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 performance for each objective measured in the table below. 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, per the FAR. 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.

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.

FFP Contractor Performance Monitoring Checklist – SBIWTP O&M Contract

Instructions: Use this table to monitor performance under the firm-fixed-price O&M contract. Update "Status" each period and note any follow-up actions. This template mirrors the PWS requirements and is organized by monitoring area.

Area Monitoring checks Frequency Evidence / Artifacts Status Notes Follo w-up

Staffing & Key Personnel

- 24/7 staffing maintained; bilingual operator present

- Certifications current (Grade V, Lab Analyst II, SCADA roles)

- PM,

Superintendent, SSHO, SCADA

Specialist, Asset Manager designated (with alternates)

- Badges/access and background checks current

Monthly; As changes occur;

Annual recertification

Rosters; certification copies;

designation/appoint ment letters; access logs

[ ] Pass Needs attentio n

Operations Regulatory Compliance

- Facility operated IAW all permits;

CEPT target met;

flow split maintained

- Required NPDES sampling completed (influent, blended effluent, primary & secondary composites)

- Daily Canyon Collector inspections documented

- Spill & Transboundary Flow procedures followed;

reports submitted

- Data provided to USIBWC prior to CIWQS upload

Daily/Weekly/Mont hly as applicable

Operator logs;

sampling schedules and lab results;

Attachment 11 forms; spill reports;

CIWQS draft packages

[ ] Pass Needs

Reporting Requirement s – Monthly

- O&M Report (flows, chemicals, biosolids, PM/repairs) by 15th

- Laboratory Summary Report with QA/QC by 15th

By 15th of each month

Submitted reports;

email transmittals;

review notes

[ ] Pass Needs

- Monthly SCADA status/cyber report

Reporting Requirement s – Annual

- Stormwater Annual Report (due June 10)

- Condition & Risk Assessment (due Sept 30)

- Five-Year Capital Plan (due Sept 30)

- Deferred Maintenance Report (due Jan 15)

- Annual Biosolids Report

Per due dates noted Submitted reports;

approvals; tracking sheet

[ ] Pass Needs

Maintenance & Asset Management

- Preventative Maintenance Plan

(PMP)

implemented/update d

- Predictive maintenance conducted (IR, vibration, CCTV, lubrication)

- Repairs under $200k completed within FFP scope

- Offline equipment notifications within 24 hours

- Asset inventory updated in

CMMS/EAMS

Monthly; Quarterly PM schedules; work orders; test results;

offline equipment notifications; asset registry exports

[ ] Pass Needs

SCADA

System Compliance

- SCADA

operated/maintained (IT/OT) per requirements

- Cybersecurity documentation current (SOPs, POAMs, risk registers, incident response)

- Notifications of SCADA failures within 4 hours

- Hardware/software inventory maintained; historian and backups verified

Monthly; As incidents occur

Monthly SCADA report; incident tickets; inventory snapshots; backup verification logs

[ ] Pass Needs

Safety & Security

- SSHO onsite and program current;

inspections

Monthly; Quarterly;

Annual

Safety plan;

inspection findings;

OSHA logs

[ ] Pass Needs supported

- OSHA/Cal-OSHA compliance; incident reporting timelines met

- Key control, badges, visitor logs maintained

- COOP plan current and exercised

(300/301/300A);

visitor log; COOP exercises attentio n

Records & Documentati on

- Daily logs maintained and accessible

- Data management system operational;

USIBWC access within 3 business days

- As-builts/redlines delivered within 30 days of modifications

- Records preserved for five years and turned over at closeout

Monthly; As modifications occur

Logs; system access proof; CAD/PDF markups; records index

[ ] Pass Needs

Canyon Collectors & Pump Stations

- Dry season: daily cleaning, full capture maintained

- Wet season: post-storm cleaning within 96 hours

- Conveyance pipelines clean/clear;

no obstructions

- Debris disposal off-site within 7 days of each event

Daily (dry); After storms; Weekly verification

Inspection forms with photos;

maintenance logs;

disposal tickets

[ ] Pass Needs

Chemicals & Supplies

- Contractor provides process chemicals per highest dosage schedule

- Daily sludge trailer checks; polymer systems functional PPE/supplies/equip ment on hand (no additional cost claims)

Daily; Monthly inventory

Chemical usage logs;

delivery receipts;

inspection checklists

[ ] Pass Needs

Non- Compliance & Corrective Actions

- Potential NOV event notification within 12 hours;

written notice within 2 days

- CARs addressed within 30 days unless otherwise specified

- Fines attributable to negligence handled per contract

As events occur Email notices;

CARs; corrective action evidence

[ ] Pass Needs

Over & Above (O&A) Work (>$200k)

- Immediate notification to CO/COR; no work without approval

- Work plan & estimate submitted within 5 business days (non-emergency)

- Funding verified;

avoid commingling with routine FFP repairs

As proposed O&A request form;

estimates; approvals;

funding verification

[ ] Pass Needs

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: _____________________

CUSTOMER (Stakeholder) 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: ______________________