Attachment_2_-_RES_QASP.pdf

SOL-HQ-14-00023 – ATTACHMENT 2

ATTACHMENT 2

QUALITY ASSURANCE SURVEILLANCE PLAN

RES Quality Assurance Surveillance Plan

1. PURPOSE

The purpose of the Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Environmental Protection Agency (EPA) will use for applicable performance based task orders to ensure these services are received and of acceptable quality. Each performance based task order issued under the RES contracts will have an individual QASP and

Performance Requirement Summary (PRS) which are consistent with this contract level QASP.

This QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the Performance Work Statement (PWS), subsequent task orders, and its own Quality Management Plan (QMP). It defines the roles and responsibilities of all members of the surveillance team and defines the process by which the Government will evaluate contractor performance. This QASP is a living document which will evolve over the life of the contract. It can be updated and changed unilaterally by the Government at any time during the life of this contract.

Pursuant to a Performance Based Acquisition (PBA) environment, this QASP is based on the premise that the contractor is responsible for managing its quality controls. In addition, this

QASP outlines performance based task order requirements to ensure that performance meets the terms of the contract and specific task order requirements, provides means by which to avoid unacceptable or deficient performance, and provide verifiable input for the required annual past performance evaluations.

2. ROLES AND RESPONSIBILITIES

The activities detailed in this QASP will be supported and performed by a group of individuals, many with differing levels of responsibilities, but all maintaining a level of consistency in terms of the surveillance strategy, approach and activities in general. General organization and roles and responsibilities of the contractor and the Government surveillance team are as follows:

Contractor: Responsible for management and quality control actions necessary to meet the quality standards set forth by the contract and all task orders. The contractor will develop and submit a contract-level QMP for Government approval in compliance with the contract. Once accepted, the contractor shall use the QMP to guide and to rigorously document the implementation of the required management and quality control actions for each performance based task order.

Contracting Officer (CO): Duly appointed with the authority to enter into contracts, authorize necessary changes and make related determinations and findings on behalf of the Government.

The CO ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract, and safeguards the interests of the United States in the contractual relationship. The CO also assures that the contractor receives impartial, fair and equitable treatment under the contract. The CO delegates authority for inspection and/or acceptance in accordance with the terms of the contract and informs the contractor of the names, duties, and limitations of authority for all quality assurance personnel assigned to the contract.

The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Contracting Officer’s Representative (COR): Designated under the contract by the CO to assist with administering the contract and task orders. The limitations of the COR’s responsibilities are delineated in a written letter of delegation. The COR is responsible for the technical administration of the contract or task order and assures proper Government surveillance of the contractor’s performance. For each performance based task order, the COR shall evaluate and document contractor performance in accordance with the task order level QASPs and PWSs;

shall notify the CO of any significant performance deficiencies; shall maintain surveillance documentation; and shall recommend improvements to the QASP and PWS throughout the life of the contract. The COR does not have authority to make any contractual commitments or to authorize changes on the Government’s behalf.

3. CONTRACT REQUIREMENTS

The RES contract will provide a capability to acquire professional services to support the EPA’s cleanup programs, primarily the Superfund Program. A general PWS is provided at the contract level and a specific PWS containing performance standards and metrics as applicable, along with a separate QASP, will accompany each task order placed under the main contract vehicles that is determined to be performance based. Each PWS may include components of work from 5 major contract level functional areas (tasks):

1. General Requirements

2. Field Work and Analytical Support

3. Remedial Action or Removal Action Implementation

4. EPA-lead Remedy Operations including Long Term Response Action (LTRA)

5. Engineering Support

The contractor, not the Government, is responsible for management and quality control actions to meet the terms of the contract and task orders. Consistent with the requirements of the QMP, the contractor is required to develop a comprehensive program of inspections and monitoring actions for all task orders under the contract. The QMP is approved by EPA before the contract is awarded. The requirements in the QMP will provide a framework for application of process and standards at both the contract and task order level to ensure a quality product is delivered to the

Government.

4. PERFORMANCE BASED TASK ORDER REQUIREMENTS

(a) PERFORMANCE STANDARDS

Performance standards define specific performance objectives and thresholds that must be met in order to achieve acceptable performance of the intended objective of the requirement. Since this is an IDIQ contract with a broad scope of work, the Agency will define performance standards at the task order level. The performance standards for each task order will be included in the task order PWS, will include specific performance objectives and thresholds, and will define desired outcomes for services based off of the seven major functional areas of the contract PWS. For example, under Task 1 of the PWS, one of the general requirements is for the contractor to prepare, update and/or maintain site specific plans such as a waste management plan. Possible performance objectives for that task might include having a comprehensive waste management plan that meets all state and federal requirements; the initial plan being delivered within a certain number of days; and the plan being finalized within a certain number of days.

(b) PERFORMANCE INDICATORS AND ACCEPTABLE QUALITY LEVELS

Each task order QASP will define the performance indicators and Acceptable Quality Levels

(AQL) for measuring whether the contractor has met the performance standards. Indicators of success may include factors such as response time, down time, etc. For every performance standard identified on the task order, the Agency will identify performance indicators and whether the performance includes an AQL. AQLs will constitute a minimum level of acceptable performance and will typically be stated as a percentage of required conformances or as a number of permissible deviations. The AQL essentially answers the question, “What is the minimum quality level necessary to meet the contract requirement?” Not every performance standard included in the task order will have an AQL. When a performance standard does not allow for any deviation in meeting the requirement, then an AQL is not necessary.

Examples of measurable performance standards and AQLs that might be included in task orders include the following:

Response times, delivery times, timeliness – task order kickoff meeting deadlines, draft report submission deadlines, production rates (e.g., tons of soil transported off site, LTTD throughput rate), time required to respond to system (e.g. in-situ thermal treatment) issues.

Error rates – system downtime, samples meeting system performance criteria

(discharge concentrations, etc.), inspections meet quality control plan requirements.

Accuracy rates – similar to error rates, but most often stated in terms of percentages.

Completion milestone rates – X percent of DNAPL mass removed, X percent of soil excavated or sediment dredged, X percent of injections administered, X percent of mass reduction at mass flux line, X percent of documents review and approved.

Cost control – keeping within estimated cost or target costs.

(c) METHODS OF SURVEILLANCE

The Agency will use a variety of surveillance methods to assess if the contractor exceeds, meets, or does not meet the standards and AQLs identified for each task order. The methods of surveillance will be identified in the task order QASP. Surveillance methods may include but are not limited to inspections, random sampling, periodic sampling, trend analysis, customer feedback, and third party audits. The type and degree of surveillance will be based on the criticality of the service or task and on the resources available to accomplish the assessment. The greater the difficulty or criticality, the more performance assessment may initially be necessary.

The method and degree of assessment may change over time in relation to the evaluator’s level of confidence (high or low) in the contractor’s performance. If the method of assessment does change, the QASP will be updated and provided to the contractor.

(d) METHODS OF DOCUMENTING CONTRACTOR PERFORMANCE

The COR will maintain a complete quality assurance file. This file will be maintained for the life of the contract and will be provided to the CO upon request and at the termination or completion of the contract or task order. The file will contain copies of all reports, evaluations, recommendations and any actions related to the Government’s performance of the quality assurance function to include quality assurance checklists. The Agency will also document contractor performance in accordance with FAR Subpart 42.15 by using the government wide

Contractor Performance Assessment Reporting System (CPARS).

5. UNNACCEPTABLE PERFORMANCE

If the number of complaints/defects exceeds the performance threshold for any performance objective, the COR will determine the possible cause of this unacceptable performance and notify the Contracting Officer. Government-caused complaints/defects shall not be counted against the contractor. The same applies to any other requirement of the contract when

Government-caused complaints/defects are the cause of unacceptable contractor performance. If the contractor’s performance is judged unacceptable for any requirement, the COR will inform the contractor and request his or her signature and date of surveillance on documentation acknowledging notification. If the contractor refuses to sign, the COR shall annotate on the documentation the date and time of notification and name of contractor’s representative and his/her refusal to acknowledge. If the contractor disputes the results of surveillance, the COR must refer the contractor to the CO for resolution.

Re-performance is the preferred method of correcting any unacceptable performance. The contractor shall provide the Government written response why the performance threshold was not met, how performance will be returned to acceptable levels, and how recurrence of the cause will be prevented in the future.

6. PERFORMANCE REQUIREMENTS SUMMARY

Each task order will include a Performance Requirements Summary in its PWS to communicate the desired outcomes, performance standards, AQLs, methods of surveillance and any applicable incentives. The following table shows the typical elements of a PRS; however, every PRS will be different as it will be tailored to the individual task order.

Sample PRS

Performance

Objective

Performance

Standard

Acceptable

Quality Level

Method of

Surveillance

Incentive

The sample PRS will be completed for the final request for proposals.