7._QASP_Template_v1_20190913_FINAL.DOCX

Quality Assurance Surveillance Plan For Optimized Remediation Contract

[ORC NAME]

DD Month YYYY

Introduction This Quality Assurance Surveillance Plan (QASP) sets forth the procedures and guidelines that the Government will use in evaluating the technical and quality performance of the Contractor in accordance with the Performance Work Statement (PWS) for the [ORC NAME] Optimized Remediation Contract (ORC). A performance objective (PO) is specified for each of these [SPELL OUT NUMBER (NN)] environmental sites in Table 1 of the PWS. Since the technical approach for achieving the objectives may vary between Offerors, the specific payment milestones will be finalized upon acceptance of the final proposal and contract award and the QASP will be updated accordingly.

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.

Purpose The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and resources to be employed. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards identified in the PWS and the Contractor’s Quality Control Plan (QCP) and to ensure that the Government only pays for acceptable level of services received.

The QASP defines the roles and responsibilities of the multi-functional Government surveillance team, identifies the performance objectives, defines the methodologies used to monitor and evaluate the Contractor’s performance, describes the quality assurance documentation requirements, and describes analysis of the quality assurance monitoring results.

Performance Management Strategy The Contractor is responsible for the quality of all work performed. The Contractor measures quality through the Contractor’s own quality control (QC) program. QC includes all work performed under this contract regardless of whether the work is performed by Contractor employees or by subcontractors. The Contractor’s QCP 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 develop and implement a performance management system with processes to assess and report its performance to the designated Government representative. This QASP enables the Government to take advantage of the Contractor’s QC program.

The Government surveillance team will monitor performance and review performance reports furnished by the Contractor to determine how the Contractor is performing against communicated POs. The Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

Roles and Responsibilities of Government Surveillance Team Government surveillance will be performed by a multi-disciplinary technical team, which shall create an environment that shapes and effectively executes this contract. The Government surveillance team will perform field and technical oversight of all Contractor activities to ensure that the Contractor is meeting technical, schedule, and other contractual requirements and which will provide early detection of potential performance issues and resolution before any issues become significant problems. The Government surveillance team will be comprised of qualified multi-disciplinary representatives from United States Army Corps of Engineers (USACE) and Air Force Civil Engineer Center (AFCEC). The following Government-designated persons will participate in the performance management of this contract: USACE Contracting Officer (KO), USACE Contracting Officer’s Representative (COR), and Installation Restoration Program Manager (RPM). The Government surveillance team will also be supported by the USACE Program Manager (PM), AFCEC Restoration Program Management Office (R-PMO) PM, USACE Technical Manager, subject matter experts (SMEs), and other technical personnel.

Contracting Officer: The KO has the overall responsibility for overseeing the Contractor’s performance. The KO, through the assigned COR, monitors the Contractor’s performance in the areas of contract compliance, contract administration, reviewing the COR’s assessment of the Contractor’s performance, and resolving all differences between the COR’s assessment and the Contractor’s assessment of performance. The KO assures that the Contractor receives impartial, fair, and equitable treatment under the contract. The KO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance. The KO for this contract is [Mr./Ms. FirstName LastName] at the USACE [SELECT DISTRICT] District, [PHONE NUMBER], [EMAIL]. Questions for the KO should be directed to the assigned USACE Contracting Specialist, [Mr./Ms. FirstName LastName], [PHONE NUMBER], [EMAIL].

Contracting Officer’s Representative: The COR is responsible for technical monitoring of the Contractor’s field and technical performance as well as assessing, recording, and reporting on the Contractor’s compliance with the contract terms and conditions. The COR will ensure availability to receive COR training as directed by the KO prior to performing Contractor surveillance. The COR, with support of the Government surveillance team, will maintain surveillance documentation and notify the KO of any significant performance deficiencies. The COR will assist the Chief Financial Officer by validating that all invoices are correctly posted against the assigned contractual and financial elements. The COR will prepare an annual performance evaluation into the Contractor Performance Assessment Reporting System (CPARS) as required and at the time of final acceptance of work, contract completion, when the Contractor’s performance is unsatisfactory, or at other times, as appropriate, in accordance with USACE procedures. The COR will be identified prior to award of the contract.

Installation RPM: The Installation RPM has the responsibility to ensure overall progress and strategies of this contract are meeting the requirements and standards of the Air Force Environmental Program. The RPM will assist in budgeting and planning throughout the life of this contract. The RPM will provide and supplement field oversight and technical reviews of Contractor reports. The RPM shall serve as the Air Force regulatory authority at the installation level; as liaison to the federal, state, and local regulatory agencies; and as liaison to the AFCEC/CZR Environmental Restoration Division to relay progress information as appropriate. The RPM for each installation will be identified prior to award of the contract.

AFCEC R-PMO PM: The AFCEC R-PMO PM validates budgeting and planning requirements and ensures program requirements and updates are compliant with the Air Force Environmental Program Business Processes throughout the life of the contract. The R-PMO PM for each installation will be identified prior to award of the contract.

Subject Matter Experts and Technical Personnel: The KO and COR may call upon the technical expertise of other Government Officials and SMEs as required. These Government personnel may be called upon to review technical documents and products generated by the Contractor and will be identified as work progresses.

Contractor Performance Assessment The POs for each site are presented in Table 1 of the PWS. The Contractor will be responsible for accomplishing the POs, and will be monitored and assessed for this contract by the Government surveillance team. The COR will monitor every aspect of the Contractor’s performance and will engage the Contractor and appropriate team members to resolve any discrepancies in performance.

This contract will utilize multiple tools and methods to assess the Contractor’s performance, and every aspect of that performance will be adequately documented to substantiate the Contractor’s compliance with the POs. The Contractor will be engaged in the development of this strategy, as a strong partnership between the Government and the Contractor will help to ensure the POs are achieved.

Discrepancies or deficiencies in performance will be resolved at a level appropriate to the deviation or divergence from the performance objective. Installation RPM and COR interaction will be required for all issues at the milestone level. When required, the KO will be required to engage with the Contractor to ensure all aspects of the contract are adhered to. Anticipated remedies may include: receiving data, information, or reports from the Contractor in response to questions; correction of cost performance data; timely notification of issues effecting health and safety; meetings; correspondence; adjustments to milestones to meet site conditions; or Contractor re-performing tasks or work in order to meet POs.

Performance Assessment Methods Key Surveillance The following types of documents and activities are currently anticipated and will be evaluated in accordance with this QASP:

Communications Technical plans and report quality Field work completion Laboratory analysis and data review Status reports, meeting minutes, presentations Integrated Master Schedule (IMS) and Milestone Payment Schedule (MPS) Operation and Maintenance (O&M) Upon contract award and subsequent submittal of the Contractor’s Program Management Plan, the QASP will be reviewed and updated as necessary to ensure alignment.

Additional Surveillance Additional Government surveillance activities may include, but are not limited to, the following:

Quality Assurance Project Plan (QAPP) Field investigations Data transfer Project meetings Technical progress reporting Uploaded electronic documents Quality control documentation Safety records Performance Standards The Contractor’s performance will be evaluated by assessing the listed key milestones, documents, and activities in the areas of evaluation listed below. These areas will be evaluated throughout the course of the project through the use of the following qualifiers: exceptional, very good, satisfactory, marginal, and unsatisfactory. The Contractor’s performance will be evaluated for the attribute of safety during any fieldwork.

AREAS OF EVALUATION

QUALITY

SCHEDULE

BUSINESS RELATIONS

MANAGEMENT OF KEY PERSONNEL

UTILIZATION OF SMALL BUSINESS

SAFETY

The following guidelines are provided for issuing ratings that are subjective in nature; these ratings will be supported by the weight of evidence documented during the Government's surveillance efforts:

Exceptional: Performance meets contractual requirements and exceeds many to the Government's benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the Contractor were highly effective.

Very Good: Performance meets contractual requirements and exceeds some to the Government's benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the Contractor were effective.

Satisfactory: Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

Marginal: Performance does not meet all contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the Contractor has not yet identified corrective actions. The Contractor's proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory: Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains serious problems for which the Contractor's corrective actions appear or were ineffective.

Surveillance Methodology Table 1 summarizes the surveillance activities planned for the QASP. The surveillance methods listed below will be used in the administration of this QASP.

1. 100% Inspection: All project milestones, documents, and activities will be evaluated through 100% inspection by on-site inspection or document review through USACE and AFCEC oversight. The COR will document performance for each completed milestone, document, or activity prior to payment.

Periodic Inspection: At the COR’s discretion, periodic inspections will be conducted to evaluate progress toward key milestones, documents, and activities. This may include QA Safety Inspections by a Government representative during fieldwork. The COR may also complete a period progress inspection based on the belief that deficiencies exist that must be addressed prior to completion of milestones, documents, or activities.

Customer Feedback: Feedback on Contractor performance will be obtained through period inquires by the COR with project stakeholders. The purpose of these inquires would be to supplement the other forms of evaluation and to also provide the Contractor with constructive criticism or recognition for the project milestones, documents, and activities completed. Customer feedback received will be validated to ensure it relates to the requirements of the PWS and will be used in a prudent manner by the COR. Customer feedback will also be solicited from appropriate stakeholders for key documents and activities.

Acceptable Performance Performance shall be documented using approval of the plans, field work, and reports. Subsequent approval is further documented by approval and payment of the associated performance milestones. Payments shall be completed by approval of the invoice by the USACE PM and submitted to the COR for payment. The Government shall document positive performance. Any report may become a part of the supporting documentation for any contractual action. The Government uses CPARS.

Unacceptable Performance When unacceptable performance occurs, the COR shall inform the KO. The KO shall notify the Contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case, the COR shall document the discussion and place it in the COR file. The Contractor shall acknowledge receipt of the written documentation from the KO. The written documentation of unacceptable performance should request the Contractor to prepare a corrective action plan to document how the Contractor shall correct the unacceptable performance and avoid a recurrence. The documentation should also state how long after receipt the Contractor has to present this corrective action plan to the KO. The Government shall review the Contractor's corrective action plan to determine acceptability. The Government may also submit an interim CPARS rating to document unacceptable performance. Should performance not allow for corrective action, or if the corrective action plan is not implemented, the Government may issue a final CPARS rating documenting the unacceptable performance. Unacceptable performance may also result in the Contracting Officer issuing a contract termination.

Surveillance Documentation Quality Assurance Monitoring Form The USACE PM or designee will use the Quality Assurance Monitoring Form (QAMF) (Attachment 1) to record evaluation of the Contractor’s performance for each payment milestone or final document/report in accordance with the methodology described in Section 3.0. The USACE PM must substantiate, through narratives on the form, all exceptional or less than satisfactory ratings.

Performance at the satisfactory level is expected from the Contractor. The QAMF will include information on acceptance of the progress reports and payments to percent project completions by the Contractor. The USACE PM will forward copies of all completed QAMFs to the COR and the Contractor within 7 days of performing the inspection.

Other Documentation The COR shall review, approve, and maintain at a minimum the following surveillance information within the contract project folder (hardcopy or electronic) or in an appropriate electronic domain:

1. COR Letter of Appointment Contract and Modifications Contract PWS and documents/reports, such as:

Project website observations Schedules Technical status reports Meeting documentation Notifications Quality Assurance Project Plan (QAPP) Drawings, permits, and technical documents Other applicable documentation, such as:

Progress Reports such as Daily Progress Reports Data and Technical Reports Correspondence (email, teleconference notes, etc.)

Financial documents to support invoicing Back up documentation for all invoices Observations on Contractor activities Milestone records Database records Site visit surveillance documentation Table 1 - Surveillance Activities Table (Milestones/Documents/Reports)

Method Documentation

· Timely notification of potential issues and problems.

· Regulator approval of technical document.

Regulator approval e-mail, letters

· Sampling conducted in accordance with approved QAPP/Work Plan.

· Restoration of site surface to original or agreed upon conditions.

· USACE and AFCEC approval of data validation report.

· Environmental Resources Program Information Management System (ERPIMS) data submissions shall be error-free, pass all validation checks, be considered delinquent if not submitted 90 days after the sample was collected, and fully comply with the ERPIMS Data Loading Handbook (DLH).

· Maintain IMS/MPS to accurately reflect completed activities and realistic schedule of planned activities.

Corrective Action Process When a key document/report receives a marginal or unsatisfactory rating, the Contractor will explain, within 15 days, in writing to the COR, the Installation RPM, and the AFCEC R-PMO PM as to why performance was marginal or unacceptable, how performance will be returned to acceptable levels, and how recurrence of the problem will be prevented in the future. The COR, the Installation RPM, and the AFCEC R-PMO PM will review the proposed corrective action to determine if the corrective action will be accepted.

Performance Standard Decision Review The Government will document compliance or noncompliance of each completed milestone, document, or activity with a Performance Standard Review as shown in Table 3. The status of each completed performance milestone will be entered into the review table. Compliant or noncompliant status of the completed milestone will be documented along with specific documented deficiencies, cause of deficiencies, and a recommended approach to corrective action.

Table 3 - Performance Standard Decision Review

Version 1 September 2019 Page 1

ATTACHMENT 1

QUALITY ASSURANCE MONITORING FORM

Version 1 September 2019

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD (MILESTONE):

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

100% Inspection Periodic Inspection Customer Feedback LEVEL OF SURVEILLANCE (Check):

ANALYSIS OF RESULTS:

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________