ATTACHMENT__3_QASP_W9124J-17-R-0006_ERMA_IDIQ_FY18_4_Jan_2017.pdf

W9124J-17-R-0006 Attachment #3

Quality Assurance Surveillance Plan

For

Environmental Remediation Services at White Sands Missile

Range, New Mexico

4 January 2017

Insert Contracting Officer Info, e.g., Insert COR Info, e.g.

TBD TBD

TABLE OF CONTENTS

Subject

1. Overview

2. Description of Services

3. Roles and Responsibilities

4. Contract Quality Requirements

5. Government Surveillance

6. Non-Conforming Performance

7. Deduct Plan

8. Data Analysis

9. Acceptance of Services

10. COR Status Report

11. Contractor Manpower Reporting Application (CMRA)

12. Contractor Performance Assessment Reporting System (CPARS)

13. Combating Trafficking In Persons

14. COR/Quality Assurance Surveillance Files

15. QASP Changes

1. Overview.

1.1. Purpose. The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to ensure it receives the services under this contract as identified in the Performance Work Statement (PWS).

1.2. Intent. The intent of this QASP is to: 1) ensure Contractor performance meets or exceeds contract terms, conditions and specifications; 2) hold the Contractor accountable for quality control; and 3) encourage the Contractor to take appropriate steps to control and improve quality.

Accordingly, the Government will perform surveillance on the contract in accordance with this

QASP, but reserves the right to monitor the contract in any manner necessary, at any times necessary, and at all places necessary to ensure that the rendered services conform to contract requirements. The Government also reserves the right to perform quality assurance at the

Subcontractor level and perform quality assurance at the contractor's place of business, if applicable. Resolution of non-conforming services discovered at the Subcontractor level will be addressed with the prime Contractor.

2. Description of Services.

2.1. Scope of Work. The scope of work of this task order may be found in Section 1.4 of the task order PWS.

2.2. Type of Contract. The type of contract may be found in Section 1.6.6 of the task order

PWS.

3. Roles and Responsibilities.

3.1. Government Personnel: Government personnel are defined in Section 2.1 of the PWS.

These are the Contracting Officer (CO (KO)), Contracting Officer’s Representative (COR), and

Contract Administrator.

3.2. Contractor Personnel: Task order key personnel are discussed in Section C.6 of the ERMA

Basic Contract. For this task order the contractor Key Personnel are TBD at time of award.

4. Contract Quality Control Requirements

4.1. Quality Control Program. The Contractor's Quality Control Program requirements are defined in Section 1.6.1 of the PWS.

4.2. Government Quality Assurance. The Government will perform Quality Assurance oversight of the Contractor IAW Section 1.6.2 of the PWS and this QASP.

5. Government Surveillance.

5.1. Methods of Surveillance. The following Methods of Surveillance will be utilized in monitoring the Contractors’ performance:

5.1.1. 100% Inspection -- All items will be inspected

5.1.2. Periodic Inspection - Planned sampling of a service at specific predetermined dates and times. May be appropriate for tasks that occur infrequently.

5.2. Surveillance Schedule. A Surveillance Schedule will be created for each month of

Contractor performance utilizing the DA 5475, COR Surveillance Schedule, Attachment 2. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized

Government personnel. A copy of the Surveillance Schedule will be filed in the Wide Area

WorkFlow e-Business Suite, CORT Tool, https://wawf.eb.mil/ (Either as an Attachment to the

Monthly COR Status Reports or uploaded separately in the Miscellaneous Documents Section of the CORs’ Online File.).

5.3. Surveillance Instructions/Checklists. Surveillance Checklists, Attachment 3, will be utilized and completed when surveillances are conducted.

5.4. Surveillance Documentation. No later than the 15th of each month surveillance documentation for the preceding month will be uploaded in the Wide Area WorkFlow e-

Business Suite, CORT Tool, https://wawf.eb.mil/. Monthly surveillance documentation includes the Monthly Status Report, the Surveillance Schedule and all completed Surveillance

Checklist(s) for the preceding month. Surveillance Schedules and completed Surveillance

Checklists may be uploaded in CORT Tool either as Attachments to Monthly Status Reports or uploaded separately in the Miscellaneous Documents Section of the CORs’ Online File.).

6. Non-Conforming Performance. Non-conformance occurs when a Contractor fails to meet

Contract or Task Order terms, conditions and/or specifications. All instances of non-conformance will be documented and the Contractor will be notified. Resolution of non-conformance discovered at the Subcontractor level will be addressed with the prime Contractor.

Non-conformance is classified as either: Level I (Minor); Level II (Major); or Level III

(Critical).

6.1. Level I (Minor). Level I non-conformance is not likely to materially reduce the usability of services for their intended purpose or is a departure from established standards having little bearing on completing the contract requirement. Minor non-conformances can usually be corrected on the spot and can be issued to the Contractor through either a verbal or written

Contract Discrepancy Report (CDR). However, the Government is still required to document verbal Level I CDRs. The COR may issue verbal Level I CDRs directly to the appropriate level of Contractor management. The COR will notify the CO (KO) as soon as practical when a verbal Level I CDR is issued and document them in their Monthly Reports. If the non-conformance cannot be corrected on the spot, the Contractor shall be given a suspense date to correct the deficiency. The CO (KO) will issue and sign written Level I CDRs, Attachment 4.

6.2. Level II (Major). Level II non-conformance is likely to result in failure of the services to meet contract requirements. Also, repeated discrepancies, a large number of documented Level I

CDRs and trends indicating failure of the Contractor’s quality control program can be classified https://wawf.eb.mil/ as Level II CDRs. The CO (KO) issues all Level II CDRs in writing, Attachment 4. The COR will notify the CO (KO) as soon as practical when a major non-conformance is identified.

6.3. Level III (Critical). Level III non-conformances result in hazardous or unsafe conditions due to the manner in which the services are performed; prevent or impact a vital agency mission as a result of performance; or are for repeated or uncorrected Level II CDRs. The Contracting

Office Director or Deputy Director issues written Level III CDRs. The COR is responsible for notifying the CO (KO) immediately upon discovery of a critical non-conformance.

6.4. Documenting CDRs. Documentation, as a minimum, will include: the Contract or Task

Order number; reference to the specific contract requirement; the specific discrepancy to the requirement; where it was discovered; the date and time it was discovered; Contractor representative who was notified; and the suspense date for Contractor response/corrective action.

6.5. Tracking and Resolving CDRs. All CDRs, verbal and written, regardless of issuer will be included in the COR’s Monthly Report. The COR and CO (KO) shall track CDRs to ensure the

Contractor identifies and takes appropriate corrective action to the root cause and the specific non-conformance is corrected within the required timeline. The CO (KO) will make a final written determination of the Government’s remedies if the non-conformance is not corrected by the Contractor after receiving notice and a reasonable opportunity to correct the work.

7. Deduct Plan. There is no Deduct Plan associated with this Contract.

8. Data Analysis. Data Analysis will be used to look for and identify shifts in Contractor performance both positive and negative. Data analysis will include surveillances performed and review of Contractor provided data (Progress Reports, metrics, etc.) Data Analysis will be documented in COR Status Reports and may be used to make adjustments to the surveillance schedules, such as increase or decrease surveillance, if deemed appropriate. Negative trends noted using Government data/observations could result in issuing the Contractor a Contract

Discrepancy Report. Trends noted using Contractor data will not result in a CDR unless the

Contractor is not addressing the negative trend.

9. Acceptance of Services. When all services have been deemed acceptable and there is documented objective quality evidence to support acceptable performance the COR will accept the services provided and authorize payment of the Contractor. This is accomplished by approving the Contractor’s Receiving Reports in Wide Area WorkFlow, e-Business Suite, https://wawf.eb.mil/.

10. COR Status Report. COR Status Reports will be submitted on a Monthly basis, no later than the 15th of each month for the preceding month, to the Contracting Officer via the Wide

Area WorkFlow e-Business Suite, CORT Tool. COR Status Reports will provide a synopsis of the Contractors performance for the inclusive dates of the report. The synopsis will contain a summary of: surveillances performed; CDRs, if any; an analysis of the Contractors performance;

recommended adjustments to surveillance schedules; and any other pertinent contract information. Completed Surveillance Checklists and CDRs, if any, will be included as attachments to COR Status Reports or uploaded separately in the Miscellaneous Documents

Section of the CORs’ Online file.

11. Contractor Manpower Reporting Application (CMRA). In accordance with Office of the Secretary of Defense Memorandum, Enterprise-wide Contractor Manpower Reporting

Application, dated 28 Nov 2012, the Contractor must report contractor manpower to the

Contractor Manpower Reporting website at https://cmra.army.mil. While inputs may be reported any time during the FY, all data shall be reported no later than October 31 of each calendar year.

The COR shall verify that the Contactor has complied with the required contractor manpower reporting annually and document the results in the Wide Area WorkFlow, e-Business Suite, CORT Tool, Miscellaneous Section https://wawf.eb.mil/.

12. Contractor Performance Assessment Reporting System (CPARS). Documented surveillance data (COR Status Reports, Completed Surveillance Checklists, Customer Feedback and CDRs, if any) will be used to support CPARS ratings. CPARS will be completed in accordance with AFARS, Subpart 5142.15 – Contractor Performance Information. The COR shall document that CPARS, if required, was completed in the Wide Area WorkFlow, e-Business

Suite, CORT Tool, Miscellaneous Section https://wawf.eb.mil/.

13. Combating Trafficking In Persons (CTIP). In accordance with PGI 222.17 and FAR

52.222-50, the CO (KO) will be notified immediately of any information from any source that alleges a Contractor employee, subcontractor and/or subcontractor employee has engaged in conduct that violates the United States Government “zero” tolerance policy regarding trafficking in persons.

14. COR/Quality Assurance Surveillance Files. The official COR/Quality Assurance

Surveillance File will be maintained in the Wide Area WorkFlow, e-Business Suite, CORT Tool, https://wawf.eb.mil/, IAW DoDI 5000.72, DoD Standard for COR Certification.

15. QASP Changes. This QASP is a living document and, as such, may be changed as needed based on Data Analysis (trends), contract modifications, etc. The COR will send any recommended changes to the CO (KO) for approval and the CO (KO) must approve all changes.

COR’S Signature Block (signature/signature block will be included on the final version)

Contracting Officer’s Signature Block (signature/signature block will be included on the final version) https://cmra.army.mil/

Attachments:

1. Performance Requirements Summary (PRS)

2. Surveillance Schedule, DA Form 5475

3. Surveillance Checklist

4. Contract Discrepancy Report, DA Form 5479

Attachment 1

Performance Requirements Summary

Performanc e Objective

Performance

Standards

Method of

Surveillanc e

Performance

Threshold Disincentives

Health and

Safety: PWS

Section 5.1.2.

The

Contractor shall maintain

Health and

Safety

Requirement s.

Compliant with applicable federal, state, and local laws and regulations

Periodic inspection

Zero Class C safety violations where the contractor is determined at fault.

Trends of less than acceptable performance could result in termination of task order and/or negative CPARs ratings.

Schedule:

PWS Section

5.1.1. The

Contractor shall meet the schedule requirements of the PMP.

Compliant with the

TO PWS; all applicable federal, state, and local laws and regulations;

agreements;

permits; and any negotiated milestones/deadline s.

100% inspection

No slippage deemed the fault of the contractor for which the

Contractor does not present a viable plan to make up the lost time.

Failure to meet the

Performance-Based

Milestones/Objective s could result in nonpayment, termination of the task order, and/or negative CPARs ratings.

Approval of

Deliverables:

PWS Section

5.1.3. The

Contractor shall obtain

Army and

Regulatory approval of all project deliverables.

Compliant with the

TO PWS; all applicable federal, state, and local laws and regulations;

permits; agreements and any approved planning documents.

100% inspection

No more than two (2) revisions of deliverables for either Army or Regulator comments.

Failure to complete compliant documents could result in mission failure or schedule delay which would result in nonpayment for work toward the applicable CLINs, termination of the task order, and/or

Performanc e Objective

Performance

Standards

Method of

Surveillanc e

Performance

Threshold Disincentives negative CPARs ratings.

Field

Activities:

PWS Section

5.1.4. The

Contractor shall perform all field work and sampling activities required in this PWS in compliance with accepted industry standards, approved site plans, and

Army and

Regulatory approvals.

Performed in compliance with the

Final Work Plan(s) and Sampling and

Analysis Plan(s)

(SAP). Though field changes are acceptable due to site conditions, these changes must first be approved by the COR, and upon

COR’s discretion by Regulators.

Periodic inspection

100% compliance with the Final Plans and SAP, and the approved variances.

If field work is not completed in accordance with the

Final Work Plans, SAP and any approved variances, the contractor may be required to re-work/re-sample at their cost to ensure completion of performance objectives.

Additionally, failure to receive approval of field changes may result in negative

CPARs ratings.

Sample

Results:

PWS Section

5.1.5.

Sample results shall be acceptable to the Army and

Regulators.

Sample results shall meet quality assurance goals/requirements to include any applicable standard operating procedures (SOPs).

Periodic inspection

100% compliance with

Quality

Assurance/Qualit y Control

(QA/QC)

requirements established in the quality assurance project plan

(QAPP) and

SAP.

Failure to have sample results which fall within QA/QC requirements could result in contractor re-sampling at their cost, schedule delay or mission failure.

Failure to meet the

Performance-Based

Milestones/Objective s could result in nonpayment, Performanc e Objective

Performance

Standards

Method of

Surveillanc e

Performance

Threshold Disincentives termination of the task order, and/or negative CPARs ratings.

Attachment 2

Surveillance Schedule, DA Form 5475

Attachment 3

Surveillance Checklist

SURVEILLANCE CHECKLIST--General

COR Inspection Checklist & Data Report

(Fixed Firm Price Contract) Period Of Performance:

Contractor: From:

Contract Number: To:

Service Provided:

Meeting Contract Requirements?

COR Name:

"Did Contractor" YES NO N/A

1. Did the Contractor fully execute this contract by assuming contractual liability and responsibility for the achievement of the contract requirements? (PWS

Section 1 and Table 1).

Comments:

2 Did the Contractor fully execute this contract by:

providing the necessary support for Government interactions with the regulators and obtaining comments/concurrence on documentation, as applicable? (PWS Sections 5.1.3 and 5.4)

3. Did the Contractor develop and maintain an

Activity-Based Schedule that fully supports the technical approach and outlines activities and milestones? Did the contractor meet that schedule?

Were changes satisfactory? (PWS Section 5.1.1).

4. Did the Contractor identify and implement a means for providing monthly project status reports to the

COR? (Basic Contract PWS Section C.4.2.2).

5. Did the Contractor update the PMP to reflect progress towards achievement of the performance objectives and delineate proposed actions to accomplish future project milestones? Did the

Contractor update the PMP annually or more frequently, as warranted? (PWS Table 1, Section 5.1.1 and Basic Contract PWS Section C.4.1)

6. Did the Contractor adhere to all applicable federal, DoD, and Army geospatial data standards for tasks and deliverables in this PWS? (Basic Contract PWS

Section C.5.3).

7. Did the Contractor ensure that the quality of all work performed or produced under this contract meets

Army approval, through the COR? Did the Contractor receive concurrence on the documents from the regulators? (PWS Table 1 and Section 5.1.3)

8. Were the Contractor efforts performed in accordance with the Health and Safety Plan? (PWS

Section 5.1.2).

9. Did the Contractor update at least monthly a multimedia (i.e., both paper and electronic format) project repository of all project-related information to ensure that pertinent documentation and data are available for project reviews, and to provide a clear record of the PBA approach to support final decisions and remediation completion? (PWS Section 5.10.1).

10. Did the Contractor comply with PWS and referenced applicable regulations to ensure that all activities performed by its personnel, subcontractors and suppliers are executed in accordance with said authorities? (PWS Section 1.1.3, and Parts 4 and 6).

11. Did the Contractor provide the necessary personnel and equipment to execute this PWS successful? The Contractor is responsible for determining the requirements for licensed professionals and certifications. Did the Contractor provide necessary key personnel and notify the COR of any changes in key personnel? (Basic Contract

Section C.6, PWS Section 1.6.12 and Part 4).

12. Did the Contractor comply with the Security

Requirements including submittal of training certificates to the COR? (Section 1.6.7)

13. Did the Contractor also update the repositories for the Administrative Record for DERP activities as required? (PWS Section 5.2)

14. Did the Contractor comply with the Database

Requirements? (PWS Section 5.3)

15. Did the Contractor consider and implement green remediation approaches and include the information in work plans and project status reports? (Basic Contract

PWS Section 5.5)

Comments summary, to include, positive trends, negative trends, concerns, customer comments, and any additional COR comments:

Attachment 4

Contract Discrepancy Report, DA Form 5479