Attachment 1-2-3.pdf

ATTACHMENT 1 - Vicinity Map for Wood

Attachment- 2 Vicinity Map for Gravel Delivery

ATTACHMENT 3

Quality Assurance Surveillance Plan

Howard Hanson Dam Transport of Large Wood Debris and Gravel Purchase and Delivery

1. Overview

This performance-based Quality Assurance Surveillance Plan (QASP) sets forth the procedures and guidance that the Project Manager (PM) and the PM’s designee, the Technical Point of Contact (TPOC), will use in evaluating the technical performance of the Contractor in accordance with the terms and conditions of the performance work statement (PWS). The QASP objective is to define Government procedures to be used to verify that appropriate performance and quality assurance methods are used in the management of this performance-based contract.

The purpose of the QASP is to assure that performance of specific activities and completion of milestones are accomplished in accordance with all requirements set forth in the PWS.

This QASP describes the mechanism for documenting noteworthy accomplishments or discrepancies for work performed by the Contractor. Information generated from USACE’s surveillance activities will directly feed into the evaluation of performance discussions with the Contractor. The intent is to ensure that the Contractor performs in accordance with performance metrics set forth in the contract documents, USACE receives the quality of services called for in the contract, and USACE only pays for the acceptable level of services received.

The QASP details how and when USACE will monitor, evaluate, and document Contractor performance on the PWS. The QASP is intended to accomplish the following:

1. Define the role and responsibilities of participating USACE representatives.

2. Define the key milestones/deliverables that will be assessed.

3. Define performance standards for key milestones/deliverables.

4. Describe the surveillance methodology that will be employed by USACE in assessing the

Contractor’s performance.

5. Describe the surveillance documentation process and provide copies of the form that

USACE will use in evaluating the Contractor’s performance.

6. Outline corrective action procedures.

2. Roles and Responsibilities

2.1 - Role and Responsibilities of USACE personnel

The Project Manager (PM) is responsible for technical administration of the project and assures proper USACE surveillance of the Contractor’s performance. The PM has designated the USACE technical point of contact (TPOC) as the responsible party for monitoring, assessing, recording, and reporting on the technical performance of the Contractor as indicated in the performance schedule. The USACE TPOC will be assisted by other USACE technical staff in assessing the technical performance of the Contractor. The USACE TPOC will raise all performance issues to the PM for resolution.

The USACE Contracting Officer (KO) has overall responsibility for overseeing the Contractor’s performance. The KO is responsible for monitoring of the Contractor’s performance in the areas of contract compliance, and contract administration; reviewing the PM’s assessment of the Contractor’s performance; and resolving all differences between the PM’s assessment and the Contractor’s assessment of performance. It is the KO that assures 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.

USACE is responsible for administering the contract and ensuring that they receive technically accurate and appropriate deliverables. USACE is responsible for quality assurance of the Contractor’s work. A multi-disciplinary team, led by the USACE TPOC, will review and comment on written deliverables. It is not the responsibility of USACE to perform quality control for the Contractor or to execute work that the Contractor was contracted to perform.

USACE will coordinate all Government comments on written deliverables, and it is USACE that will evaluate and rate the Contractor at the end of the contract. USACE will work with the Contractor to identify and correct any deficiencies prior to those deficiencies adversely impacting the project. USACE will also perform quality assurance review of the Contractor’s field practices during any field investigations. It is the responsibility of USACE to ensure that the Contractor receives comments on all deliverables within the allotted time on each of the submittals.

3. Performance Standards for Key Milestones/Deliverables

The Contractor’s performance will be evaluated by assessing the key milestones/deliverables described in the performance work statement according to two standards: quality and timeliness.

For each of the performance standards, USACE will assign one of two ratings of the Contractor’s performance: acceptable, or unacceptable (as shown in Table 1). Further detail on each of these standards is outlined in Table 2.

Table 1 - Performance Standards

Performance Standard

Acceptable

Performance

Unacceptable

Performance

Quality Contractor meets or exceeds the requirements in the PWS for the milestone/ deliverable.

Contractor does not meet the requirements in the PWS for the milestone/ deliverable.

Timeliness Contractor provides milestone/deliverable according to or ahead of the schedule outlined in the PWS.

Contractor provides milestone/deliverable behind the schedule outlined in the PWS

If a milestone/deliverable is rated as being of unacceptable quality at the time that the PWS deadline for the milestone/deliverable expires, the milestone/deliverable will automatically receive an unacceptable rating for timeliness. At no point will a milestone/deliverable receive an acceptable rating for timeliness if it is rated as being of unacceptable quality. Overall acceptable performance on a milestone/deliverable requires ratings of acceptable for both the quality and timeliness standards.

Table 2 - Detailed Description of Performance Expectations

Performance Objectives Performance Standard Monitoring Method

Tasks 5.1.1, 5.1.2, 5.1.3:

LWD transport

USACE approval of wood transport and placement

Contractor communication with Government; Government inspection of work

4. Surveillance Methodology

The surveillance methods listed below will be used in the administration of this QASP.

100% Inspection: At the completion of all key milestones and deliverables, performance will be evaluated through 100% inspection (e.g., document review). The USACE will document performance for each completed milestone/deliverable prior to payment, as described in Section 6.0.

Periodic Progress Inspection: At the USACE’s discretion, periodic teleconferences may be conducted to evaluate progress toward key milestones and deliverables. The TPOC may call this teleconference if he/she believes that deficiencies exist that must be addressed prior to milestone/deliverable completion. While corrective action or re-performance will be required if necessary, the Contractor will not be financially penalized for unacceptable performance recorded in periodic progress reports, provided that final performance evaluation of the milestone/deliverable is deemed acceptable.

5. Surveillance Documentation

The USACE TPOC will use a performance evaluation form to record evaluation of the Contractor’s performance for each milestone and deliverable in accordance with the methodology described in this PWS and QASP. The USACE TPOC must substantiate, through narratives in the form, all unacceptable ratings. Performance at the acceptable level is expected from the Contractor. At a minimum, the evaluation form will indicate actual and scheduled delivery times and number of reviews required to achieve the final product.

The USACE TPOC will forward copies of all completed performance evaluation forms to the PM and KO and Contractor within one week of performing the inspection. When a milestone/deliverable receives an overall unacceptable rating, the Contractor will explain, within 15 days, in writing to PM why performance was unacceptable, how performance will be returned to acceptable levels, and how recurrence of the problem will be prevented in the future.

The PM will review each performance evaluation form prepared by the USACE TPOC. When appropriate, the PM and KO may investigate further to determine if all the facts and circumstances surrounding the event were considered in the USACE TPOC’s opinions outlined on the form. The PM or KO will immediately discuss any unacceptable rating with the Contractor to assure that corrective action is promptly initiated.

The USACE TPOC will maintain a complete QA file. This file will contain copies of all performance evaluation forms and any other related documentation. The USACE TPOC will forward these records to the PM and KO at termination or completion of the task order.

6. Payment and Corrective Action

Full payment for a milestone/deliverable will be provided upon verification of overall acceptable performance, as rated on quality and timeliness. This verification will be recorded in a performance evaluation specifying overall Contractor performance as either acceptable or unacceptable for the milestone/deliverable.

If a milestone/deliverable is unacceptable re-performance is required until the milestone/deliverable is acceptable.

7. Quality Assurance Surveillance Forms

Attached are the quality assurance surveillance forms that will be used by USACE to detail any required corrective actions. Additional quality assurance feedback will come in the form of comments on documents, USACE performance evaluations, field checklists, and letters to the Contractor.

8. Applicable Reference Documents

Reference documents or materials applicable to this PWS are listed below:

QUALITY ASSURANCE MONITORING FORM

Date: ___/____/______

Work Task (Milestone/Activity): _______________________________________

Survey Period: ___/____/______ through ___/____/______

Method of Surveillance: TPOC Review

Evaluation of Contractor’s Performance: _______ Evaluation

Corrective Action Required: Yes No

Narrative Discussion of Contractor’s Performance during Survey Period:

Discussion

CORRECTIVE ACTION FORM FOR QASP

1) Work Task (Milestone/Activity): _________________________

2) Survey Period: ___/____/______ through ___/____/______

3) Description of the Failure/Deficiency that Precipitated the Corrective Action:

Description

4) Description of the Criterion that the Failure/Deficiency was Evaluated Against:

5) Personnel Involved in the Identification of the Failure/Deficiency, Determination of the Appropriate Corrective Action, Approval of the Corrective Action, and Implementation of the Corrective Action:

6) Description of the Corrective Action that was Required:

7) Date/Time of Implementation of the Corrective Action: ___/____/______

8) Follow-Up Information to Prevent Recurrence of Failure/ Deficiency (i.e., Need For Revision of Procedures or Specifications):

9) Personnel Responsible for Follow-Up Work:

10) Planned Date for Follow-Up Surveillance: ___/____/______

11) Other Notes: