ATTACHMENT A Quality Assurance Surveillance Plan.pdf

ATTACHMENT A

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

INDIANA HARBOR & CANAL CONFINED DISPOSAL FACILITY

FACILITY OPERATIONS AND SUPPORT SERVICES

(INCLUDES DREDGING ACTIVITIES)

1. INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) for the Indiana Harbor & Canal (IHC) Confined Disposal Facility (CDF) Dredging & Facility Operation has been developed as a means to evaluate Contractor performance while implementing the Performance Work Statement (PWS). It is designed to provide an effective surveillance method for monitoring and evaluating the Contractor’s performance for the requirements listed in the

PWS.

The Contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The role of the Government is quality assurance to ensure contract standards are achieved. In this contract, the quality control program is the driver for service quality. The Contractor is required to develop a comprehensive program of inspections and monitoring actions. The major step to ensuring a “self-correcting” contract is to ensure that the quality control program approved after contract award provides the measures needed to lead the Contractor to success. Once the quality control program is approved, careful application of the process and standards presented in the remainder of this document will ensure a quality program.

This QASP is not intended to interfere with the Contractor's status as an ‘independent contractor' under the law, nor is it intended in any way to supplant the Contractor's responsibility for the day-to-day control and management of its own personnel and other resources for which it is ultimately responsible.

2. OBJECTIVE

This plan provides a quality surveillance strategy for dredging and facility operations to be performed at the IHC CDF located in East Chicago, Lake County Indiana along the Indiana Harbor Canal and its two branches—Lake George Branch and Calumet River Branch. The primary intent of the plan is to provide a basis for the Contracting Officer’s Technical Representative (COTR) evaluation of performance quality. Oversight of Contractor performance will assure quality performance. The plan will also afford the COTR and Contracting Officer a productive mechanism to preclude major deficiencies in performance, provide input for consideration on contractor award fee and annual contractor past performance evaluations as well as aid in determination for exercising of contract options.

3. PERFORMANCE INDICATORS (MEASURES)

Surveillance of contractor performance will be performed by the appointed COTR and the Contracting Officer based on the surveillance methodologies identified in the Performance Requirements Summary (PRS). The following primary task areas of the contract will be the basis from which all surveillance will originate:

3.1 Dredging Production Rate

3.2 Off-loading Equipment & Sediment Placement

3.3 Groundwater System & Pump Maintenance

3.4 Package Water Treatment Plant Process & Discharge Rate

3.5 Real Time Air Monitoring

3.6 Ambient Air Monitoring

3.7 Agency Reporting

4. EVALUATION METHODS

The COTR efforts will primarily be focused on verification and monitoring of the Contractor’s performance. The Government will use a variety of surveillance methodology and techniques to validate the contractor’s compliance. The COTR, assisted by other Government representatives, will perform evaluations based on each of the indicators identified in section 3 of this plan. The methods of surveillance listed in section 6 will be used in the administration of this QASP.

5. PERFORMANCE REQUIREMENT SUMMARY (PRS)

5.1 Lists the specific section in the PWS that the government will evaluate. The absence of any contract requirement from the PRS shall not detract from its enforceability or limit the rights or remedies of the government under any other provision of the contract.

5.2 Lists the service to be performed.

5.3 Lists the standard of performance for each specific service.

5.4 Lists the surveillance methods the government will use to evaluate the contractors performance in meeting the requirements of the contract.

6. SURVEILLANCE METHODS

6.1 The Government’s quality assurance procedures are based in part on attribute sampling of the recurring critical products/services of the contract using the concepts of MIL STD 105E sampling procedures and ANSI/ASQC Z1.4 sampling procedures and tables for inspection by attributes.

6.2 The Random Sampling method will be used for recurring service output items

(daily, weekly, monthly, quarterly, semiannually, annually or as required) as determined necessary to assure a sufficient evaluation of contractor performance.

6.3 The 100% Inspection Method will be used for those tasks that occur infrequently and cannot be randomly sampled because the required sample size for a small lot may exceed the lot size. Also, the tasks may have a stringent performance requirement where safety or health may be a concern.

6.4 Periodic surveillance. Sometimes called sampling, consists of the evaluation of tasks selected on other than 100 percent or random sample basis. It is appropriate for tasks that occur infrequently and where 100 percent inspection is neither required nor practicable. A predetermined plan for inspecting part of the work is established using subjective judgment and analysis of agency resources to decide what work to inspect and how frequently to inspect it. There will be periodic surveillance of output items as determined necessary to assure sufficient evaluation of contractor’s performance.

6.5 Customer complaints/Input. This is not a primary method, but it is a valuable supplement to more systematic methods. For example, in a case where random sampling indicates unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations where customers can be relied on to complain consistently when the quality of performance is poor, e.g., dining facilities, building services; customer surveys and customer complaints may be a primary surveillance method.

INDIANA HARBOR & CANAL CDF DREDGING & FACILITY OPERATION

PERFORMANCE REQUIREMENTS SUMMARY (PRS)

PERFORMANCE WORK

STATEMENT (PWS) TASKS

METRIC

TYPE

PERFORMANCE STANDARD/

ACCEPTABLE QUALITY LEVELS (AQL) MONITORING METHOD

1.4.4 Safety Requirements Quality/Timeliness

All requirements met without any contract discrepancies per quarter 100% Report inspection, periodic for all other requirements.

3.0-4.4 Government Furnished Facilities/Property/Equipment/Material and Contractor Acquired Property

Quality/Timeliness

Reports received are complete and accurate, property and facilities are maintained in accordance with the requirements of the contract with no more than 1 non-conformance per quarter

100% Report inspection, periodic for all other requirements.

5.0-5.8 Management of work effort and Quality Control System requirements.

Quality

Ensure adequate and timely completion of services through sound business management practices.

QCS fully documents all requirements, initiatives, and updates as necessary to meet program requirements. No more than one contract discrepancy per quarter.

Periodic Inspection

5.2 A written notification of any non-

compliance shall be provided by the contractor to the COTR within 24 hours of discovery.

Timeliness No more than 1 late report per quarter.

100% Inspection COTR records the date/time each report is received.