AMENDMENT 0001 - APPENDIX E-H.pdf

of

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

PROJECT: FLOOD RISK MANAGEMENT (FRM) MAINTENANCE SERVICES

LOS ANGELES DISTRICT

OPERATIONS DIVISION

USACE - SPL DISTRICT, CALIFORNIA

August 14, 2023

Project Title for Services/SPL

Sources Sought - W912PL-23-R-0019 IDIQ

Developed By:

Kelly Howard

Maintenance Management Specialist U.S. Army Corps of Engineers, Los Angeles District

Operations Division, Technical Support Branch

Requiring Activity

Reviewed By:

Richard Alcala, P.E.

Civil Engineer/Technical Lead U.S. Army Corps of Engineers, Los Angeles District

Operations Division, Technical Support Branch

Requiring Activity

Christina Chavez

Contracting Officer U.S. Army Corps of Engineers, Los Angeles District

Contracting Division, East Branch

1. PURPOSE

1.1. The role of the Government in quality assurance (QA) is to ensure contract standards are achieved. The purpose of the Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will utilize to evaluate Contractor actions while performing the requirements in the Performance Work Statement (PWS) and for all subsequent Task Order (TO) awards. It is designed to provide an effective surveillance method by monitoring Contractor performance for each listed performance objective in the Performance Requirements Summary (PRS), attached hereto and incorporated into the contract’s PWS. The number of PRS objectives may increase with each subsequent TO requirement to reflect additional Government expectation in additional to those contained in this QASP.

1.1.1. The QASP provides a systematic method to evaluate the services the Contractor is required to furnish. The QASP is based on the premise the Government desires to maintain a high-quality standard of inspection and maintenance for the FRM Maintenance Services contract awarded. A service contract has been determined through Market Research to be the best means of achieving those objectives.

1.1.2. This QASP has been developed by the requiring activity. It is designed to provide direction to personnel performing contract surveillance activities. Personnel surveying the contract terms and conditions in support of the PWS requirements may periodically review the QASP throughout the life of the contract.

1.1.3. Revisions to this QASP are the joint responsibility of the requiring activity and the Government. The Contracting Officer (KO) must approve any revisions in writing before being used by Contracting Officer Representative (COR) personnel.

2. ROLES AND RESPONSIBLTIES

2.1. Contracting Officer Representative (COR): The COR primary or alternate assigned to the project award are the Performance Assessment Personnel or Quality Assurance Personnel (QAP) and are responsible for QA guidance and to ensure that contract quality requirements, provision, standards, and thresholds are defined, practical, enforceable, necessary, and verifiable.

2.1.1. The COR evaluates and documents the Contractor’s performance in accordance with the QASP and PWS requirements awarded.

2.1.2. The COR documents the Contractor’s performance with either a local site visit Inspection and Surveillance Report (Exhibit A) at the end of each reporting period (monthly). The COR inputs the monthly surveillance report into PIEE-SPM Surveillance and Performance Monitoring module database. Either a canned Surveillance and Performance Report or a Local Site Visit Inspection Report can be filed.

2.1.3. The COR notifies the KO of any significant performance deficiencies. This feedback should include surveillance information such as: date, time, contractor performance issue, what was witnessed, parties involved etc.

2.1.4. The COR maintains surveillance documentation.

2.1.5. The COR may make recommendations to make improvements to both the QASP and PWS throughout the life of the Contract.

2.1.6. The COR certifies monthly the Contractor’s submitted invoices prior to payment for validity and accuracy.

2.2. Contracting Officer (KO): The KO is responsible to safeguard the interests of the

Government in contractual relationships. Only the KO is authorized to bind the Government and then, only to the extent of the authority delegated to them through the issuance of a warrant.

2.2.1. The KO delegates authority for inspection and/or acceptance in accordance with terms of the Contract.

2.2.2. The KO informs the Contractor of the names, duties, and limitations of authority for all QAP assigned to the Contract.

2.2.3. The KO approves changes in contract terms and conditions via contract modifications.

2.2.4. The Contract Technical Point of Contact (TPOC): If applicable the TPOC may support the COR in the performance of project quality control monitoring for services awarded under the FRM Maintenance Services contract.

2.2.5. The TPOC will ensure that the Contractor has full access to any site required by the terms of the PWS so that the Contractor can provide timely inspections, maintenance, and repair services as required by the PWS.

2.2.6. The TPOC reviews the Contractors maintenance and repair services submittals and as required provides recommendations to the COR for revising the submittals or the Contractor’s assessments and reports as required by the PWS.

2.3. DOCUMENTATION REQUIREMENTS

The COR is responsible for surveillance over the life of Contract. The following information should be contained in the Surveillance Folder:

2.3.1. Quality Assurance Surveillance Plan (QASP)

2.3.2. Contractor’s Quality Control Plan

2.3.3. Contract: Applicable portions of the contract.

2.3.4. Appointment Letters and Training Certificates of the COR – Per Task Order

2.3.5. Minutes/Memo’s or any Miscellaneous Correspondence

2.3.6. Customer Complaints Record (CCR) (Exhibit C)

2.3.7. Corrective Action Request (CAR) (Exhibit D)

2.3.8. Performance Assessment Report (PAR) or Local Site Visit Report (Exhibit E)

3. QUALITY REQUIREMENTS

The Contractor, not the Government, is responsible for management and quality control actions to meet the terms of the contract.

3.1. The Quality Control Plan (QCP) is the driver for quality. The Contractor is required to develop a comprehensive program of inspections and maintenance and repair actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program, approved at the beginning of the contract, provides the measures needed to lead the Contractor to success.

3.2. The Contractor will provide a QCP prior to the Post Award Conference to ensure timely review by the COR no later than 10 days after the contract award per the PBWS.

3.3. Once the Contractor’s QCP is accepted, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program.

4. PERFORMANCE REQUIREMENTS AND ASSESSMENTS

4.1. The Contractor must provide all personnel, equipment, tools, materials, vehicles, supervision, and other items necessary to perform the FRM Maintenance Services Contract in accordance with the PWS for those locations identified in the Contract.

4.2. The PRS summarizes the performance objectives of the PWS, minimum standards that must be met, monitoring method, and established acceptable quality levels required by the Government to the Contractor’s performance.

4.3. Performance of services will be surveyed and evaluated to determine whether it meets the performance thresholds listed in the PRS.

5. MONITORING CONTRACT PERFORMANCE

5.1. Surveillance Team and Schedule:

5.1.1. The Surveillance Team consists of the following key players: Applicable to the assigned TPOC and COR.

5.1.2. The TPOC will inspect the quality of the services based on the needs of the requirement: Daily, weekly, monthly or by event action not on a fixed schedule.

5.1.2.1. The COR will perform periodic inspections randomly and not on a fixed schedule.

5.2. Surveillance Methods: This QASP may incorporate Validated Customer Complaints, 100% Maintenance and Repair Inspection Surveillance, and Periodic Inspections as the approaches to ensure the Contractor complies with the PWS requirements.

5.2.1. Validated Customer Complaints: Services will be conducted utilizing these surveillance methods. Anyone who observes unacceptable services, either incomplete or not performed, shall immediately submit a Customer Complaint Record (CCR) to the TPOC or COR. If a customer notifies the TPOC or COR either verbally or by email of a complaint, the TPOC or COR will record the complaint either in an E-mail or will generate a CCR to forward the complaint to the Contractor’s QC manager to remedy.

5.2.2. The COR will investigate to determine the validity of any complaint. Most complaints can be handled by phone calls or E-mail to the Contractor. Any complaint that is not remedied will require a CCR and further investigation.

5.2.3. If the COR determines the complaint to be valid, the COR will document the findings and notify the TPOC if required and the Contractor. The COR will retain the annotated copy of the CCR for the Government’s files. If the complaint is valid, the CCR will be forwarded to the Contractor for corrective action. The COR will consider the customer complaint resolved unless notified otherwise by the customer.

5.2.4. The TPOC will notify the COR if the defect is not corrected in a timely or satisfactorily. The COR will notify the Contractor that they are subject to contract remedies with consultation from the KO.

5.3. Inspections: Per the PRS the TPOC may monitor the Contractor’s performance.

5.3.1. Random Inspections: The COR will monitor the Contractor’s performance at least monthly prior to invoice submittal acceptance.

6. INSPECTION/ACCEPTANCE OF SERVICE

6.1. The Contractor’s QC Manager is responsible for ensuring a QC Program is in place.

Contractor is responsible for ensuring inspections are conducted in accordance with its approved QCP.

6.2. The Government reserves the right to inspect and survey all services called for in the Contract to determine whether the performance objectives and goals are met.

6.3. If inspection of services is in progress and a potential non-conformance is observed, the notice may be made initially in verbal form to the Contractor by the COR. If remedied on the spot no further actions are required.

6.4. Inspection Process:

6.4.1. Acceptance of services is predicated on meeting minimum acceptable timeliness and quality standards as identified in the PRS.

6.4.2. The COR will collect individual inspections (daily and periodic) at the end of each reporting period (normally monthly) on the Performance Assessment Report (PAR) or Field Visit Report.

6.4.3. If the minimum number of inspections for each area have met the standards in the PRS the Contractor’s performance will be rated as acceptable.

6.4.4. If the number of inspections for each area is graded below the minimum acceptable level per the PRS, the non-conformance(s) must be addressed, and potential remedies reviewed.

6.5. Documentation Process:

6.5.1. Document where and when the inspection was completed, whether services were being performed at the time of the inspection.

6.5.2. Justification must be complete in order to provide substantiating evidence to execute remedies or to provide supporting documentation for acceptance.

6.5.2.1. The primary form used to document surveillance activities will be the PAR or a site visit QC report.

6.5.2.2. Non-conformances will be documented on a Corrective Action Request (CAR). Each CAR will be annotated as either a Major nonconformance or Minor nonconformance.

Nonconformance

Level (1) Definition Response Time

Major A nonconformance that is likely to result in failure of the services requested or to materially reduce the usability of the services for their intended purpose.

72-Hours

Minor A nonconformance that is not likely to materially reduce the usability of the services for their intended purpose or is a departure from established standards having little bearing on the effective use of the services

Monthly

7. REMEDIES

7.1. Non-conforming/Unsatisfactory Performance is defined as any service that does not conform in all respects to the Contract requirements. It may be a failure to meet specifications, delivery dates, have defects, quality problems, or not produce the outcome required by the Contract terms and conditions among other potential discrepancies.

7.2. If the number of complaints/defects exceeds the performance requirements for any objective, the COR will determine the possible cause of the unacceptable performance. If the

Contractor’s performance is judged unacceptable for failing to perform any measurable requirement in the PWS then the COR will inform the Contractor of the discrepancy and allow time for correction per the PRS. If the discrepancies are not remedied by the contractor these discrepancies may be referred to the KO for resolution.

7.3. Any discrepancies detected during the surveillance, even if not of sufficient degree to render the service non-conforming/unsatisfactory performance will require corrective action by the Contractor. The COR will notify the Contractor of the deficiency as soon as it is noticed.

7.4. Any discrepancies identified during the surveillance activity, will be notified to the KO by the COR the services do not meet requirements and should provide the KO with documentation on the number of observations made, the number and type of problems, actions taken to notify the Contractor, and any corrective actions already taken by the Contractor.

7.5. The absence of any contract requirement from the PRS will not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract including FAR 52.212-4 Contract Terms and Conditions—Commercial (a) Inspection/Acceptance and (m) Termination for cause.

7.6. Contractual Remedies

7.6.1. Re-performance of services (desired whenever possible)

7.6.2. Corrective Action Request (CAR)

7.6.3. Letter of concern, cure notice, show cause notice

7.6.4. Termination for default

7.6.5. Contractor Performance Assessment Report (CPARS)

7.6.6. Customer Complaint Form

8. PERFORMANCE REQURIEMENTS SUMMARY (PRS)

Performance Requirement Summary Performance Objective Standard Performance Threshold Method of Surveillance

APP for Level 1 Work Requirements

The Contractor must follow the standard set forth in EM 385-1-1.

Submission must be within 10 days from the award date. Any discrepancies must be corrected within 3 business days with no work being performed until the APP is in accordance with EM 385-1-1.

The Government will perform a 100% review of the APP, including a review by the USACE Los Angeles District's Safety Office, to ensure it meets the requirements set forth in EM 385-1-1.

(100% Inspection)

QC Plan for Level 1 Work Requirements the standard set forth in Section 5 of this PBWS.

Submission must be within 10 days from the award date. Any discrepancies must be corrected within 3 business days with no work being performed until the QCP is in accordance with Section 5 of this PBWS.

The Government will perform a 100% review of the QC Plan. (100% Inspection)

Monthly Reports for Level 1 and 2 Work Requirements (i.e., Inspection reports, QC Reports, Schedules, etc.)

The Contractor must follow the standard set forth in Section 2.1, Section 5, and Section 8 of this PBWS.

Submission must be by the 5th day of the month.

The Government will perform a 100% review of the Monthly Reports. (100% Inspection)

Monthly Invoices for Level 1 and 2 Work Requirements

Section 9 of this PBWS.

Submission must be by the 5th day of the month.

of the Monthly Invoices. (100% Inspection)

APP for Level 2 Work Requirements the standard set forth in EM 385-1-1.

Submission must be within 10 days from the TO corrected within 3 business days with no work being performed until the APP is in accordance with EM 385-1-1.

of the APP, including a review by the USACE Los Angeles District's Safety Office, to ensure it meets the requirements set forth in EM 385-1-1.

QC Plan for Level 2 Work Requirements

Section 5 of this PBWS.

Submission must be within 10 days from the TO corrected within 3 business days with no work being performed until the QCP is in accordance with Section 5 of this PBWS.

of the QC Plan. (100% Inspection)

Monthly Invoicing and Reporting Requirements The Contractor will follow the standard set forth in Section

2.0 and 3.0 of this PBW and all task order awards.

There will be zero late submissions of monthly invoices or monthly reports.

USACE

Los Angeles District (SPL)

Operations Division FRM Maintenance Services Contract

Quality Surveillance Plan Signature Page

The Contractor’s signature is not required. The Contract will serve as the binding agreement.

Contracting Officer Date

Contracting Specialist Date

Primary Quality Assurance Person Date

Primary Contract Monitor (COR) Date

Performance Requirement Summary Performance Objective Standard Performance Threshold Method of Surveillance

APP for Level 1 Work Requirements

The Contractor must follow the standard set forth in EM 385-1-1.

corrected within 3 business days with no work being performed until the APP is in accordance with EM 385-1-1.

review of the APP, including a review by the USACE Los Angeles District's Safety Office, to ensure it meets the requirements set forth in EM 385-1-1. (100% Inspection)

QC Plan for Level 1 Work Requirements in Section 5 of this PBWS.

corrected within 3 business days with no work being performed until the QCP is in accordance with Section 5 of this PBWS.

review of the QC Plan. (100% Inspection)

Monthly Reports for Level 1 and 2 Work Requirements (i.e., Inspection reports, QC Reports, Schedules, etc.)

The Contractor must follow the standard set forth in Section 2.1, Section 5, and Section 8 of this PBWS.

Submission must be by the 5th day of the month.

review of the Monthly Reports. (100%

Monthly Invoices for Level 1 and 2 Work Requirements in Section 9 of this PBWS.

Submission must be by the 5th day of the month.

review of the Monthly Invoices. (100%

APP for Level 2 Work Requirements in EM 385-1-1.

TO award date. Any discrepancies must be corrected within 3 business days with no work being performed until the APP is in accordance with EM 385-1-1.

review of the APP, including a review by the USACE Los Angeles District's Safety Office, to ensure it meets the requirements set forth in EM 385-1-1. (100% Inspection)

QC Plan for Level 2 Work Requirements in Section 5 of this PBWS.

TO award date. Any discrepancies must be corrected within 3 business days with no work being performed until the QCP is in accordance with Section 5 of this PBWS.

review of the QC Plan. (100% Inspection)

Monthly Invoicing and Reporting Requirements

The Contractor will follow

Section 2.0 and 3.0 of this

PBWS.

There will be zero late submissions of monthly invoices or monthly reports.

review (100% Inspection)

CORRECTIVE ACTION REQUEST (CAR)

1. CONTRACTOR 2. CONTRACT NUMBER 3. LEVEL OF WORK REQUIREMENT

4.DESCRIPTION OF WORK REQUIREMENT 5. SUSPENSE DATE 6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the Contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (QAP)

NAME AND POSITION SIGNATURE AND DATE

9. CONTRACTOR

NAME AND POSITION SIGNATURE AND DATE

10. QAP RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. QAP DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

Corrective Action Request (CAR) Instructions

Block 1. Enter Contractor Name. Block 2. Enter Contract Number. Block 3. Enter Level of Work Requirement. Block 4. Description of Work Requirement.

Block 5. Enter the assigned suspense date given the Contractor to provide a response to the CAR. A date must be entered for a Major deficiency. A date is optional at the discretion of the QAP initiating the CAR if the deficiency is Minor. When determining how long to give the Contractor to respond to the identified deficiency, the normal is 10 working days. The suspense date should reflect this unless the deficiency requires a greater amount of time to be corrected.

Block 6. All CARs will be tracked with a Control Number. The Control Number will be made up of the first two letters of the name of the work location, the last two digits of the Fiscal Year, and a three digit number starting with 001 and progressing upward throughout the Fiscal Year (e.g., SM25-001).

Block 7. (1) Deficiency: Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding. See QASP for the definitions of Major and Minor findings and associated explanations. (2) Finding: Clearly state the details of the finding followed by a reference to the Contract work requirement. The reference must state the Contract Section and must make a complete brief quotation of the contract work requirement. (3) Finding Impact: State the impact that the finding has or could have on the accomplishment of the mission that the Contract provides.

Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the QAP initiating the CAR.

Blocks 8 and 9. Contract QAP initiating a CAR must sign in Block 8 and the Contractor signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the Contractor’s response, the QAP will enter comments regarding acceptance or rejection of the Contractor’s response. This block may also contain any comments regarding re-inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The QAP selects Accept or Reject after reviewing the Contractor’s response.

Block 12. The QAP enters a close date after the Contractor’s response is acceptable. The QAP will then forward the closed CAR to the Contractor. If the Contractor's response is rejected then the CAR remains open until an acceptable response is received.