Quality – A Contract Runs through It

1. Quality – A Contract Runs through It EPA Quality Management Conference Marion Kelly, EPA Office of Water Lynn Walters, CSC May 14, 2009

2. EPA QA Requirements • “No environmental data collection work shall be started until the QAPP has been approved and distributed...” • EPA Quality Manual CIO 2105-P-01-0 • Applies to all work performed by or on behalf of EPA (i.e., contracts, grants, interagency agreements) • Environmental Data: “Any measurements or information that describe environmental processes or conditions, or the performance of environmental technology.” • Includes “any information collected directly from measurements, produced from models, and compiled from other sources such as databases or literature.”

3. Same Goal; Different Implementation • Contracts • Code of Federal Regulations (CFR), Title 48 (Federal Acquisition Regulations, FAR), Part 46 (Quality Assurance) • EPA Contracts Management Manual (CMM, EPA Order 1900) • Grants (PPAs and PPGs) and Cooperative Agreements • 40 CFR Parts 30, 31, and 35 • Interagency agreements • Negotiated • Graded approach applies to all

4. QA in Contracts • Governed by • EPA Quality Policy • 48 CFR 46 • Allows Federal Agencies to select a national consensus standard as a basis for their quality specifications (EPA selected ANSI/ASQC E4) • Through tailoring language to 48 CFR 46, EPA requires that contractors submit a QMP and QAPP (or equivalent) to demonstrate conformance to the standard • EPA CMM • Describes EPA procedures for implementing 48 CFR 46 • Addressed throughout the contracting process • Solicitation • Award • Implementation

5. QA in the Contracting Process Includes contract QA clauses Specify contract QA Needs Pre-solicitation Prepare PIN Package w/ ContractQA Review Form OAM Review, Communications, & Resolution of Issues Legal Review, Communications, & Resolution of Issues OAM finalizes procurement (PIN) package & publishes synopsis Proposal Review and Selection RFP Published Contractors submit proposals TEP evaluates proposals & writes interrogatories/ cost proposal audit conducted Negotiations and legal review prior to award Submits QMP/QAPP Evaluate QMP/QAPP Contract Award & Implementation Kickoff mtg. with contractor EPA prepares WA and WA levelQA Review Form WA issued Contractor prepares WP & CE Contract awarded Specifies WA QA req’ts Includes QA plan/strategy Refine QA plan/strategy as needed Monitor technical performance & QA implementation EPA reviews/approves WP & CE Review & approve QA plan/strategy

6. Pre-Solicitation Form specifies contract QA needs Program Office prepares PIN Package with QA Review Form Reviews involve dialog with program office and refinement of requirements OAM Review, Communications, & Resolution of Issues Legal Review, Communications, & Resolution of Issues RFP details contract QA requirements and criteria (points) for scoring QA documentation OAM finalizes procurement package & publishes synopsis

7. QA Review Form (Pre-solicitation) • Required for all solicitations and contracts • Standard form available in Contracts Mgmt Manual (CMM) Appendix 46.1D • Program offices may tailor form to their needs • Prepared by COR (i.e., contract or task order Project Officer), working with QAM

8. QA Review Form (cont’d) • Documents if contract involves environmental data • If yes, form requires identification of QA measures required for the contract • Form ensure offerors are required to provide the QA needed to support the contracts • Conveys these requirements to the CO

9. QA Elements considered via Contract Review Form • Strategy for technical evaluation of quality in contractor proposal • Pass/fail or a percentage of total points • Standards used in lieu of or in addition to ANSI/ASQC E4 (the basis for EPA’s Quality System) • Submission of written QA plans • QMP as part of proposal • QAPP as part of proposal • Contract QAPP • Project-specific QAPPs • Example QAPP (pre-award only) • QAPP upon award • Other Pre-award and Post-Award Quality Assessments • On-site evaluations/lab audits • Quality system audits • PT samples • Periodic QA reports • Certifications/corrective actions

10. PIN Package • QA Review Form becomes part of PIN package • Routed through program office approvals and to OAM to initiate procurement • CO uses QA Review Form to select appropriate contract clauses into the solicitation (e.g. RFP)

11. Proposal Review and Selection RFP is issued Evaluate Contractor’s QA system & proposed strategies Proposal includes QA documentation Technical Evaluation Panel evaluates proposals & writes interrogatories/ Cost proposal audit is conducted Negotiations and Legal review prior to award Contractors submit proposals QAM is part of TEP if contract >$500K

12. Contract Award and Implementation QA Review Form needed for every WA, DO, TO QA Review Form needed for every WA, DO, TO Kickoff Meeting with contractor managers, QA staff, CBI Document Control Officer, Project Teams WAM prepares WA, including applicable QA requirements (& Contract QA Review Form) OAM awards contract Requests revision if needed WAM continually monitors contractor compliance with QA and technical requirements Contractor prepares WP and CE, including applicable QAPP or equivalent WAM Review Approves For WAs with QAPP, Monthly Progress Reports addres QA concerns/issues

13. Contract Award and Implementation • Contract Award is only the beginning! • QA requirements must be considered for every project, WA, TO, or DO involving environmental data • If new QA documentation is needed (e.g., a project QAPP) incorporate requirement into the WA/TO/DO. • If project is based already-approved quality documentation, incorporate requirement for adherence to that document in the WA/TO/DO. • QA Review Form must be filled out for each WA/TO/DO • Completed by COR and approved by QAM • Must be consistent with contract requirements

14. Is there a Catch-22? “No environmental data collection work shall be started until the QAPP has been approved and distributed...” • Address this by including requirement for contractor to prepare QAPP as part of their WA/DO/TO • What about WA/DO/TOs that involve support for planning studies? • How do you approve and distribute a QAPP for projects or studies that are still being designed? • Answer: Dynamic (i.e., staged) QAPP and graded approach

15. PWS vs. SOW • FAR 37.102: Performance based service acquisition (PBSA) is preferred method for contracting • A performance work statement (PWS) describes services in terms of measurable outcomes and supports PBSA • Statement of work (SOW) is more traditional approach. It defines work in terms of specific services to be performed. Does not easily support PBSA • Car waxing example: • SOW defines exactly how to wax the car (apply wax with soft sponge, using a circular hand motion...) • PWS defines the required outcome (waxed car shall present a uniform glossy appearance and reflect 1 inch letters placed 5 inches in front of it...) • QA Surveillance Plan (QASP) required for PBSAs • Not a substitute for a QAPP

16. QASP vs. QAPP • QASP: Government-developed & applied • Defines the procedures & metrics the government will use to evaluate contractor performance • Mechanism for surveillance oversight of the Contractor’s QC efforts to assure they are timely, effective and compliant with contract and WA/TO/DO requirements • QAPP: Contractor-developed & applied • Defines the management and procedures the contractor will take to meet the quality standards set forth in the contract or WA/TO/DO

17. For Additional Information For additional information, contact: Marion Kelly EPA Office of Water Engineering and Analysis Division USEPA Headquarters Ariel Rios Building (Mail Code: 4303T) 1200 Pennsylvania Avenue, N. W. Washington, DC 20460 Phone: 202-566-1045 Email: kelly.marion@epa.gov