Attachment 3 QASP.pdf

FOUO GOVERNMENT BUSINESS SENSITIVE

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

NAVAL FORCE LOGISTICS SUPPORT

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TABLE OF CONTENTS

CHAPTER 1 BACKGROUND

1.1 Introduction

1.2 Purpose

1.3 Performance Management Approach

1.4 Performance Management Strategy

1.5 Authority

1.6 Scope

1.7 Roles and Responsibilities

CHAPTER 2 SURVEILLANCE

2.1 Introduction

2.2 Method of Surveillance

CHAPTER 3 DATA GATHERING AND REPORTING

3.1 Introduction

3.2 Submission of Contractor PerformanceData

3.3 Validation of Surveillance Results

3.4 Reporting

CHAPTER 4 DEFICIENCY NOTIFICATION

4.1 Introduction

4.2 Contractor Deficiency Report (CDR)

CHAPTER 5 SURVEILLANCE AREA LIST

5.1 Introduction

5.2 Performance Standards

5.3 Incentives/Disincentives

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TABLE OF ENCLOSURES

Enclosure Number Enclosure Title

1 Customer Comment Form

2 Customer Comment Log

3 Contractor Deficiency Report

4 Notification of Performance or Corrective Action Log

CHAPTER 1 BACKGROUND

1.1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS). This plan sets forth the procedures and guidelines USFF, CPF, MARFORCOM and MARFORPAC (referred to as government throughout the remainder of this document) will use to ensure acceptable performance levels are achieved by the contractor. The services in the PWS are performed for Naval Operational Forces (various staffs, units and subordinate activities, afloat and ashore) of the U.S. Fleet Forces Command (USFFC), Commander, Pacific Fleet (CPF), Marine Forces Command (MARFORCOM) and Marine Forces Pacific (MARFORPAC).

1.2 PURPOSE

The purpose of the QASP is to describe the systematic methods used to monitor performance as well as identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the PWS and the contractor’s quality control plan (QCP), and to ensure that the government pays only for the level of services received.

This QASP defines the roles and responsibilities of all members of the project team, identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

1.3 PERFORMANCE MANAGEMENT APPROACH

The PWS structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by USFF to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

Performance management represents a significant shift from the more traditional quality assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, as long as the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the task order as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.4 PERFORMANCE MANAGEMENT STRATEGY

The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated government representative. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP enables the government to take advantage of the contractor’s QC program.

The government representative(s) will monitor performance and review deliverables/services furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The government will make determination regarding incentives (i.e. increased CPAR rating) based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively. The chart below provides a brief overview of the differences between the contractors QCP and the governments QASP.

The chart below provides a brief overview of the differences between QC and QA.

What is Quality Control? What is Quality Assurance?

Contractor responsibility Government responsibility

Purpose: Manage quality in performance of the processes that ultimately lead to the contractor outputs (products and services)

Purpose: Measure and document quality of the contractor’s outputs (products and services)

Evaluates day-to-day processes and operations to ensure outputs meet PWS standards and avoid problems that could lead to output deficiencies

Evaluates outputs as well as effectiveness of contractor QC Program and Management

Based upon contractor’s Quality Control Plan (QCP); monitor and improve internal processes and performance

Based on QASP to monitor contractor overall performance

Ensures all PWS requirements are being met in accordance with defined performance standards

Ensures all PWS requirements are being met in accordance with defined performance standards

Ensures customer satisfaction Documents customer feedback

1.5 AUTHORITY

Authority for issuance of this QASP is provided under FAR 42.1501 and FAR Clause 52.246-5 entitled “Inspection of Services - Cost-Reimbursement”, which provides for inspections and acceptance of the articles, services, and documentation called for in the contract to be accomplished by the Contracting Officer or their duly authorized representative.

1.6 SCOPE

The Contractor, and not the Government, is responsible for management and quality control actions necessary to meet quality standards set forth by the contract. The QASP is put in place to provide Government surveillance oversight of the Contractor’s quality control efforts to assure that they are timely, effective and are delivering the results specified in the task order. The QASP is not a part of the contract nor is it intended to duplicate the Contractor’s Management Plan. The Government may provide the Contractor an informational copy of the QASP as an attachment to the solicitation to support the Contractor’s efforts in developing its plan for maintaining the levels of quality anticipated to be delivered under the terms of this contract.

1.7 ROLES AND RESPONSIBILITIES

The Government resources shall have responsibilities for the implementation of this QASP as follows:

Contracting Officer: The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract and safeguards the interests of the United States in the contractual relationship. It is the Contracting Officer that assures the Contractor receives impartial, fair and equitable treatment under the contract. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the Contractor’s performance. The Contracting Officer is the only official with authority to create or modify a contract, approve additional terms of performance, and handle termination if necessary.

Contracting Officer Representative (COR): The USFFC COR is a government employee designated in writing by the Contracting Officer to act as his/her authorized representative to assist in administering a task order. The contracting officer monitors contractor performance via the COR and the COR is the technical liaison between the government and the contractor for a specific contract. COR limitations are contained in the written letter of appointment.

Alternate Contracting Officer Representative (ACOR): The USFF ACOR is a government employee appointed in writing by the Contracting Officer to serve as support to the COR. The ACOR is authorized to act with the same authority as the COR in the case of the COR’s absence.

Technical Assistant (TA): A TA is an individual designated in writing by the COR to act as their authorized representative to assist in administering a contract. The TA serves as the on-site technical liaison between the Government and the contractor for a specific contract. TA limitations are contained in the written letter of appointment. The TA provides detailed oversight of the Contractor’s performance and reports monthly his or her findings to the COR in a timely, complete, and impartial fashion.

CHAPTER 2 SURVEILLANCE

2.1 INTRODUCTION

The COR monitors the performance of the contractor through quality assurance information that the COR receives. Since surveillance must be conducted in an efficient and accurate manner, defined procedures have been established for planning, scheduling, conducting, and documenting surveillance activities.

2.2 METHOD OF SURVEILLANCE

The main method of surveillance to be used is customer feedback, direct monitoring, and review of specific deliverable. The customer is defined herein as those government agencies and activities that are directly receiving support from this contract as well as the COR, ACOR, and TAs. In addition, the following surveillance methods may also be used: direct monitoring, deliverable assessments, and in-process reviews.

2.2.1 CUSTOMER FEEDBACK

Customer feedback relies on information received from those customers receiving services from the contractor. The feedback is used as a basis for determining performance. For the purpose of this contract and QASP, the COR will be the individual who is the recipient and/or final approver of the work performed by the contractor. The TAs are an integral component for review and acceptance of the work, serving as the on-site “eyes & ears” of the COR due to the widely dispersed nature of the work. The TAs will represent the “customer” by soliciting their feedback and subsequently submitting that customer service feedback to the COR. The program may also include surveys, observations, and random sampling of customer service.

The COR, with support from the TAs, will investigate each customer complaint and validate the accuracy before taking any action.

2.2.2 DIRECT MONITORING

The COR will assign TAs at each primary customer activity to directly monitor and report on contractor performance. Each activity will provide a TA who is a subject matter expert in the contract requirements for that activity. All TAs shall be properly trained and designated government employees, either civilian or military. TAs will monitor contractor performance and task accomplishment at his/her activity and report any deficiencies to the COR. The COR will coordinate monthly with the customer, TAs, ACOR and contractor to review contractor performance and quality of deliverables at the activity. The required monthly progress and financial reports required from the contractor will be reviewed at that time. In addition, the COR will conduct a quarterly contractor review meeting, or as deemed appropriate by the COR/ACOR (note: meetings scheduled outside the scheduled quarterly meeting will be agreed upon by the contractor). Customer feedback forms (Customer Comment Form, Notice of Performance Corrective Action Form) should be submitted to the COR immediately upon occurrence and may be reviewed/discussed at this time. Discussion and results of meetings will be recorded as minutes and provided by the COR to the Contracting Officer, ACOR, and contractor.

2.2.3 DELIVERABLE ASSESSMENTS

The COR, with support from the ACOR and any applicable TAs, will monitor and review deliverables to ensure conformance to contract requirements and timely delivery. The COR will provide a report on the status and quality of deliverables to the Contracting Officer in the COR report. If the contractor does not meet the applicable delivery schedule or the quality of the deliverable is unacceptable, the COR will notify the contractor in writing of the deficiency and provide a timetable for correction using the Notice of Performance Corrective Action Form (NPCAF) and will submit a copy to the Contracting Officer.

2.2.4 IN-PROCESS REVIEWS

The COR, with support from the ACOR and any applicable TAs will review the contractor’s performance with the contractor. The purpose of these reviews will be to assess the contractor's performance and will include discussion of any “Notifications of Performance or Corrective Action” or Contractor Deficiency Report (CDR) issued during the period. A mutual effort will be made to resolve all problems identified.

CHAPTER 3 DATA GATHERING AND REPORTING

3.1 INTRODUCTION

As stated above in Chapter 2 above, customer feedback, direct monitoring and evaluation, deliverable assessments, and in-process reviews will be the primary means of determining adequacy of contractor performance. These surveillance methods provide valuable feedback on contractor performance. Customer service feedback will be the primary means of determining adequacy of contractor performance. The COR must carefully plan the method of receiving and documenting customer comments, including both positive feedback and negative feedback (complaints). The COR should be proactive in soliciting feedback from customers and should educate the ACOR, TAs, and customers on the proper method of completing the TA monthly Contractor Performance Report (CPR) and the Customer Comment Form (CCF).

3.2 SUBMISSION OF CONTRACTOR PERFORMANCE DATA

The COR will establish a proactive program to provide education to customers and TAs receiving service regarding their input on contractor performance. The education shall include the work requirements as defined by the PWS. The education shall also include the proper preparation of a CCF and instructions for submission of a completed form to the COR. A copy of a CCF is provided as Enclosure 1.

3.3 VALIDATION OF SURVEILLANCE RESULTS

The COR will validate each negative performance comment. The COR will investigate negative feedback to verify whether the contractor met the performance requirements of the PWS and at the quality levels included in this QASP. The COR will document the results of the investigation in the file and will note the disposition date on the Customer Comment Log (CCL).

3.4 REPORTING

The CCF should be submitted by the TA on a monthly basis to the COR and ACOR not later than five (5) business days after the end of the month. Upon receipt of a completed CCF, the COR will document the comment on the CCL, provided as Enclosure 2.

CHAPTER 4 DEFICIENCY NOTIFICATION

4.1 INTRODUCTION

The COR will notify the contractor when performance is deficient and the contractor has not performed work as required by the PWS or work has not met the set performance standards and requires correction by the contractor. The deficiency notification will be provided in the form of a CCF (Enclosure 1) or a CDR (Enclosure 3).

4.2 CONTRACTOR DEFICIENCY REPORT (CDR)

When contractor performance is not meeting the performance standards of the PWS, the COR will coordinate with the Contracting Officer to issue a CDR. The contractor will have one (1) business day following the date of receipt of the CDR to provide a written reply including the reasons for not meeting the performance standards of the PWS, corrective action taken, and procedures to preclude recurrence.

The COR will prepare a CDR for each observation not meeting the performance standards of the PWS. Multiple observations may be recorded on the same form when the nature of the observations allows for consolidation.

The COR will provide the contractor with a copy of the CDR specifying performance and require the contractor to complete the section on “Action Taken by Contractor.” The contractor will be instructed to return the form after completing corrective actions.

The COR will maintain a log of CDR’s including the record number, date of observation, task observed, nature of action, suspense date, and disposition date. A copy of this log is provided as Enclosure 4.

CHAPTER 5 SURVEILLANCE AREA LIST

5.1 INTRODUCTION

The following provides a summary of the PWS tasks and deliverables. This summary provides information regarding the method of surveillance and specific performance standards, if applicable. All Naval Fleet Logistics requirements, customer defined requirements, and deliverables are directly supported by the information identified in the PWS/contract.

5.2 PERFORMANCE STANDARDS

a. Schedule - The due dates for deliverables and the actual accomplishment of the schedule will be assessed against original due dates and milestones established for the contract.

b. Deliverables – The deliverables required to be submitted will be assessed against the specifications for the deliverables detailed in the contract and the contractor’s Quality Control Plan (QCP) required by the contract, for the required content, quality, timeliness, and accuracy.

c. Cost - The COR will review monthly cost vouchers to monitor the contractor’s expenditures throughout the contract performance period(s). Also, the COR will analyze the impact on cost of any inaccurate management assertions, acceleration of the due dates for the financial reports, or the lack of personnel.

d. Past Performance - In addition to any schedule, deliverables, and cost aspects of performance discussed above, pursuant to FAR 42.15, the Government will assess the contractor’s record of conforming to contract requirements and to standards of good workmanship the contractor’s record of forecasting and controlling costs, the contractors adherence to contract schedules including the administrative aspects of performance, the contractor’s history of reasonable and cooperative behavior and commitment to customer satisfaction, and the contractor’s business-like concern for the interest of the customer.

5.3 PERFORMANCE MEASUREMENT

Performance will be measured in accordance with the table on page 8.

Performance Element

Performance Requirement

Surveillance Method

Frequency Acceptable

Quality Level

Contractor Quality Control Plan

QC activities, inspections, and corrective actions completed as required by the plan.

Inspection by the COR or assignee

Quarterly for overall QC activities; as required for corrective actions.

100% Compliance with the contractor plan.

Contract Deliverables

Contract/PWS deliverables furnished as prescribed in the PWS, attachments, CDRLs, etc., as applicable.

Inspection by the COR or assignee

100% inspection of all contract deliverables.

>95% of deliverables submitted on time and without rework required.

Overall Contract Performance

Overall contract performance of sufficient quality to earn a Satisfactory (or higher) rating in the COR’s annual report on Contractor Performance.

Assessment by the

COR

Annual All performance elements rated Satisfactory (or higher)

Invoicing Invoices per contract procedures are timely and accurate.

Review & acceptance of invoices

Not more often than once every two (2) weeks.

100% accuracy

ECMRA Contractor shall ensure all required ECMRA data be reported no later than October 31 of each calendar year in accordance with PWS Section 7.

Review & Inspection by the COR or assignee

Annual 100% accuracy

If performance is within acceptable levels, it will be considered to be satisfactory. If not, overall performance may be considered unsatisfactory.

5.4 INCENTIVES/DISINCENTIVES:

At a minimum, the COR reports annually on contractor performance through the Contractor Performance Assessment Reporting System (CPARS) and through the COR annual report. The contractor’s failure to achieve satisfactory performance under the contract, reflected in the CPARS, COR’s annual report, or through a CDR, may result in termination of the contract and may also result in the loss of future Government contracts. Based upon the contractor’s past performance and plan to solve any problems identified, the Contracting Officer will determine if any further action will be taken.

Additionally, in accordance with inspection of services provisions of the contract, the contractor will be incentivized to provide quality products in a timely manner since the Government can require the Contractor, at no additional fee, to replace or correct work that fails to meet contract requirements. To maximize the profit earned on costs incurred, the contractor is incentivized to ensure that quality products are provided in a timely manner.

ENCLOSURE 1

CUSTOMER COMMENT FORM

Customer Comment Record Number: Customer Organization:

Date/Time Received: Submitted By:

Nature of Satisfactory or Unsatisfactory Service:

Contracting Officer Representative Validation: Yes No

Date/Time Contractor Informed: ___________________________________________________

Action Taken by Contractor:

Received and Validated By:

Contracting Officer Representative / Designee

Note: Attach additional pages and/or supporting documentation

ENCLOSURE 2

CUSTOMER COMMENT LOG (CCL)

Month:

Customer Comment Record

Number Date of Comment

Customer Organization

Nature of Comment Disposition Date

ENCLOSURE 3

CONTRACTOR DEFICIENCY REPORT (CDR) FORM

Record Number: Suspense Date:

Date/Time of Observation:

Task Observed:

Nature of Requirement for Performance or Corrective Action:

Date/Time Contractor Informed: ___________________________________________________

Signature: ______________________________________________________________

Contracting Officer Representative / Designee

Action Taken by Contractor:

Signature: ______________________________________________________________ Contractor Representative

Validated By: ______________________________________________________________ Contractor Officer Representative/ Designee

ENCLOSURE 4

CDR LOG

Month:

Record Number Date of

Observation Task Observed Nature of Action

Suspense Date

Disposition Date