Attachment 4-QASP_MSOFS2.pdf

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Quality Assurance Surveillance Plan (QASP)

Naval Special Warfare Command

Maritime Special Operations Forces Support 2.0

(MSOFS 2.0)

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Maritime Special Operations Forces Support 2.0 (MSOFS 2.0). This plan sets forth the procedures and guidelines Naval Special Warfare Command will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and to 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.

1.1.2 This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), 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.

1.2 Performance Management Approach

1.2.1 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 Naval Special Warfare 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.

1.2.2 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 contract as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 Performance Management Strategy

1.3.1 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.

1.3.2 The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The government will make determination regarding incentives 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.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

The contracting officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the contracting officer's representative (COR) and the contractor. If assigned, the CO will designate one COR as the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

2.2 The Contracting Officer’s Representative

The COR if assigned is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the government’s behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS, “Service Delivery Summary.” If the contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract.

Failure to meet the required service or performance level will result in a deduction from the monthly amount as indicated in the Service Delivery Summary.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the government to evaluate contractor performance when appropriate. The primary methods of surveillance are (include those that apply)

Random monitoring, which shall be performed by the COR.

4.2 Customer Feedback

The contractor is expected to establish and maintain professional communication between its employees and customers.

The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems but the customer always has the option to communicate complaints to the COR, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COTR/COR. The COTR/COR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment 3.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. For certain critical activities, the desired performance level is established at 100 percent. Other levels of performance are keyed to the relative importance of the task to the overall performance.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring techniques shown in Attachment 1.

5.2 Monitoring Forms

The Government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Appendix 1 and 2. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved. The COR will retain a copy of all completed QA surveillance forms.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

Government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

6.2 Reporting

At the end of each quarter, the COR will prepare a written report summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Appendix 1), will become part of the QA documentation. It will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

6.3 Unacceptable Performance

6.3.1 When unacceptable performance occurs, the COR will inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR will document the discussion and place it in the COR file.

6.3.2 When the COR determines formal written communication is required, the COR will prepare a Contract Discrepancy Report (CDR), and present it to the contractor's manager or on-site representative. A CDR template is attached as Appendix 2 to this QASP.

6.3.3 The contractor shall be required to acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government will review the contractor's corrective action plan to determine acceptability.

6.3.4 Any CDR will become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment when applicable. The Government will use any completed CDR as part of an overall evaluation of Contractor performance when determining present or future contractual actions.

6.4 Reviews and Resolution

6.4.1 The COR may require the contractor’s project manager, or a designated alternate, to meet with the government personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR as often as required or per the contractor’s request. The agenda of the reviews may include:

Quarterly performance assessment data and trend analysis

Issues and concerns of both parties

Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

Recommendations for improved efficiency and/or effectiveness

6.4.2 The QAR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.4.3 The COR and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the convenience of the PCO.

SERVICE DELIVERY SUMMARY

Category of Service Objective Performance Standard Acceptable Quality Level Method of Evaluation Remedy Deliverable

Transition

100% of qualified personnel are in place on day one of performance, per proposed Transition Plan

Personnel are in place no less than 14 days from task order award

95% of personnel are in place on Day 1 of performance

Weekly transistion updates by Contractor to

USG.

Reduction for the vacant days exceeding the acceptable quality level will be based on the number of days at the FBLR for the position that is not filled; the gross price of the task order for not meeting the acceptable fill level will be reduced during respective monthly invoicing.

Kick-off meeting Weekly Transition Reports Monthly and Quarterly Reports IAW Base IDIQ requirements

100% of personnel meet required skills and qualifications

100% of personnel meet all requirements identified in the PWS

100% of all personnel meet required skills and qualifications per the

PWS

Inspections by COR;

Formal Customer Complaints; Review of Monthly Reports; Review of resume(s) and, Contracting Officer determination and resolution

Immediate replacement of any individual that does not meet the required skills and qualifications within 14 days

Monthly and Quarterly Reports IAW Base IDIQ

Vacancies* are filled within 14 days of personnel departures when notice is not given to the Contractor Office

Vacancies* are filled within 21 days

Monthly and Quarterly Reports IAW Base IDIQ

Vacancies* are filled within 1 day of personnel departures when at least two-week notice is given

Vacancies* are filled within 7 days

Monthly and Quarterly Reports IAW Base IDIQ

100% of all performance issues and customer complaints are successfully met

All performance issues and customer complaints are successfully met

Performance issues are corrected within one week of receipt; Customer complaints are resolved within 2 working days of receipt of complaint

Inspections by COR;

Formal Customer Complaints; Review of Monthly Reports

Retraining or replacement of personnel that received complaint; CPARS annual reporting

Monthly and Quarterly Reports IAW Base IDIQ

Is interaction between the Contractor and the Government satisfactory or does it need improvement (i.e., do Contractor personnel exhibit reasonable and cooperative behavior)?

Contractor receives no more than 2 formal customer complaints per year

Contractor receives no more than 5 formal customer complaints per year

Inspections by COR;

Formal Customer Complaints; Review of Monthly Reports

CPARS annual reporting Monthly and Quarterly Reports IAW Base IDIQ

Does the Contractor’s performance conform to the task order requirements?

Contractor receives no more than 2 formal customer complaints per year

Contractor receives no more than 5 formal customer complaints per year

Inspections by COR;

Formal Customer Complaints; Review of Monthly Reports

CPARS annual reporting Monthly and Quarterly Reports IAW Base IDIQ

Were there any security violations during execution of task order requirements?

100% Compliance; no security violations occurred.

100% Compliance; no security violations occurred.

Inspections by COR;

Formal Customer Complaints; Review of Monthly Reports

Retraining of personnel CPARS annual reporting

Monthly and Quarterly Reports IAW Base IDIQ

Staffing

*Vacancies, for the purpose of this SDS, include when personnel depart the task order. For absences (leave, medical emergencies, etc) lasting more than 10 consecutive days, 100% of all positions are filled with the required skills and qualifications, and retention of personnel ensures consistent support (Retention/Fill Rates)

Inspections by COR;

Formal Customer Complaints; Review of Monthly Reports; and, Contracting Officer determination and resolution

Reduction for the vacant days exceeding the acceptable quality level will be based on the number of days at the FBLR for the position that is not filled; the gross price of the task order for not meeting the acceptable fill level will be reduced during respective monthly invoicing.

Quality of Service

Management of Issues

APPENDIX 1: QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

APPENDIX 2: CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number: <insert number>

2. TO: (Contractor’s Manager or on-site representative) <insert name>

3. FROM: (Name of COR) <insert name>

4. Date and time observed discrepancy:

5. DISCREPANCY OR PROBLEM:

<Describe in detail. Identify any attachments.>

5. Corrective action plan:

A written Corrective action plan < is / is not > required.

< If a written Corrective action plan is required include the following. > The written Corrective Action Plan will be provided to the undersigned not later than < # days after receipt of this

CDR. >

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

Received by:

Signature – Contractor’s Manager or on-site representative Date