Attachment 3 - Quality Assurance Surveillance Plan (QASP).pdf

H92240-20-Q-2005 Attachment 3

QUALITY ASSURANCE SURVEILLANCE PLAN

DOD COMMAND: Naval Special Warfare Command

SOLICIATION NO.: H92240-20-Q-2005

CONTRACT NO.: TBD

DESCRIPTION: U.S. Coast Guard (USCG) and International Yacht Training Worldwide (IYT)

Navigation COI Training and Certification

CONTRACTOR: TBD

1. PURPOSE

1.1. This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This plan provides a basis for the Government to evaluate the quality of contractor performance. The oversight provided for in the contract and in this plan will ensure service levels reach and maintain the required levels throughout the contract term. This plan will provide the Government with a proactive way to avoid unacceptable or deficient performance, and provide verifiable input for required annual past performance evaluations. This QASP explains the following:

1.1.1. What will be monitored.

1.1.2. How monitoring will take place.

1.1.3. Who will conduct the monitoring.

1.1.4. How monitoring efforts and results will be documented.

1.2 This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

1.3 This QASP is a “living document” and the Government may review and revise it on a regular basis.

However, the Government will coordinate changes with the contractor. Updates will ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions will be retained the contract file.

2. AUTHORITY

2.1 Authority for issuance of this QASP is provided under FAR 52-212-4(a), Inspection/Acceptance, 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.

3. GOVERNMENT ROLES AND RESPONSIBILITIES

3.1 The following personnel will oversee and coordinate surveillance activities:

3.1.1 CONTRACTING OFFICER (CO). The CO will ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and will safeguard the interests of the United States in the contractual relationship. The CO will also assure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

3.1.2 CONTRACTING OFFICER REPRESENTATIVE (COR). The COR is responsible for the technical oversight of the contract, assuring proper Government surveillance of the contractor’s performance and keeping a quality assurance file. At the conclusion of the contract or when requested by the CO, the COR will provide documentation to the CO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

4. CONTRACTOR REPRESENTATIVES

4.1 Contractor shall appoint an employee to serve as the primary point of contact responsible for coordinating issues relating to quality assurance and surveillance issues.

4.1.1 PROGRAM MANAGER. TBD upon award and/or issuance of task order

4.1.2 OTHER CONTRACTING PERSONNEL. TBD upon award and/or issuance of task order

5. PERFORMANCE REQUIREMENTS SUMMARY

5.1 Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets, or does not meet these standards.

5.2 The Performance Requirements Summary (PRS) Matrix includes performance standards outlined in the Performance Work Statement (PWS). The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL):

5.2.1 Table 1: PRS Matrix

Service Requirement

ID Measurement/ Metric

Performance Standard/ AQL

Method of Surveillance

Procedures To Be Taken When Performance Standards Are Not Met

General Requirements;

PWS 4.1

1 Completeness & Timeliness

General Requirements completed in accordance with (IAW) the PWS;

100%

Direct inspection or observation by COR or feedback from other NSW personnel

Positive/Negative reporting in the Contractor Performance Assessment Reporting System

(CPARS).

Payment may be reduced by a value equal to the unperformed or performed services due to stopped training.

Payment may also be reduced to compensate for any damage that may result from the unperformed or poorly performed services

Inspection/Acceptance and FAR Clause 52.212-4(a) and Termination for Cause FAR Clause 52.212-4(m) and 52.246-4 Inspections of Services

Specific Requirements, 100T Masters, Endorsement;

PWS 4.2.1

2 Completeness & Timeliness

Specific Requirements completed IAW the

PWS; 100%

Direct inspection or observation by COR or feedback from other NSW personnel

Same as above

Specific Requirements, 200T Raise of Grade (ROG);

PWS 4.2.2

3 Completeness & Timeliness

Specific Requirements completed IAW the

PWS; 100%

Direct inspection or observation by COR or feedback from other NSW personnel

Same as above

Specific Requirements, IYT Master of Yachts;

PWS 4.2.3

4 Completeness & Timeliness

Specific Requirements completed IAW the

PWS; 100%

Direct inspection or observation by COR or feedback from other NSW personnel

Same as above

Specific Requirements, Advanced Navigation Training;

PWS 4.2.4

5 Completeness & Timeliness

Specific Requirements completed IAW the

PWS; 100%

Direct inspection or observation by COR or feedback from other NSW personnel

Same as above

Specific Requirements, Custom Course of Instruction;

PWS 4.2.5

6 Completeness & Timeliness

Specific Requirements completed IAW the

PWS; 100%

Direct inspection or observation by COR or feedback from other NSW personnel

Same as above

After Action Reports;

PWS 4.1.9

7 Completeness & Timeliness

Specific Requirements completed IAW the

PWS; 100%

Direct inspection or observation by COR and/or CO.

Same as above

Contractor Manpower Reporting

(CMR);

PWS 7.1

8 Completeness & Timeliness

CMR submitted IWA the PWS;

100%

Direct inspection or observation by COR and/or CO.

Same as above

Contractor participated in post award conference;

PWS 5.0

9 Completeness & Timeliness

Provide post award conference minutes IAW the PWS;

100%

Direct inspection or observation by COR or feedback from other NSW personnel

Same as above

4.3 The Government shall use a reduction in payments as a negative incentive. Incentives shall be based on exceeding, meeting, or not meeting performance standards.

4.4 Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

4.4.1 DIRECT OBSERVATION. May be performed periodically or through 100% surveillance.

4.4.2 PERIODIC INSPECTION. Evaluates outcomes on a periodic basis. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.

4.4.3 PERIODIC SAMPLING. Variation of random sampling. However, sample is only taken when a problem/deficiency is suspected. Sample results are applicable only for the specific work inspected. Since sample is not entirely random, it cannot be applied to total activity performance.

4.4.4 STUDENT/CUSTOMER FEEDBACK. Student/customer feedback may be obtained from the results of formal student/customer satisfaction surveys or from random student/customer complaints. Additionally, student/customer feedback will be collected through signed written student/customer complaints, which will clearly state the detailed factors of the deficiencies.

The Contractor shall maintain a summary log of all formally received student/customer complaints as well as a copy of each complaint in a documentation file.

5. CONTRACT DELIVERABLES

5.1 The Contractor shall provide all of the documents at stated frequency and as requested in the PWS, Section 6.0 Deliverables.

6. RATINGS

6.1 Contractor performance will be rated using the Contractor Performance Assessment Report (CPAR).

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. The rating scale below will be used to determine a positive, neutral, or negative outcome.

6.2 Table 2: Rating Scale

Rating Contract Requirements Problems Corrective Actions

Exceptional Exceeds Many – with Government Benefit

Few Minor Problems Minor Problems; Highly Effective

Very Good Exceeds Some – with Government Benefit

Some Minor Problems Minor Problems; Effective

Satisfactory Meets All Minor Problems and Major

Major Problems w/Corrective Action

Marginal Does Not Meet Some Government Impact

Serious; Recovery Possible

Marginally Effective; Not Fully Implemented

Unsatisfactor y

Does Not Meet Most Government Impact

Serious; Recovery Not likely

Multiple Significant Problems; Ineffective

7. DOCUMENTING PERFORMANCE

7.1 Acceptable Performance. The Government will document positive performance. The most common format used for this action will be via CPARs. Any report may become a part of the supporting documentation for fixed fee payments, award fee payments, or other actions.

7.2 Unacceptable Performance. 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.

7.2.1 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 to this QASP.

7.2.2 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.

7.2.3 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.

8. FREQUENCY OF MEASUREMENT

8.1 During contract/order performance, the COR will take periodic measurements and analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

8.2 The COR will interact with the contractor at least monthly and meet annually to assess performance and will provide a written assessment.

Signature – Contractor Program Manager

Signature – Contracting Officer Representative

Signature – Contracting Officer

CONTRACT DISCREPANY REPORT (CPR)

1. CONTRACT NO.: <insert number>

2. TO: <insert name of contractor’s manager or on-site representative>

3. FROM: <insert COR name>

4. OBSERVED DISCREPANY, DATE/TIME: <insert discrepancy and date/time information>

5. DISCREPANCY DESCRIPTION: <Describe in detail. Identify any attachments.>

6. CORRECTIVE ACTION PLAN (CAP):

6.1 A written CAP < is / is not > required.

6.2 If a written CAP is required, the CAP will 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