J-2 QASP.pdf

Section J, Attachment 1 – Quality Assurance Surveillance Plan (QASP) Page 1 of 13

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR: Equipment Support Services (ESS) Contract

CONTRACT NUMBER: N39430-20-D-XXXX

CONTRACT DESCRIPTION: The ESS Contract provides a complete compliment of equipment maintenance and repair services for the fleet of Civil Engineering Support Equipment (CESE).

CONTRACTOR: (After Contract Award)

Issued: 02 December, 2019

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TABLE OF CONTENTS

1.0 PURPOSE

2.0 AUTHORITY

3.0 SCOPE

4.0 GOVERNMENT RESOURCES

5.0 RESPONSIBILITIES

6.0 QASP GOAL AND DEFINITION

7.0 METHODS OF QA SURVEILLANCE

8.0 FREQUENCY OF MEASUREMENT

9.0 COMMUNICATION

10.0 DOCUMENTATION

11.0 RATINGS

12.0 REVISIONS TO QASP

PERFORMANCE REPORT

CONTRACT DISCREPANCY REPORT (CDR)

PERFORMANCE STANDARDS SUMMARY MATRIX

QUALITY ASSURANCE CHECK LIST

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1.0 PURPOSE.

1.1 This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to make sure that systematic quality assurance methods are used in the administration of the performance based service contract. The intent of this plan for is for the Government to ensure that the contractor performs in accordance with the performance objectives and the Government receives the quality of services called for in the contract. This QASP is developed to comply with the Federal Acquisition Regulation (FAR), Part 46 - Quality Assurance, Subpart 46-4 - Government Contract Quality Assurance, and Subparts 37-6 - Performance-Based Acquisition.

1.2 This performance based service contract provides program management support, systems engineering, and integrated logistics support to further Naval Facilities Engineering Command’s (NAVFAC) contribution towards the Department of Navy acquisition process. The QASP is designed to limit surveillance to the minimum necessary to verify that the Contractor is satisfactorily performing services directly related to the performance requirements of the Performance Work Statement (PWS) or Statement of Work (SOW).

1.3 The QASP is not part of the contract nor is it intended to duplicate the contractor's quality control plan. This QASP is a living document and flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

1.4 The Government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

1.5 Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

2.0 AUTHORITY.

2.1 Authority for issuance of this QASP is provided under Contract Section E – Inspection and Acceptance, which provides for inspections and acceptance of the services and documentation called for in service contracts, to be executed by the Contracting Officer or a duly authorized representative.

2.2 In addition the following regulatory guidance apply:

FAR 37.601(b)(2) – Contacts shall include measurable performance standards (i.e., in terms of quality, timeliness, quantity, etc.) and the method of assessing contractor performance against performance standards.

FAR 46.102 – Government contract quality assurance is conducted before acceptance.

FAR 52.246-4 - Inspection of Services – Fixed-Price.

DFARS 237.172 – Retain quality assurance surveillance plans in the contract file.

DFARS 246.102 – Conduct quality audits to ensure the quality of products and services meet contractual requirements.

3.0 SCOPE.

3.1 The QASP is put in place to provide Government surveillance oversight of the contractor’s efforts to assure that they are timely, effective and are delivering the results specific in the contract.

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3.2 The Government, as described in this QASP, will evaluate the contractor’s performance on Task Orders (TO) issued under this contract. The first evaluation will cover the period ending SIX months after date of CONTRACT AWARD with successive evaluations being performed for each TWELVE-MONTH period thereafter until the contractor completes performance under all TOs. For each period, the Government will evaluate the contractor’s performance. The evaluation will encompass all work performed by the contractor at any time during the period but will not include cumulative information from prior reports although performance trends may be determined.

4.0 GOVERNMENT RESOURCES.

4.1 The following definitions for Government resources are applicable to this plan:

4.1.1 Contracting Officer (KO) - A person duly appointed with the authority to enter into [Procuring Contracting Officer (PCO)] or administer [Administrative Contracting Officer (ACO)] contracts and make related determination and findings on behalf of the Government. The PCO for this contract is identified in section G of the contract. The ACO will be designated in the resulting order. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

4.1.2 Contracting Officer’s Representative (COR) - An individual appointed in writing by the KO to act as his/her authorized representative to assist in administering the contract. The COR will be appointed in the resulting TOs. The limitations of authority are contained in a written letter of appointment.

4.1.3 Government Technical Point of Contact (TPOC) - The COR designates an individual Government TPOC to assist in administering specific projects under the contract.

5.0 RESPONSIBILITIES.

5.1 The following Government resources shall have responsibility for the implementation of this QASP:

5.1.1 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 who 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 provides QASP input to matters relating to the PERFORMANCE STANDARDS SUMMARY MATRIX, which is attached to this QASP.

5.1.2 Contracting Officer’s Representative – The COR is responsible for technical administration of the contract and assures proper Government surveillance of the contractor’s technical performance. The COR is not empowered to make any contractual commitments or to authorize any changes on the Government’s behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the Contracting Officer for action.

5.1.3 Government Technical Point of Contact – The Government TPOC is responsible for assisting in administering a specific project under the contract. A Government TPOC cannot, in any manner, alter the scope of the contract, make commitments or authorize any changes on the Government's behalf.

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6.0 QASP GOAL AND DEFINITION.

6.1 QASP - The methods of surveillance listed below shall be used by the COR and/or Government TPOC in the technical administration of this QASP. The QASP will be the prime determinant in exercising the option.

6.1.1 QASP Goal - The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR's contribution is their professional, non-adversarial relationships with the Contracting Officer, Program Manager, and the Contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR and/or Government TPOC uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. Additionally, this QASP is based on the premise that the contractor, not the Government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

6.1.2 QASP Definition – The QASP is a Government document used to specify the inspection and acceptance requirements for the TO SOW/PWS. For this reason, it is necessary that the TO SOW/PWS and QASP be written in conjunction with each other.

6.2 Quality Level - The COR, with input and agreement of the Government Technical Point of Contacts (TPOCs), will determine whether the contractor has consistently satisfied the acceptable quality level per contractual requirements. Quality standards for all tasks will be detailed in each potential TO.

6.3 Management Responsiveness - The COR, with input and agreement of the TPOCs, will determine whether the contractor has provided satisfactory project management and adequate, timely response to service calls, emergency tasks, and two-way communication consistent with the quality standards detailed in each potential TO. The COR will confirm whether the contractor has completed all tasks, met all performance objectives, and met all reporting requirements cited in the individual TOs on time.

7.0 METHODS OF QA SURVEILLANCE.

7.1 The COR will use the surveillance methods for Quality Assurance (QA) and will be listed below in the administration of this QASP. Regardless of the surveillance method, the COR shall always contact the Contractor’s task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with the assistance from the contract specialist, shall be responsible for monitoring the contractor’s performance in meeting the specific performance standard and Acceptable Quality Level. Surveillance results may be used as the basis for actions against the contract.

In such cases, the Inspection of Services clause in the Contract becomes the bases for the KO’s actions.

7.2 The COR and/or Government TPOC can utilize any combination of the surveillance methods listed below to inspect the quality of the services. This QASP has the surveillance methods for each Service Action listed in the Performance Standards Summary Matrix. It is not possible to list every tasking, however some major Service Action categories are provided as a general framework of the Objective, Standard, AQL and the Monitoring Method. Since the QASP is a living document and is subject to change, the Performance Standards Summary Matrix will reflect any updates needed to ensure the Government is identifying Service Actions, Performance Standards, AQL and applying appropriate Surveillance Methods during the contract period of performance. Any adjustments will follow the revision process detailed in the QASP, paragraph 12.0 and published accordingly.

7.2.1 Direct Observation. The COR and/or Government TPOC will perform on-site inspections periodically through 100% surveillance. The surveillance method used to verify the performance

Section J, Attachment 1 – Quality Assurance Surveillance Plan (QASP) Page 6 of 13 methods listed as 100% means inspection of 100% of the requirements stated in the contract each time it occurs.

7.2.2 Periodic Inspections. The periodic inspection is a QA method based on a predetermined plan to evaluate part of the contract outputs using subjective judgement and analysis of agency resources to decide what work to inspect and how frequently to inspect it (daily, weekly, monthly, quarterly, etc.) as determined by the COR. This QA is a planned sampling of a service at specific predetermined dates and times. This method may be appropriate for tasks that occur infrequently. Uses a comprehensive evaluation of the selected outputs. Inspections may be scheduled or unscheduled as required. The surveillance method used to verify the performance methods listed as Monthly Inspection means an Inspection of every requirement stated in the contact, 12 times a year. Also, the surveillance method as Quarterly Inspection means inspection of every requirement stated in the contact, four times a year.

7.2.3 Random Inspections – The COR will perform random site inspections at least two times a year, unless specific site (or task orders) have been targeted for more frequent surveillance. A targeted area is one that has received complaints or that needs special attention by the contractor for any reason. The purpose of the inspection is to ensure performance objectives are being met, or are likely to be met. The COR will inform the contractor of any discrepancies found against performance standards. The COR will maintain records of all inspections. This QA is to ensure the equipment is operating in accordance the Original Equipment Manufacturer (OEM) specifications upon competition of any service done by the Contractor. The COR and/or Government TPOC will conduct Random Inspections Monthly, Quarterly, or as frequent as needed to ensure quality performance.

7.2.4 Customer Complaints – Validated customer complaints is a QA method whereby deficiencies in the outputs of the contract requirements are identified by a person other than the COR. These persons (customers) are made aware of contract requirements and monitor the services provided by the Contractor. Where there is a case of poor performance or nonperformance, the COR is notified. Then, the COR investigates the report, and, if found to be valid, documents it. Each complaint should be validated to ensure the service is required, and that the requirement was not fulfilled. The COR will collect and track all customer complaints received. All complaints will be communicated to the contractor for resolution.

7.3 Performance Reporting. The COR will utilize the performance metrics, which is part of this QASP, to evaluate the contractor performance for a specific time.

7.3.1 Contractor Performance Assessment Reporting System (CPARS). Documented surveillance data (COR Status Reports, Completed Surveillance Checklists, Customer Feedback and CDRs, if any) will be used to support CPARS ratings. CPARS will be completed in accordance with AFARS, Subpart 5142.15

– Contractor Performance Information.

7.4 The Incentive (positive and negative) for the Performance Standards Summary Matrix is applied across the Summary Matrix. The data collected during the performance period shall be used to substantiate objective CPARS ratings (positive or negative remarks) of contractor performance. The trends of less than acceptable performance could result in reductions in monthly payments at the discretion of the KO. The results of this performance objective shall be used in calculation of bonuses or award fees. (If there are bonuses or award fees stipulated in the contract).

8.0 FREQUENCY OF MEASUREMENT.

8.1 During the contract performance, the COR shall take periodic measurements as specified in the Acceptable Quality Level (AQL) column of the Performance Standards Summary Matrix, QASP

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Paragraph 7.2, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

8.2 The COR shall meet with the contractor as appropriate and detailed in the QASP Paragraph 7.2 to assess performance and shall provide a written assessment.

9.0 COMMUNICATION.

9.1 Quarterly Quality Reviews (QQRs) – The COR will attend QQRs scheduled by the KO or the COR.

Results of inspections, customer complaints and commendations, and other performance issues will be discussed. These meetings will also serve as an opportunity to note commendable performance.

9.2 Quarterly Bulletin – For meaningful surveillance, the COR will be better assisted by informed customers. Therefore, the COR will publish quarterly a comprehensive informational bulletin covering all active TOs and distribute it to all customers using the contract. The purpose of the bulletin is to inform the customers of relevant schedules, deadlines, relevant results of QQRs (lessons learned and commendations), to solicit feedback.

9.3 Survey – This tool will be performed midway through a task order’s period of performance and at the completion of the TO. The COR will create the survey, in association with the contracting officer and the contractor, to obtain useful information from each customer for a given TO. Information collected includes: customer satisfaction with the contractors performance, execution of the services performed, and if they have any incidents, comments or observations, lessons learned or commendations to report.

The COR will request contractor resolution or explanation of negative comments, as appropriate.

9.4 Technical Representative Input – The TPOC will provide Input to the COR. It is anticipated that much of the evaluation on the TO oversight will be performed by TPOCs assigned to each individual TO.

These evaluations are in addition to the COR performing evaluations and will not take the place of the random inspections. The TPOC will also assist in the assessment of a contractor’s performance in achieving the performance standards specified in each TO. TPOC may assess performance by direct observation (e.g., the deliverable was submitted on time), indirect observations such as their customers input (e.g., student feedback forms), or other means. The COR will solicit input from the TPOCs.

10.0 DOCUMENTATION.

10.1 In addition to providing quarterly reports to the Contracting Officer, the COR will maintain a complete Quality Assurance file. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function. All such records will be maintained for the life of the order. The COR shall forward these records to the Contracting Officer at termination or completion of the order.

10.2 The table below set forth the performance requirements summary which is part of the PERFORMANCE STANDARDS SUMMARY MATRIX, attached to this QASP. This table also outlines the monitoring methods of the contractor and available to the Contracting Officer at the end of each surveillance period.

11.0 RATINGS.

11.1 Metric and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The flowing rating shall be used.

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EXCEPTIONAL The performance significantly exceeds contract requirements to the

Government’s benefit. Cost and Schedule are relative factors.

SATISFACTORY: The performance meets contractual requirements as stated in the PWS.

UNSATISFACTORY: The performance does not meet contractual requirements as stated in the

PWS.

11.2 ACCEPTABLE PERFORMANCE. The Government shall document positive performance. A report template is attached to this QASP and titled ‘PERFORMANCE REPORT’. Any report may become a part of the supporting documentation for fixed fee payments or other actions.

11.3 UNACCEPTABLE PERFORMANCE. When an unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communications. In any case the COR shall document the discussion and place it in the COR file.

11.3.1 When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present is to the contractor’s Manager or on-site representative.

A CDR template is attached to the QASP and is tilted ‘CONTRACT DISCREPANCY REPORT (CDR)’.

11.3.2 The contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the contract 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 of the contractor has to present the corrective action plan to the COR. The Government shall review the contractor’s corrective action plan to determine acceptability.

11.3.3 Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deduction, award fee nonpayment or other actions deemed necessary by the KO.

11.4 Inspection Checklists. An essential part of any QASP is the Inspection Checklist for the service that will be evaluated. A standard Inspection Checklist form ensures documented, uniform appraisal of each service occurrence, and that equal weight is given to each evaluation. The checklist shall contain such information as type of service, QAE, inspection results, date, and other remarks relevant to the inspection.

These checklists form the basis for all QA evaluations and constitute the documentation which will be used to substantiate determination of unsatisfactory performance should that occur. A standard Inspection Checklist template is attached to the QASP and is tilted ‘QUALITY ASSURANCE CHECK LIST’.

12.0 REVISIONS TO QASP.

12.1 The revisions to this surveillance plan are the joint responsibility of the COR, Government TPOC, and/or Contracting Officer. Any updates to this QASP will be shared with all responsible parties to apply into the quality control plan.

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PERFORMANCE REPORT

Contract Number: N39430-20-D-XXXX (Entered after Award)__________________________

Prepared By: __________________________________________________________________

Date and Time of Observation: Date: _________________ Time: ___________________

Observation: __________________________________________________________________

Method of Surveillance (circle one): Direct Observation, Periodic Inspections, Customer Complaints, Random Sampling, Progress or Status Meetings, Analysis of Contractors’ Progress Reports, or Performance Reporting.

How frequently did you conduct surveillance (circle one): Daily, Weekly, Monthly, Quarterly, Annually

Surveillance Results: __________________________________________________________

Observed by: (COR Name): ____________________________________________________

Contracting Officer’s Representative Date

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CONTRACT DISCREPANCY REPORT (CDR)

Contract Number: N39430-20-D-XXXX (Entered after Award)___________________________

TO: (Contractor Manager or on-site Representative)___________________________________

FROM: (COR Name):___________________________________________________________

Date and Time of Observation: Date: _________________ Time: ___________________

DISCREPANCY OR PROBLEM: ________________________________________________

Method of Surveillance (circle one): Direct Observation, Periodic Inspections, Customer Complaints, Random Sampling, Progress or Status Meetings, Analysis of Contractors’ Progress Reports, or Performance Reporting.

Corrective Action Plan: A written corrective action plan ( is / is not ) required. If a written plan is required, the written Corrective Action Plan will be provided to the undersigned not later than ________ days after receipt of this CDR.

Prepared by: (COR Name): _____________________________________________________

Signature - Contracting Officer’s Representative Date

Signature – Contractor Manager or Representative Date

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PERFORMANCE STANDARDS SUMMARY MATRIX

Service Performance Objective Performance Standard Acceptable Quality Level

(AQL)

QASP

Monitoring Method

Monthly reports on task order progress and status of funds

PWS, Para 9.3 Status of service completion and funds will be provided in excel spreadsheet format to the COR at least once per 30 day period. The spreadsheet shall list each USN per task order.

No deviation from actual percent complete.

Contractor shall provide status on the first Monday, each month. Excel file shall be provided within 3 days of requested by COR.

Inspection - Contract Data Requirements List (CDRL)

Completeness and timeliness of CDRL reports.

PWS, Para 10.2.4

Accuracy and comprehensiveness of reports.

90% correctness on all reports.

Direct Observation

Random Inspections.

Customer Complaints.

Inspection – Pre- Acceptance

Mechanical, Functional, and Operational, Acceptance Inspections.

PWS, Para 3.4.4

Equipment operates according to the Original Equipment Manufacture specifications.

95% correct operations.

Contractor provide punch-list for any actions for re-inspection.

Direct Observation

Random Inspections.

Inspection – Pre- Acceptance

Mechanical, Functional, and Operational, Acceptance RE-Inspections.

PWS, Para 3.4.4

Equipment operates according to the Original Equipment Manufacture specifications.

100% equipment operation according to the

OEM

specifications.

Direct Observation

Repairs- Contract Data Requirements List (CDRL)

Completeness and Timeliness of CDRL reports.

PWS, Para 3.4.5

Accuracy and comprehensiveness of report.

90% correctness on all reports.

Direct Observation

Random Inspections.

Customer Complaints

Repairs – Acceptance Inspection

Full Operational Test and Inspection of the functionality of each piece of equipment, under full-load and no-load conditions.

Actually make the equipment perform it's primary function (i.e.

excavate and push dirt with a bull dozer, operate and load test a crane) as designed by the OEM.

PWS, Para 3.4.5

Equipment operates according

100% equipment operation according to the

OEM

specifications

Direct Observation

Repairs – Acceptance Inspection

The time duration for these inspections vary from two

(2) to eight (8) hours per piece of equipment depending on the type and

Equipment operates according

100% equipment operation according to the

OEM

specifications

Section J, Attachment 1 – Quality Assurance Surveillance Plan (QASP) Page 12 of 13 size of a piece. The inspector will identify all minor and major discrepancies for immediate correction.

Repairs – Acceptance Final Inspection

Final mechanical, paint, static operational and functional test, and acceptance inspections without the actual functional test (i.e. no dirt operations).

to the OEM specifications and performance in accordance to the PWS.

100% equipment operation according to the OEM and PWS specifications

Direct Observation

Random Inspections.

Customer Complaints

Repairs – Acceptance Final Inspection

When notified by the contractor, on the completion of the paint and body work, overhaul and refurbishment of a piece, or pieces of equipment the COR will travel to the contractor or sub-contractors' repair facility to perform the final mechanical, paint and body work, operational, functional, and acceptance inspection on all systems of the entire piece of equipment.

to the OEM specifications and performance in accordance to the PWS.

100% equipment operation according to the OEM and PWS specifications

Direct Observation

Random Inspections.

Customer Complaints

PM Completion PMs on equipment shall be preformed according to the PWS and manufacturer specifications. The PM shall be performed during the PWS period of performance.

PWS, Para 3.4.5

Contractor to utilize the OEM maintenance manuals for acceptable guidelines.

100% Direct Observation.

Periodic Inspections.

Random Inspections.

Adherence to the schedule.

Contractor shall meet agreed to schedule or milestones and deliverables for all task orders.

Accuracy and completeness of schedule.

Meet schedule 95% of the time.

Direct Observation.

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QUALITY ASSURANCE CHECK LIST

CONTRACT NUMBER: N39430-20-D-XXXX (Entered after Award)_________________________

TASK ORDER NUMBER:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Inspection 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed Other___________________

SERVICE or STANDARD:

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: _________________