J.6 QASP.pdf

Attachment J.6 Solicitation No: N0017826R2500

QUALITY ASSURANCE SURVEILLANCE PLAN

1. PURPOSE

This Quality Assurance Surveillance Plan (QASP) is a Government-developed and applied document used to make sure the systematic quality assurance methods are used in the administration of this contract. The intent is 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. In addition, this QASP provides the specific criteria and process to be followed in consideration of the exercise of any options.

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 Statement of Work (SOW) and the Contractor’s quality control plan (QCP), and to ensure that the Government pays only for the level of services required/received.

This QASP defines the roles and responsibilities of Government personnel involved in the evaluation of the quality of contractor performance, identifies the performance objectives, and defines the methodologies used to monitor and evaluate the Contractor’s performance. The QASP also describes quality assurance documentation requirements and describes the analysis of quality assurance monitoring results.

2. AUTHORITY

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses and Section E – Inspection and Acceptance which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the Procuring Contracting Officer (PCO) or a duly authorized representative.

3. SCOPE

The SOW structures the acquisition around "what" services or quality level is required, as opposed to "how" the Contractor should perform the work (i.e., results, noncompliance). This QASP will define the performance management approach taken to monitor and manage the Contractor’s performance to ensure the expected outcomes or performance objectives communicated in the SOW 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.

The Contractor is responsible for the quality of all work performed. The Contractor measures that quality through the Contractor’s own QCP. Quality control is work output, not workers, and therefore includes all work performed under this Task Order regardless of whether the work is performed by Contractor employees or by Sub-Contractors.

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 SOW. The Contractor will develop and implement a performance management system with processes to assess and report its performance to the designated Government representative. This QASP enables the Government to take advantage of the Contractor’s QCP.

A preliminary QASP evaluation/rating will be performed according to the schedule as noted below. The purpose of this review is to determine whether the Contractor is performing at least at a "Satisfactory" level for each major element assessed using Table 1. This methodology will be utilized as an important factor in determining whether to exercise any of the Options under the Contract or Task Order.

The Government will assess performance of the overall contract using the Contractor Performance Assessment Reporting System (CPARS) at the end of each Period of Performance (PoP). The Contractor Performance Assessment Report (CPAR) assesses a Contractor’s performance, both positive and negative, and provides a record on a given Task Order during a specified period of time. More information pertaining to CPARS can be found at:

https://www.cpars.gov.

4. ROLES AND RESPONSIBILITIES

Procuring Contracting Officer (PCO) – An individual duly appointed with the authority to enter into contracts and make related determination and findings on behalf of the Government. PCOs are designated via a written warrant, which sets forth limitations of their respective authority. The PCO ensures performance of all necessary actions for effective contract administration ensures compliance with the terms of the contract and safeguards the interests of the United States in the contractual relationship. It is the PCO that ensures the Contractor receives impartial, fair and equitable treatment under the contract. The PCO is ultimately responsible for the final determination of the acceptability of the Contractor’s performance. The PCO for this Task Order is identified in Section G.

Contracting Officer’s Representative (COR) – An individual appointed in writing by the PCO to act as their authorized representative to assist in technical administration. The limitations of authority are contained in a written letter of appointment which is a formal attachment to the contract. The COR is responsible for technical administration of the task order and assures proper Government surveillance of the Contractor’s technical performance. The COR provides QASP reports to the PCO. 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 PCO for action.

Contract Specialist – An individual assigned by the PCO to provide daily administration of the contract. The Contract Specialist provides input to the PCO and the COR as to the quality of performance for areas addressed in this QASP.

Subject Matter Expert (SME) – Individuals who may be assigned by the COR to perform limited technical oversight of specific projects, work areas, or Technical Instructions issued under the contract. A SME provides input to the COR as to the quality of technical performance for their respective area(s) of expertise. A SME cannot, in any manner, alter the scope of the contract, make commitments or authorize any changes on the Government’s behalf.

5. SCHEDULE

The initial QASP evaluation will be finalized no later than the end of month ten (10) of the base period. Subsequent evaluations will be finalized no later than the end of month ten (10) of option periods (unless otherwise identified in the schedule). The evaluation will encompass all work performed by the Contractor during the assessment period but will not include cumulative information from prior assessments unless the information applies to corrective actions required as a result of the prior assessment. In order to accomplish this, the following schedule applies:

COR Written Assessment is due to the PCO no later than the end of week two (2) of month eight (8) of the Period of Performance.

QASP Evaluation - The PCO will review the COR Written Assessment, determine an overall performance rating for the period, and provide a copy to the Contractor no later than week four (4) of month eight (8) of the Period of Performance.

Interim Evaluations – The COR can provide feedback to the PCO at any time during the Period of Performance. If the feedback indicates that the Contractor is not meeting the acceptable performance standards as defined herein, the PCO will provide this feedback to the Contractor immediately.

6. IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The overall performance ratings and standards are included in Table 1, “Task Performance Evaluation Criteria and Standards”. If the Contractor fails to meet the required performance level based on the preliminary review conducted in accordance with the QASP, the Government may not exercise the next Option period under the contract or Task Order. To meet the required performance level, the Contractor must receive at least a "Satisfactory" rating for each of the performance requirements identified in Table 2, “QASP & Self-Assessment Matrix”, for the performance period being evaluated.

7. METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance Techniques – The below surveillance methods shall be used by the Government to evaluate Contractor performance when appropriate. The COR will use the following methods of surveillance:

• Random or Stratified Sampling: With random sampling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained. Stratified sampling focuses on selected parts of total Contractor output for sampling. Computer programs may be available to assist in establishing sampling procedures.

• 100% Inspection: When used, each item of interest shall be reviewed.

• Periodic Inspection, Judgmental Inspection, or Planned Sampling: This method, sometimes called "planned sampling,” consists of the evaluation of tasks selected on other than a 100% or random basis.

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

Pursuant to FAR 52.246-5(c), the Government reserves the right to perform performance inspections at both prime and subcontractor sites.

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.

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 COR. The COR will accept those customer complaints, investigate and work with the PCO and Contractor to resolve the issue.

8. QUALITY ASSURANCE DOCUMENTATION

The Performance Management Feedback Loop - The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in Table 1. Table 2 provides the “QASP and Self-Assessment Matrix”. Table 3 provides the “Performance Requirements Surveillance Matrix”. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements.

Inspection of each element will be documented in the COR file.

9. MONITORING SYSTEM

The Government’s QA surveillance, accomplished by the COR, in conjunction with the PCO, will be reported using the methodology described herein. QASP evaluations will be done as input to Option Exercise determinations.

The Government will evaluate the Contractor’s performance strictly in accordance with this Quality Assurance Surveillance Plan (QASP) and the Performance Requirements Surveillance Matrix (Table 3). The Contractor is expected to meet or exceed the Acceptable Quality Level (AQL) for all identified performance standards. Failure to meet the AQL constitutes non-conforming performance.

10. NON-CONFORMING PERFORMANCE

The COR will notify the Contractor each time an unacceptable observation has been recorded and ask the Contractor to correct the problem or re-accomplish the service. The COR will record the contract requirement, the specific deficiency to the requirement, and the date and time it was discovered to be included in monthly COR status report.

The Contractor will be given a timeline after notification to correct the deficiency in accordance with requirements of the Task Order. Deficiencies that cannot be corrected within the identified timeline will be reported to the Contracting Officer.

Re-performance of Services (FAR 52.246-5) In accordance with the Inspection of Services clause (FAR 52.246-4), if any of the services do not conform to contract requirements, the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in the contract fixed price. The Contractor shall immediately take necessary action to ensure that future performance conforms to contract requirements.

If the non-conforming performance cannot be corrected by re-performance, the Contractor fails to promptly perform the services again, or the Contractor fails to perform at a Satisfactory level as defined in Table 2, the Government holds the authority to:

1. Invoice Reductions: Deductions will be applied directly against the Contractor's monthly invoice for the affected Contract Line Item Number (CLIN).

2. Determination: The COR will document all instances of non-conforming performance in their surveillance log. For each invoice period, the COR will submit a formal recommendation to the KO, detailing all proposed deductions with supporting evidence from the log. The KO will review the recommendation and evidence before making a final determination and issuing a contract modification or demand for payment.

Flat-Rate and Scaled Deductions To ensure objective and equitable administration of price reductions for non-conforming services, the Government will utilize the following deduction mechanisms for failure to meet AQLs:

• Deliverable Deductions: For each required deliverable (e.g., CDRLs, monthly reports) submitted past the required deadline, the Government will deduct a flat rate of $75.00 per business day until the acceptable deliverable is received.

• Performance Metric Deductions: For failure to meet critical warehouse metrics (e.g., Inventory Accuracy, Order Fulfillment), the Government will apply a scaled deduction. For every 1% that the Contractor falls below the established Acceptable Quality Level, a corresponding 1% deduction will be applied to the monthly invoice for that specific service CLIN.

Note: Deductions are cumulative but shall not exceed 100% of the monthly value of the specific CLIN being penalized.

Contractual Remedies Implementation of price deductions does not waive the Government's right to pursue other contractual remedies.

Repeated or significant failures to meet AQLs, or failure to maintain the mandated Key Personnel and labor mix, will result in negative Contractor Performance Assessment Reporting System (CPARS) evaluations and may result in the issuance of a Cure Notice or Termination for Default.

Table 1 – Task Performance Evaluation Criteria and Standards

In evaluating the quality of Contractor’s performance, the following performance ratings may be used.

Performance Rating

Criteria

Satisfactory A minimum of “Satisfactory” ratings for all performance evaluation criteria.

Unsatisfactory A rating of “Unsatisfactory” for one or more performance evaluation criteria.

Table 2 – QASP & Self-Assessment Matrix

Element Unsatisfactory Satisfactory

1. Task Performance

SOW Tasking Work product fails to meet the Acceptable Quality Levels (AQL) defined in Performance Requirements Surveillance Matrix, Table 3.

Work product meets the Acceptable Quality Levels (AQL) defined in Performance Requirements Surveillance Matrix, Table 3.

Timeliness Contractor frequently misses deadlines, or is slow to respond or non-responsive to Government requests.

Contractor routinely meets deadlines, schedules, and quickly responds to Government requests.

Quality

Deliverables are typically not well researched and contain many technical inaccuracies.

Rework is frequently required.

Work product meets all contractual requirements.

Deliverables are complete and accurate, requiring no more than two revisions. To be rated higher (e.g., Very Good/Exceptional in CPARS), deliverables would consistently require no revisions and demonstrate proactive quality control.

Other deliverables meet all Task Order requirements.

2. Staffing

Staffing

Contractor provides marginally qualified or unqualified personnel.

Staffing vacancies take longer than 30 business days to be staffed from date of notification of need by the Government.

Fails to provide the Key Personnel proposed at contract start or replaces Key Personnel without government approval.

Provides qualified personnel to meet the overall labor mix and level of effort mandated in the contract

Staffing vacancies take less than 30 business days to be staffed from date of deficiency in labor mix.

Provides and maintains the government-approved Key Personnel

3. Customer Satisfaction Customer Satisfaction

Contractor routinely fails to meet customer expectations. Contractor routinely meets customer expectations.

4. Management Performance Problem Resolution

Problems are unresolved, repetitive, or take excessive Government effort to resolve.

Problems are resolved quickly with minimal Government involvement.

Timeliness Frequently misses deadlines, or is slow or non-responsive to respond to Government requests.

Routinely meets deadlines and schedules, quickly responds to Government requests.

Responsiveness Contractor’s management is unresponsive to Government requests and concerns.

Contractor’s Management is responsive to Government requests and concerns.

Communication Contractor fails to communicate with Government in an effective and timely manner.

Contractor routinely communicates with Government in an effective and timely manner.

5. Regulatory Compliance

Regulatory Compliance

Does not meet most contractual requirements and recovery is not likely in a timely manner.

The contractual performance of the element or sub-element contains a serious problem for which the Contractor’s corrective actions appear or were ineffective.

Meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the Contractor appear, or were, satisfactory.

FAR 52.222-50

Combatting Trafficking in Persons

The Contractor has not informed the Contracting Officer and the agency Inspector General of any credible information it has received that alleges a Contractor employee, Sub-Contractor, Sub-

The Contractor has informed the Contracting Officer and the agency Inspector General 100% of the time of any credible information it has received that alleges a Contractor employee, Sub-Contractor, Sub-Contractor

Element Unsatisfactory Satisfactory Contractor employee, or their agent has engaged in conduct that violates the policy.

employee, or their agent has engaged in conduct that violates the policy.

Controlled Unclassified Information

(CUI)

The Contractor regularly fails to properly mark, transmit, or secure CUI and Covered Defense Information (CDI).

The Contractor routinely properly marks, transmits, and secures CUI and Covered Defense Information

(CDI).

Counterfeit Materiel Oversight and Assurance

The Contractor fails to implement counterfeit material processes as outlined in the SOW or fails to report all instances of counterfeit and suspect counterfeit materiel.

The Contractor effectively implements counterfeit material processes as outlined in the SOW and reports all instances of counterfeit and suspect counterfeit materiel.

Table 3 – Performance Requirements Surveillance Matrix

Performance Element: Quality of Product or Service

SOW

Paragraph

Desired Outcomes (What do you want to accomplish as the end result of this contract?)

Required Service (What task must be accomplished to give you the desired result?)

Performance Standard (What should the standards for completeness, reliability, accuracy, timeliness, quality and/or cost be?)

Acceptable Quality Level (AQL) (How much error will you accept?)

Monitoring Method (How will you determine that success has been achieved?)

3.1.5, 3.1.6, 3.1.11

High-accuracy material accountability and clean warehouse environment.

Maintain accurate records of all items in storage and dispose of waste material/packaging.

100% compliance with NSWCDD DNA annual inventory plans. No unapproved waste or packaging material shall remain in common work areas or aisles for more than 4 business hours after the completion of an unpacking or packing evolution. All designated waste bins must be emptied daily.

≥ 98% inventory accuracy by count and location.

Monthly random sampling (1% cycle count), annual wall-to-wall inventory audits, and monthly facility walkthroughs.

3.1.3, 3.1.4, 3.1.5, 3.1.9, 3.1.10

Maintain Financial Improvement Audit Readiness (FIAR) compliance by processing transactions correctly in NAVY

ERP

Process receipts, acceptances, issuances, DD Form 1149s, and billing corrections in N-ERP.

Transactions executed free of administrative or logistical errors.

≥ 98.5% of transacted lines are processed error-free

(correct NIIN, quantity, and UI).

Monthly random audits of N-ERP transaction logs against physical DD- 1149/shipping documents.

3.1.1, 3.1.2, 3.2.11, 3.1.12

Rapid, dependable material movement to prevent fleet downtime.

Coordinate shipping/receiving, local hot-run pickups, and provide rapid labor-on-demand.

Routine requests processed within 48 hours. Emergency labor services on-site within 2 hours of PM notification.

98% of routine requests met within

48-hour window. 100% compliance with the 2-hour surge labor response.

100% inspection of

N-ERP

system timestamps and COR-tracked labor request logs.

Performance Element: Quality of Product or Service

SOW

Paragraph

Desired Outcomes (What do you want to accomplish as the end result of this contract?)

Required Service (What task must be accomplished to give you the desired result?)

Performance Standard (What should the standards for completeness, reliability, accuracy, timeliness, quality and/or cost be?)

Acceptable Quality Level (AQL) (How much error will you accept?)

Monitoring Method (How will you determine that success has been achieved?)

3.1.8 Instantaneous

situational awareness of loss, damage, or injury.

Notify Code 1072 of damaged/missing property. Notify COR of accidents, injuries, or environmental impacts.

Property issues reported within 60 minutes of learning.

Accidents/injuries reported immediately via phone and email.

100% compliance.

Zero tolerance for delayed reporting of safety or property incidents.

Immediate

COR

verification against incident occurrence time. Review of CDRL A004 submissions.

3.2 (3.2.1- 3.2.8)

Fully operational, secure, and climate-controlled warehouse.

Provide and operate a ≥100,000 sq ft facility with climate-controlled office space.

Facility fully operational within 90 days of award.

Temperatures kept at 0- 45°C; humidity < 95%.

Zero operational days lost due to climate failure.

Space utilization report (CDRL A005) delivered monthly.

Monthly review of

CDRL A005.

3.2.13 Seamless handoff to

successor contractor without operational disruption.

Develop and execute a comprehensive Phase-Out Transition-Out Plan

(CDRL A006).

Zero workflow discontinuity or loss of asset tracking integrity during transition.

Transition-Out Plan submitted 90 days prior to PoP end date. 100% joint inventory completed before handoff.

100% review of CDRL A006 by

COR, APO,

and incoming Contractor.

CDRLs A001-A007,

3.8 (3.8.1- 3.8.4)

High-caliber management, continuous program tracking, and professional reporting.

Provide qualified personnel to meet the overall labor mix and level of effort mandated in the contract and submit all required CDRL management reports.

100% staffed.

Provides and maintains the government-approved Key Personnel CDRLs submitted IAW Data Item Descriptions (DIDs).

Vacancies filled with qualified personnel within 30 business days.

≥ 95% of CDRLs submitted on-time.

Monthly staffing review, verification of

CDRL

submission logs, and COR quality assessment of deliverables.

3.2.5, 3.2.8, The effective movement of material to meet fleet requirements

Contractor will provide trucks and equipment as required to handle freight loads of up to 8,000 lbs., unload standard tractor trailers, and stow material on k-racking.

Necessary equipment to perform daily tasking must be on site and operational

No occurrence of noncompliance without customer approval

Government inspection and customer feedback