Attachment_3_Draft_Quality_Assurance_Surveillance_Plan.doc

Attachment 3

M67854-15-R-7901

Attachment 3

M67854-15-R-7901

Quality Assurance Surveillance Plan (QASP)

Communication Training Centers (CTC)

6/11/15 Version 1.0

31 Mission

2 Purpose 3 Authority 4 Roles and Responsibilities 5 Responsibilities 6 Performance Requirements and Method of Surveillance

6.1 Contract Surveillance

6.2 Surveillance Matrix

Appendix 1 - Surveillance Matrix Appendix 2 - Corrective Action Report (CAR) Appendix 3 - Customer Complaint Record Appendix 4 - Performance Assessment Report (PAR)

Quality Assurance Surveillance Plan (QASP)

COMMUNICATION TRAINING CENTERS (CTC)

1 Mission The mission of the CTC is to plan, coordinate, execute and oversee Marine Corps communication systems training in the regional areas of each Marine Expeditionary Force (MEF) (East Coast, West Coast, and Pacific Region). This includes formal and informal training, contracted training, vendor training and New Equipment Training (NET). The CTC mission also includes design, develop, conduct and evaluate training and education for Marine Corps personnel related to communication systems and conduct prescribed training and certification of Marines as Information Assurance (IA) professionals.

2 Purpose

A QASP serves as the principal basis for assessing overall performance quality associated with an effort. This document is a draft, provided as a courtesy, to communicate how the Government might assess the effectiveness of the Contractor’s management and technical services. This QASP provides a methodology by which the Contractor's performance may be monitored to determine compliance with established performance objectives and suggests performance benchmarks that might ensure a quantifiable basis for measuring effectiveness. This particular draft plan is designed so that surveillance is limited to that which is necessary to verify the Contractor is performing management and technical services satisfactorily and relates directly to performance of the objectives delineated in the Performance Work Statement (PWS). In the event that this plan proves an insufficient means for assessing contractor performance, the QASP will be modified to find a more effective means of assessing contractor performance.

3 Authority

Authority for the use of a QASP is provided under Subpart 46.4 of the Federal Acquisition Regulation (FAR), Government Contract Quality Assurance, 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 Procurement Contracting Officer (PCO) or a duly authorized representative.

4 Roles and Responsibilities

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

Procurement Contracting Officer (PCO) - A person duly appointed with the authority to enter into contracts and make related determination and findings on behalf of the Government. The PCO for the resultant contract will be identified in the Contract Administration section. Procurement Contracting Officers are designated via a written warrant, which sets forth limitations of authority. The PCO is the only person with the authority to make changes to the contract or any resulting task orders.

Contracting Officers Representative (COR) - An individual appointed in writing by the PCO to act as their authorized representative to assist in administering the contract or task order. The limitations of authority are contained in a written letter of appointment.

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

Procurement Contracting Officer – The Procurement Contracting Officer (PCO) ensures performance of all necessary actions for effective contracting ensures compliance with the terms and conditions of the contract and safeguards the interests of the United States in the contractual relationship. It is the PCO 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 provides QASP input to matters relating to Performance Ratings and Appendix 1.

Contracting Officer’s Representative (COR) – 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 PCO for action.

6 Performance Requirements and Method of Surveillance

This section describes the special requirements for this effort. The following sub-sections provide details of various considerations on this effort.

6.1 Contract Surveillance

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 PCO, 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 uses the methods contained in this QASP to ensure the Contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the Contractor's performance. Additionally, this QASP is based on the premise that the Contractor, not the government, is responsible for management and Quality Control/Quality Assurance (QC/QA) actions to successfully meet the terms of the contract.

6.2 Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the Contractor. 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.

Performance Objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the Performance Objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the Contractor's performance as it relates to the performance element standards. The Performance Requirements Summary (PRS) should be used to form the foundation of the COR's inspection checklist.

In evaluating the quality of the Contractor’s performance, the following performance ratings are provided:

Performance

Rating Standard

Appendix 1 - Surveillance Matrix

4.1 Instructional Services

4.1.1 The Contractor shall provide instructional services for courses identified in the Course Description Matrix (Section J, Attachment 2) and the Course Description Sheets (Section J, Attachment 1) for Program of Instruction (POI) and Non-POI courses.

4.1.2 The Contractor shall properly document the provisions of instructional services using the formats provided in the After Instruction Report (AIR) Binder (Section J, Attachment 6). The AIR binder, includes the Student rosters, Class Schedule, Exceptions to the Course Schedule, Instructor Rating Forms, Instructor Rating Form Recap Sheet, End of Course Critique Sheets, After Instruction Report and Instructor After Action Feedback.

4.1.3 Instruction shall commence at 0800 hours local time unless otherwise determined by the Alternate COR at each CTC. If instruction is delayed for any reason, The Instructor shall notify the Alternate COR within 30 minutes of the start of the delay, that instruction will be negatively impacted. Delays in instructional services shall not exceed 2 hours.

4.1.4 Instructors shall have the proper certifications for the courses they teach in accordance with the Course Description Matrix in Section J of the Contract.

4.1.5 The Contractor shall distribute CTC supplied training materials to each student attending a course. The materials for distribution will be provided on CD/DVD. If a CTC determines that printed versions of courseware, either in whole or in part, are required for distribution, the materials will be provided by the CTC. If the provided materials do not represent the course material to be taught or there is not enough material for the entire class, the instructor shall contact the Alternate COR with 30 minutes of class beginning to arrange for additional or appropriate materials to be provided.

4.1.6 Start Roster and Truancy Report: The Instructor shall provide the Start Roster and Truancy to the Alternate COR.

a) STD: Complete instruction of the Program of Instruction (POI) and Non-POI courses.

AQL: 100% of the POI or Non-POI curriculum was delivered to student participants as stated in the POIs and Non-POIs.

b) STD: The Contractor shall provide proper documentation of instruction via the After Instruction Report (AIR) binder in accordance with Attachment 6 in Section J of the contract. The AIR binder, includes the Student rosters, Class Schedule, Exceptions to the Course Schedule, Instructor Rating Forms, Instructor Rating Form Recap Sheet, End of Course Critique Sheets, After Instruction Report and Instructor After Action Feedback.

AQL: All sections are 100% complete and no more than 2 errors per page. Instructors shall receive an average rating of three (3) or above (out of 4) for each item on the collective class Instructional Rating Forms. Instructors shall receive a three (3) or above (out of 5) on Instructor Evaluation Form completed by the Alternate COR.

c) STD: Instruction shall commence at 0800 local time or on an agreed upon time with the COR’s Technical Leads at each CTC. If instruction is delayed for any reason, the Instructor shall notify the COR’s Technical Leads with thirty (30) minutes that instruction will be negatively impacted..

AQL: 100% of the courses start on time. Delays in instructional services shall not exceed two (2) hours. Notification that a course will be negatively impacted shall be made to the COR’s Technical Leads within 30 minutes.

e) STD: Instructors shall have the proper certifications for each course they teach as specified in the Course Description Matrix in Section J of the Contract.

AQL: Instructors shall have 100 percent of certifications for courses taught.

f) STD: The Contractor shall distribute CTC supplied training materials to each student attending a course. If the materials provided by the CTC do not represent the course material to be taught or there is not enough material for the entire class, the instructor shall contact the COR’s Technical Leads with 30 minutes of class beginning to arrange for additional or appropriate materials to be provided.

AQL: 100% of students receive 100% CD/DVDs are provided to all students. 100% of CTC provided printed courseware is distributed to students.

g) STD: Start Roster and Truancy Report are provided to the Alternate COR.Students from each class must pass the course as stated in the course description sheets. (This rate does not apply to students auditing the course.)

AQL: 100% of the Start Roster and Truancy Report are provided to the Alternate COR within one hour of the class start.

What: Instructional Services

Deliverables

How: Within five (5) working days the Government will review the AIR and Instructor Evaluation Form to ensure that the course was taught to the POI or Non-POI and the instructor addressed student issues. The Government will conduct a comparative assessment of the End of Course Critiques and the End of Course Instructor comments.

Frequency: Within five (5) working days after completion of each course and/or Instructor Evaluation.

Who: COR’s Technical Leads at the CTC.

Standard(s): Inspection applies to all standards.

4.2. Curriculum Development

4.2.1 Major Curriculum Development is when the USMC requires an entire new curriculum to be developed. The Contractor shall develop the new curriculum in accordance with the Systems Approach to Training (SAT) Users Guide.

a) STD: When the USMC requires an entire new course curriculum to be developed, the Contractor shall develop new course curriculums in accordance with the Systems Approach to Training (SAT) Users Guide..

AQL: The curriculum meets 100% of the requirements of the SAT Guide, and no more than 2 errors per page.

What: All MCF components.

How: All MCF components will be inspected to verify that they are in compliance with the SAT Guide in accordance with MCCES ASOP.

Frequency: After changes to the MCF.

Who: COR and a copy to Operations, Communications School, MCCES.

Standard(s): Inspection applies to all standards

4.3 Curriculum Management

4.3.1 The contractor shall provide curriculum management on curricula identified in the Course Description Matrix. Curriculum Management is when curricula changes are approved by the Government. In some cases commercial curricula have Government unique addendums. Only the Government unique addendum may be changed. Curriculum Management shall include the Master Lesson Files and all other SAT required products specified in either the SAT Guide or the Academic Standard Operating Procedures (ASOP). Curricula changes may be required based on feedback, evaluations from the After Instruction Report (AIR) binder, the Course Content Review Board (CCRB), or TTP update requests from the operational forces submitted to the CTB Academics Section and provided to the Contractor via the COR. Maintained curricula shall be submitted to the CTB Academics for review and approval via the COR.

4.3.2 The Contractor shall ensure the currency and accuracy of all curricula listed in the Course Description Matrix and mantainted in the Marine Corps Training Information Management System (MCTIMS).

4.3.3 The Contractor shall enter all curricula data into MCTIMS.

a) STD: The Contractor shall update curriculums and submit them for approval to MCCES via the COR.

AQL: 100% of the curriculums are submitted to the COR for review and approval.

b) STD: The contractor shall maintain the curricula listed in the Course Description Matrix.

AQL:100% of the curricula are submitted to the CTB Academics Section for review and approval via the COR.

c) STD: The contractor shall maintain the Master Lesson File for courses in the Course Description Matrix, in accordance with (IAW) the SAT Guide, and the Academic Standard Operating Procedures (ASOP). All curriculums in the Course Description Matrix shall be maintained and updated only in collaboration with MCCES and each CTC via the COR. The curriculums shall be submitted to the COR for review and approval.

AQL: File components are 100% complete and technically accurate.

d) STD: The Contractor shall ensure the currency and accuracy of all curricula in the Course Description Matrix are kept in the Marine Corps Training Information Management System (MCTIMS).

AQL: 100 % of existing curriculums in MCTIMS are current and complete.

d) STD: Contractor shall enter all curricula from the Course Description Matrix into MCTIMS.

AQL: Curriculums from the Course Description Matrix are 100% loaded into MCTIMS.

What: All MCF components.

How: All MCF components will be inspected to verify that they are in compliance with the SAT and in accordance with the MCESS SOP and ASOP.

Frequency: After changes to the MCF.

Who: COR and a copy to Operations, Communications School, MCCES.

4.4 Test Administration

4.4.1 At the conclusion of instruction for course with a certification test, as noted in the Course Description Matrix, the Test Administrator shall conduct the certification testing. (DoD Directive 8570.01M, Change 3, Information Assurance Workforce Improvement Program)

4.4.2 Test Administration

All Contractor Test Administrators shall have the appropriate current certifications to administer the test.

a) STD: After completion of an applicable course of instruction, a Test Administrator shall perform certification testing required by specific course curriculums denoted in the Course Description Matrix. (DoD Directive 8570.01M, Change 3, Information Assurance Workforce Improvement Program) AQL: 100% of courses that require certification testing are conducted in accordance with the Course Description Matrix and Course Curriculums.

b) STD: All Test Administrators shall have the current certification from the appropriate testing authority, Pearson Vue and Prometric.

AQL: All Test Administrators, providing certification testing, shall have a current certification for the course tested in accordance with the course description matrix provided in Section J of the Contract. This certification must be from the appropriate testing authority, Pearson Vue and Prometric, and must be available for the performance of all duties required to be a certified test administrator.

Note: Test Administrator shall not be same person as the course instructor What: Deliverables

How: Within five (5) working days the Government will read and review the Grad Roster and AIR to ensure that all training materials were delivered to each student and test administration was conducted.

Frequency: Within five (5) working days after completion of each course.

Who: The Director, Deputy Director, and/or SNCOIC of the Communication Training Center.

Appendix 2 - Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY FORMCHECKBOX

MAJOR FORMCHECKBOX

MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the Contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

FORMCHECKBOX

ACCEPTED FORMCHECKBOX

REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 - Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. FORMCHECKBOX

DEFICIENCY (CHECK ALL BOXES THAT APPLY)

FORMCHECKBOX

NEW

FORMCHECKBOX

REPEAT

FORMCHECKBOX

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

Submitted by: ________________________________________

Major Thomas J. Heller

Date

Operations Officer

Teri S. Snyder

Contract Specialist Reviewed for Legal Sufficiency:

Brent Curtis

Legal Counsel

Approved By:

Gerald Francom

Contracting Officer

Stephen L. Riffe

Lead Contracting Officer

�I thought you were correcting this to Alternate COR?