Attachment 1 - QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

ONR Code 32 Ocean Battle Sensing Support

N0001426R3002, Attachment 1, QASP

N0001426R3002, Attachment 1, QASP i

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled “ONR Code 32 Ocean Sensing Support.” This plan sets forth the procedures and guidelines the Office of Naval Research will use in ensuring the required performance standards or services levels are achieved by the contractor.

Purpose 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.

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.

Performance Management Approach 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 ONR Code 32 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.

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.

Performance Management Strategy 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 contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

ROLES AND RESPONSIBILITIES

The Contracting Officer The contracting officer (KO) 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) or Program Officer (PO) and the contractor. The KO will designate the 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 KO.

The Contracting Officer’s Representative The contracting officer’s representative (COR) is designated in writing by the KO 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 KO 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.

IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in Table 1, “Performance Requirements Summary.” Failure to meet the required service or performance level will require a contractor provided performance improvement plan.

METHODOLOGIES TO MONITOR PERFORMANCE

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 |X| Random monitoring which shall be performed by the COR on deliverables noted below.

AND

|X| Annual/Instant Customer Feedback – The COR shall solicit feedback from those within the code who receive the services provided by the contractor.

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 KO or 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, and be forwarded to the COR using the Customer Feedback in Table 2.

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

QUALITY ASSURANCE DOCUMENTATION

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

Monitoring Documents The government’s QA surveillance will be accomplished by the COR pursuant to Table 1. The contractor will be notified by the COR via email if minimum quality standards are not met. The emails 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 also use the Customer Feedback form attached to this QASP for annual and/or instant customer feedback.

The COR will retain a copy of all completed surveillance and copies of the contractors submitted documents and upload them annually into the online COR document repository.

ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

Determining Performance Government shall use the monitoring methods cited to determine whether the performance standards 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.

Reporting Annually, the COR will prepare a written report summarizing the overall results of the quality assurance surveillance of the contractor’s performance.

Reviews and Resolution The COR may require the contractor’s project manager, or a designated alternate, to meet with the COR and other 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:

· performance assessment 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

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

The COR and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to performance requirements should be clearly documented and will be incorporated as a contract modification at the convenience of the Contracting Officer.

Table 1: PERFORMANCE REQUIREMENTS SUMMARY

Required Services (Tasks) Performance Standards Acceptable Quality Levels

of Surveillance Incentive

Data Item is provided on time and free of errors.

The report must contain all required sections and data elements as specified in the CDRL.

The data and information presented must be factually correct and verifiable.

The report must be submitted IAW the associated CDRL. Submissions after this date are considered late.

The report must address all sections outlined in the CDRL will be rejected.

All quantitative data must have an accuracy of 98% or greater. More than 2% variance from verifiable source data may trigger a rejection.

Option Exercise

Data Item is provided on time and free of errors.

The report must be submitted IAW the associated CDRL. Submissions after this date are considered late.

The report must address all sections outlined in the CDRL will be rejected.

All quantitative data must have an accuracy of 98% or greater. More than 2% variance from verifiable source data may trigger a rejection.

Option Exercise

Data Item is provided on time and free of errors.

Submitted no later than the date specified on the DD Form 1423. Late submission will not be granted without prior approval from the Contracting Officer.

The report must be 100% complete. Any missing sections or data will result in immediate rejection. All appendices, references, and financial summaries must be included.

Data must exhibit 98% accuracy when audited against source data. The report must include a data validation statement certifying the methods used to ensure accuracy and traceability of all presented figures.

Option Exercise

Staff Turn Over (after 30 day transition in)

Option Exercise

Contract personnel resumes

CPARS

Contract personnel resumes

CPARS

Table 2: CUSTOMER FEEDBACK

NAME:

CODE:

EMAIL ADDRESS:

SURVEILLANCE PERIOD:

CURRENT YEAR OF CONTRACT: (BASE, OPTION I, ETC)

CURRENT CONTRACT PERIOD:

1. During the surveillance period above, the contractor is performing:

|_| Above the minimum performance level as specified in the PWS. See additional items below.

|_| At the minimum performance level as specified in the PWS.

|_| Below the minimum performance level as specified in the PWS. See additional items below.

2. If the contractor is performing above the minimum performance levels as specified in the PWS, include a list of tasks performed.

ENTER HERE

3. If the contractor is performing below the minimum performance levels as specified in the PWS, include a list of tasks performed.

ENTER HERE

4. Thank you for your feedback. Please send this form to the COR via email.