N3904026R0002 Attachment 4 QASP and Matrix.pdf

Quality Assurance Surveillance Plan Contracting and Logistics Department

Portsmouth Naval Shipyard Kittery, ME 03904

QUALITY ASSURANCE SURVEILLANCE PLAN

For Receipt Inspectors Contract Number: N3904026TBD

Contract Description: Receipt Inspectors within the QA Department Contractor’s name: (TBD) (hereafter referred to as the contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

a) What will be monitored?

b) How monitoring will take place?

c) Who will conduct the monitoring?

d) How monitoring efforts and results will be documented.

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.

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 shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the Contracting Officer (KO) and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

52.246-5 Inspection of Services – Cost-Reimbursement

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

a) Contracting Officer - The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract/task order terms, and safeguard the interests of the United States in the contractual relationship. The KO shall also assure that the contractor receives impartial, fair, and equitable treatment under this contract/task order. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned KO:

Name/Title: Anthony Barker Telephone: (207) 438-1946 Email: anthony.j.barker24.civ@us.navy.mil

b) Contract Specialist (CS)

Assigned CS:

Marilyn Fletcher Contract Specialist Code 410.1 Portsmouth Naval Shipyard

(207) 438-6349 Marilyn.g.fletcher2.civ@us.navy.mil

c) Contracting Officer’s Representative - The COR is responsible for technical administration of the contract/task order and shall ensure 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. The COR’s specific duties are delineated in the COR Appointment Letter.

Assigned COR:

Name/Title: Nick Gilman Telephone: (207) 994-0693 Email: nicholas.t.gilman.civ@us.navy.mil

3. CONTRACTOR REPRESENTATIVES:

See the contract for the current contractor’s representative. TBD

4. PERFORMANCE STANDARDS:

Performance standards define required levels of service. The Government performs surveillance to determine if the contractor exceeds, meets, or does not meet these standards. Performance standards and associated Acceptable Quality Levels (AQLs) are defined in the Performance Requirements Summary Table (PRS Table) attached to the contract/task order

5. METHODS OF QA SURVEILLANCE:

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP. The surveillance method applicable to each performance standard is listed in the PRST, attached to the contract/task order.

Regardless of the surveillance method, the COR shall always contact the contractor's representative when a defect is identified and inform the representative of the specifics of the problem. The COR shall also document any identified defects in the COR’s Status Report to the KO. The COR shall be responsible for monitoring the contractor’s performance in meeting performance standards/AQLs.

a) DIRECT OBSERVATION: Includes on-site inspections and can be performed periodically or through 100% surveillance.

b) PERIODIC INSPECTION: Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled: weekly, monthly, or unscheduled, as required.

c) USER SURVEY: Combines elements of validated user complaints and random sampling. Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory. May also generate periodic and 100% inspections.

d) VALIDATED USER/CUSTOMER COMPLAINTS: Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated. Highly applicable to services provided in quantity and where quality is highly subjective.

e) 100% INSPECTION: Evaluates all outputs. Most applicable to small quantity, but highly important services. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security.

f) PERIODIC SAMPLING: Variation of random sampling. However, sample is only taken when a deficiency is suspected. Good follow-up to MIS analysis. Sample results are applicable only for the specific work inspected. Since sample is not entirely random, it cannot be applied to total activity performance.

g) RANDOM SAMPLING: Designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample. Highly recommended for large quantity repetitive activities with objective and measurable quality attributes.

h) PROGRESS OR STATUS MEETINGS.

i) ANALYSIS OF CONTRACTOR’s PROGRESS REPORTS: Evaluate cost, schedule, etc.

j) PERFORMANCE REPORTING: Evaluate metrics for a specific time period. Develop metrics or use metrics found in MIS.

Surveillance results may be used as the basis for actions (to include payment deductions) against the contractor.

In such cases, the Inspection of Services clause in the contract/task order is the authority for the KO’s actions.

6. RATINGS

Metrics 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 following ratings shall be used:

Exceptional - Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good - Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or subelement being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor was effective.

Satisfactory - Performance meets contractual requirements. The contractual performance of the element or subelement contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Marginal - Performance does not meet some contractual requirements. The contractual performance of the element or subelement being evaluated reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory - Performance 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(s) for which the contractor’s corrective actions appear or were ineffective.

7. DOCUMENTING PERFORMANCE.

a) GENERAL DOCUMENTATION.

The COR shall document performance in the COR Status Report to the KO, and shall document performance annually in the Contractor Performance Assessment Ratings System (CPARS).

b) MARGINAL / UNSATISFACTORY PERFORMANCE.

When unacceptable performance occurs, the COR shall inform the KO and the contractor within 5 days.

This will normally be via email unless circumstances necessitate verbal communication. In any case the COR shall document the discussion, place it in the COR File, and include it as an attachment to the COR’s Status Report.

When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR) and send it to the KO for approval. Once approved, the COR shall send the CDR to the contractor's representative with a copy to the KO. The CDR will be completed on a C400 CDR Template.

The contractor shall acknowledge receipt of the CDR in writing. The CDR shall 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 shall also state how long after receipt the contractor has to present this Corrective Action Plan to the COR. The Government shall review the contractor's Corrective Action Plan to determine acceptability.

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

8. EVALUATION AREAS

During performance, the COR will assess the following evaluation areas:

1) Technical/Quality of Product or Service (Quality)

2) Cost Control (Not required for Fixed Price type contracts/task orders)

3) Schedule/Timeliness (Schedule)

4) Management or Business Relations (Management)

5) Small Business Subcontracting (Only applicable to requirements that contain FAR 52.219-9 Small

Business Subcontracting Plan)

6) Regulatory Compliance

7) Other (Specify up to three additional evaluation areas that are unique to the contract/task order, or that cannot be captured elsewhere in the evaluation. For example, if contract/task order includes award fee, a separate evaluation area should be included for award fee)

9. RATINGS

The COR shall use the ratings to evaluate and document performance as defined in the Department of Defense (DoD) Guidance for the Contractor Performance Assessment Reporting System (CPARS).

10. FREQUENCY OF MEASUREMENT.

During contract, the COR shall take periodic measurements, as specified in the AQL column of the PRST, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

SOW Task Area Required Services (Tasks) Performance Standard Acceptable Quality Level Methods of Surveillance

Training Plan

Submit a copy of training plan for Personal Fall Arrest System (PFAS), Confined/Enclosed Space Entry (CESEP) and Respirator programs.

Submit a training plan and Continuing Training Program that depicts the Contractor’s plan for ensuring adequately trained and prepared employees for each Labor Category qualification.

Documents are technically accurate and grammatically correct.

In accordance with requirements outlined in the SOW Section C-9.0.

Documentation must be accepted by Portsmouth Naval Shipyard

(PNS) C900T and/or C106.

100% completed by RFP due date.

Within thirty (30) days of updating

Government shall receive and review at time of proposal.

Inspection Annually or to validate customer complaint by Contracting

Officer's Representative (COR).

Fully Trained Employees

The Contractor shall deliver fully trained, trade-specific, proficient employees to support ship repair work at PNS.

Develop and sustain a dynamic workforce that is agile and responsive in a dynamic workload and task environment.

The Contractor will deliver the employees in an orderly and timely fashion as outlined by this contract’s resultant Task Orders

(TO).

Proficiency shall be consistent with the general and Trade Specific requirements of section C-9.3.

Government Continuous Training Development (CTD) oversight of approval cycle.

Inspection as required by Technical Point of Contact (TPOC).

Qualification/Training Records

The Contractor shall submit the Certification of Qualification Records on company letterhead no later than seven (7) days after receiving a TO.

Submit valid Qualification (training and medical) records on company letterhead via email for each employee expected on this contract no later than seven (7) days prior to badging or onboarding.

Documents are technically accurate and grammatically correct.

Documentation is accurate, complete, concise and legible.

Submitted to PNS C420, C900R & C900T.

100% completed by due date.

Government oversight of review/comment/ approval cycle.

Inspection upon receipt and as required by C900R.

On-Site Supervision

The contractor shall provide adequate supervision to oversee the assigned personnel and ensure the proper execution of the assigned tasks.

Resolve contractor personnel problems (e.g., conflict resolution, tardiness or administrative actions) related to the contractor’s employees.

Maintain a Daily Supervisory Log (DSL) reporting the results of deck plate surveillances.

The Contractor’s Supervisor(s) must be readily available to the workforce during work hours of the shift that the employees are assigned.

The contractor’s supervisor(s) will manage worker assignments to ships, shifts of work, discipline, safety, rewards, promotion, attendance, time-off (i.e. sick and/or annual leave) and work performance.

Documentation is accurate, complete, concise and legible.

Supervisors will spend a considerable amount of their work day on the deck plates.

Government oversight of review/comment/ approval cycle.

Inspection by COR/TPOC.

Shipyard Access/Security Indoctrination Training and Clearance

Form Status Deliver Employees with appropriate security clearances.

Submit Visit Request via JPAS within seven (7) days of TO award.

Submit Visit Request via JPAS within seven (7) days prior to badging or onboarding event.

Documentation is accurate, complete, concise and legible.

100% completed by due date.

Government oversight of review/comment/ approval cycle. In accordance with agreed upon schedule.

Inspection upon receipt by 900R.

SOW Task Area Required Services (Tasks) Performance Standard Acceptable Quality Level Methods of Surveillance

Status Meetings Support and attend Weekly/Bi-weekly, Monthly and Quarterly Status Meetings.

Attendance is required, via phone or in person, by employees of the contractor who have the ability to make business decisions on behalf of the contractor, are able to speak to the current and forecasted financial status of the contract, and knowledgeable to the day to day operations of the contract.

The Program Manager shall attend, at a minimum, all Quarterly Status

Meetings.

The contractor is required to prepare the agenda for the weekly status meetings.

Contractor provides PNS with meeting minutes.

100% attendance as required/scheduled.

Weekly/Bi-weekly agendas are accurate, complete, concise and legible.

100% completed and provided twenty four (24) hours prior to the scheduled meeting.

Meeting minutes provided within three (3) business days of the meeting.

Government oversight of review/comment/ approval cycle.

Inspection by COR/TPOC.

Employee Resource Management and Skills Tracker

The Contractor shall maintain employee training records and provide updates when required.

In the event that an employee loses a qualification/certification, the

Key Person shall report the occurrence to PNS.

Documentation is accurate, complete, concise and legible.

Submitted to the Contract Officer (KO), COR, and/or TPOC with the training record immediately after discovery of losing a qualification/certification.

Inspection upon receipt by TPOC.

Employee Time Tracking (Daily & Weekly)

Maintain accurate daily time tracking of workers.

Submit attendance reports of onboard contractor employees daily and weekly.

Documents are technically accurate and grammatically correct.

Submitted weekly during Weekly Status Reports with 100% accountability of workers.

All attendance reports should reflect the work week as Monday -

Sunday.

Documentation is accurate, complete, concise and legible.

Submitted to PNS C420 & 900R.

Review for accuracy.

Status Reports with Metrics

Deliver Weekly, Monthly and Quarterly status reports/briefs containing Touch Labor program metrics.

All status reports and metrics should reflect the work week as Monday - Sunday.

Documents are technically accurate and grammatically correct.

Documentation is accurate, complete, concise and legible.

100% completed by due date.

Inspection Weekly/Monthly/Quarterly by TPOC and/or COR.

SOW Task Area Required Services (Tasks) Performance Standard Acceptable Quality Level Methods of Surveillance

Key Personnel

Submit resumes of identified Key Personnel on contract included with the Contractor's proposal.

Must have documented work history proving overall technical competence and who possess knowledge of trade theory and up-to-date trade practices in the ship repair industry.

Program and Project Manager must have related trade or industrial school education and ten (10) years managerial experience in repair and maintenance efforts onboard US Navy ships.

Supervisors must have related trade or industrial school education and five

(5) years supervisory experience in repair and maintenance efforts onboard

US Navy ships in the Trade Skill they are supervising.

Resumes are required to be submitted no later than seven (7) week prior bringing personnel onto the contract.

Documents are technically accurate and grammatically correct.

Documentation proves technical competence and required knowledge of up-to-date trade practices in the ship repair industry.

Government shall receive and review at time of proposal.

Subsequent submissions shall be delivered as new key personnel are proposed to this contract in the timeframe required.

Contract Personnel Tracker The Contractor shall provide an updated, completed copy of the Contract Personnel Tracker.

Contractor documents a running list of all past, present, and future personnel on the contract.

Documentation is accurate, complete, concise and legible.

100% completed by due date.

Provided within twenty four (24) hours of personnel leaving the contract, and minimum five (5) business days prior to personnel joining the contract.

Inspection upon receipt by the TPOC and/or COR.

Onboarding

Contractor shall ensure employees complete PNS-provided Familiarization Briefings and Learning Center Proficiency Checks.

Familiarization Briefings consist of (1) shipboard alarms and emergency indicators, (2) danger or caution tags, or other unique safety signage, (3) technical work instruction and drawing formats, (4) Quality Assurance forms, (5) protocols for entering data and signatures in formal work instructions, (6) protocols for using calibrated instruments and recording data and (7) Hazardous Material Controls and Handling.

Proficiency Checks validate that the contractor’s workforce has the requisite knowledge, proficiency and skill to accomplish the tasks prescribed in this order.

Provide documentation of PNS Training and Proficiency Checks.

Proficiency Check minimum score will vary among trade skills.

Identified employees receive 100% of the Familiarization Briefings.

All employees pass 100% of applicable Learning Center

Proficiency Checks.

Attempt rate shall not require more than two (2) attempt for successful completion for Proficiency Checks.

90% of Proficiency Check attempts must be successful.

Government oversight of review/comment/ approval cycle.

Inspection by COR/TPOC.