N42158-17-R-0001_Attachment_7_QASP.pdf

For Information Purposes Only.

This Quality Assurance Surveillance Plan is not part of the Request for Proposal or Invitation for Bids nor will it be made part of any resulting contract.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

NNSY PRODUCTION SUPPORT TOUCH LABOR

INDEFINITE DELIVERY/INDEFINITE QUANTITY

Issued February 17, 2017

TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Contracting Officer’s Technical Representative

2.3 Cost Monitor

2.4 Project Manager

2.5 Technical Point of Contact

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2: NORFOLK NAVAL SHIPYARD SURVEILLANCE REPORT FORM

ATTACHMENT 3: DOCUMENTATION OF POOR PERFORMANCE

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the statement of work (SOW) entitled NNSY FY18 PRODUCTION SUPPORT TOUCH LABOR INDEFINITE DELIVERY/INDEFINITE QUANTITY (IDIQ). This plan sets forth the procedures and guidelines Norfolk Naval Shipyard (NNSY) Contracting Officer’s Representative (COR), Technical Point of Contact (TPOC), Project Manager (PM), and Cost Monitor (CM) will use in ensuring the required performance standards or services levels are achieved by the Contractor.

1.1 Purpose

1.1.1 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 SOW and the Contractor’s quality control plan (QCP), and to ensure that the government pays only for the level of services received.

1.1.2 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.

1.2 Performance Management Approach

1.2.1 The SOW 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 NNSY COR/TPOC/CM/PM 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.

1.2.2 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.

1.3 Performance Management Strategy

1.3.1 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 (QCP). 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 SOW. The Contractor will develop and implement a performance management system with processes to assess and report its performance to the COR. 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. This QASP enables the government to take advantage of the Contractor’s QC program.

1.3.2 The COR, CM, and KO will monitor performance and review performance reports furnished by the contractor to determine how the Contractor is performing against communicated performance objectives. The government will make determination regarding incentives based on performance measurement metric data and notify the Contractor of those decisions. The Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2 ROLES AND RESPONSIBILITIES

2.1 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 NNSY COR and the contractor. The KO will designate one full-time 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.

2.2 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 maintaining various QA forms of 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.

2.3 Cost Monitor

The Cost monitor (CM) tracks receipt of Contractor bi-weekly cost reports for completeness and accuracy. In addition the Cost Monitor provides Production Surveillance by performing the following: Track and document damaged equipment, damaged material, and rework caused by Contractor deficiencies as identified from Corrective Action Requests, "One Liners", production meetings, and ship/shop visits. Perform and document manpower checks on ships/shops for production efficiency, over or under manning of jobs.

Throughout contract performance, the Cost Monitor at the work site shall maintain written records of deficiencies and budget of Contractor work progress and accomplishment. The CM will reside in the Contracting Department (C400).

2.4 Project Manager

The Project Manager (PM) is designated in writing by the customer (NNSY) to oversee and assist in management of the contract. PM has the decision authority for the customer pertaining to matters related to the contract. The project manager plans, oversees, and documents all aspects of the specific project. The Project Manager work closely with the Contracting Officer, COR, TPOCs, and Cost Monitor to make sure that the scope and direction of each project is on schedule and performing adequately. The Project Manager also works closely with the shops and other departments requiring or providing project support. The Project Manager will reside in the Production Resources Department (C900R).

2.5 Technical Point of Contact

The Technical Point of Contact is designated in writing by the PM to assist in management of the contract. TPOC personnel provide assistance to a COR and are considered technical experts required for successful oversight of contractor performance. TPOC may assist COR in administration, oversight and performance assessments of the contractor. Primary TPOCs will reside in the Production Resource Department (C900R). Assistant/alternate Technical Point of Contacts (ATPOC) will reside within the Production departments (C920, C930, C950, C960, C970, C740). Primary TPOCs will have the responsibility for maintaining contractual records and documentation.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the SOW and in Attachment 1, “Performance Requirements Summary.”

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 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:

Random monitoring, which shall be performed by various government representatives including but not limited to COR, CM, TPOCs.

100% Inspection – Each month, the COR shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

Periodic Inspection – Various government representatives including but not limited to COR, CM, TPOCs perform the periodic inspection on a monthly basis.

4.2 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 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, must be signed, and must be forwarded to the COR. The COR will accept those customer complaints and investigate using the Documentation of Poor Performance, identified in Attachment 3.

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

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance is structured to allow the Contractor to manage how the work is performed.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

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

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by various government representatives including but not limited to COR, CM, TPOCs, will be reported using the monitoring forms in Attachments 2 and 3. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required service levels are being achieved.

5.2.1 The COR will retain a copy of all completed QA surveillance forms.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 Government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs 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.

6.2 Reporting

6.2.1 At the end of each month, the NNSY COR will prepare a written report summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Attachment 2), will become part of the QA documentation.

It will enable the government to demonstrate whether the Contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

6.3 Reviews and Resolution

6.3.1 The NNSY COR may require the contractor’s project manager, or a designated alternate, to meet with the KO and other government IPT 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:

Monthly performance assessment data 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

Issues arising from the performance monitoring processes

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

6.3.3 The KO, COR, TPOC PM and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the convenience of the PCO/ACO.

C900 Production Resource Officer Date C400 Contract Officer Date

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

SOW Task

Area

Required Services

(Tasks)

Performance

Standard

Acceptable Quality

Level Methods of Surveillance

2.9.1.1.4, 6.2.1

& 9.0

Training Plan

Training Plan for PFAS, Confined/

Enclosed Space

Entry, and

Respirator programs;

Contractor

Heavy Metal

Plan; Training

Plan for each

Labor Category qualifications

Submit a copy of training plan for

Personal Fall Arrest

System (PFAS), Confined/Enclosed

Space Entry, Respirator programs and Heavy Metal

Plan.

Submit a training plan that depicts the

Contractor’s plan for ensuring adequately trained and prepared employees.

Documents are technically accurate and grammatically correct.

Submission in accordance with

CDRL, Data Item

No. A001

Documentation must be accepted by NNSY Code

106 as to meeting OSHA requirements.

Documentation requires no more than two (2) review/comment/approval cycles, to meet acceptance.

100% completed by due date.

Government shall receive and review at time of proposal.

Government oversight of review/comment/ approval cycle.

Inspection Annually or to validate customer complaint by COR.

6.2.2

Employee

Resource

Management and Skills

Tracker

Submit updated

Skills Tracker sheet at a maximum of weekly intervals;

template provided electronically by

NNSY TPOC at time of award.

Submission in accordance with

CDRL, Data Item

No. A002

Documentation requires no more than one (1) review/comment/approval

100% completed by onboard date.

100% review and file at time of receipt.

Inspection upon receipt by

TPOC.

6.2.3

Qualification

Records

Submit valid

Qualification

(training and medical) records for each contracted personnel expected to perform on this contract on company letterhead.

Submission in accordance with

CDRL, Data Item

No. A003

Documentation is accurate, complete and concise.

Government oversight of

Inspection upon receipt and as required by TPOC.

6.2.4

Security

Indoctrination

Training and

Clearance Form

Status

Submit security clearance validation information for contracted employees no later than one (1) week prior to badging or onboarding event.

Submission in accordance with

CDRL, Data Item

No. A004

Documentation is

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

COR.

Area

Performance

Objective

Performance

Standard

Acceptable Quality

Level

Quality Assurance

Surveillance Plan Typical

Monitoring Methods

6.2.5

Attendance

Reports

(Daily &

Weekly)

Submit attendance reports of onboard contractor employees daily and weekly.

Submission in accordance with

CDRL, Data Item

No. A005

Documentation is

100% file.

Inspection by TPOC.

Weekly for invoicing by

COR

6.2.6

Status Reports with Metrics

Deliver Weekly, Monthly and

Quarterly status reports/briefs containing TL program metrics.

Documents are technically accurate and grammatically correct.

CDRL, Data Item

No. A006

Documentation requires no more than two (2) review/comment/approval

Government oversight of

Inspection

Weekly/Monthly/Quarterly by COR/TPOC.

6.2.7

Key Personnel

Resumes

Submit resumes of identified Key

Personnel on contract.

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.

Submission in accordance with

CDRL, Data Item

No. A007

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

TPOC via COR.

Area

Performance

Objective

Performance

Standard

Acceptable Quality

Level

Quality Assurance

Surveillance Plan Typical

Monitoring Methods

6.2.8

Manning

Forecast

Submit weekly manning forecast of contractor employees’ available to onboard at scheduled start date.

Submission in accordance with

CDRL, Data Item

No. A008

Documentation is

Inspection upon receipt by

TPOC via COR.

6.2.9

Fully Trained

Employees

Provide NNSY with highly qualified marine trades personnel that perform IAW C-9.3.

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

Onboarding contractor personnel shall be able to successfully accomplish Skills

Validation

(normally written exam) and

Proficiency

Demonstration

(hands-on practical) conducted by

NNSY.

Minimum score will vary among trade skills.

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

90% of attempts must be successful.

Government Continuous

Training Development

(CTD) oversight of approval cycle.

Inspection as required by

TPOC.

6.2.10

Shipyard

Mandatory

Annual Training

Sign-In Sheet

Submit Shipyard

Mandatory Annual

Training Sign-In

Sheet containing contractor employee’s signature for completing mandatory shipyard training (e.g., IT, Security, Safety related).

The Sign-In Sheet shall be delivered to

NNSY by 12 noon the Thursday prior to onboarding.

Onboarding contractor personnel shall receive the

Shipyard Mandatory

Annual Training prior to onboarding or performing work.

The Contractor shall administer the training via the CD containing Shipyard mandatory Annual

Training provided by NNSY prior to any contractor employee onboarding.

CDRL, Data Item

No. A008

Mandatory training shall be received / accomplished prior to onboarding or performing work.

Shipyard Mandatory

Annual Training is valid for one (1) year from dated signature.

100% of mandatory training received with certifying signatures and all fields accurately completed on Sign-In

Sheet.

100% receipt, file and inspection TPOC via COR.

4.0

Status Meetings

Support and attend

NNSY Weekly, Monthly and

Quarterly Status

Meetings.

The Project

Manager and/or On-site Supervisor(s) shall attend all scheduled status

100% attendance as required/scheduled.

Government oversight of

Inspection by COR/TPOC.

meetings. The

Program Manager shall attend, at a minimum, all

Quarterly Status

Meetings.

ATTACHMENT II

N O F O R N / F O U O

Norfolk Naval Shipyard Surveillance Report Form

Surveillance Program:

Surveillance Org.: Serial No.: Date/Time:

Work Observed: Follow-Up

JO of work observed KEOP Location: Associated Report:

SubSafe:

Nuclear: Rad: Rx. Serv.

Project:* Ship/Facility/Crane: Off Yard:

*Leave blank if the JO is filled in

Item No.:

Level:

Responsible Code/Shop:

Program/ Process:

Metric Cat/Subcat:

Process Improvement:

Requirement(s):

Functional Area(s):

DESCRIPTION:

Person(s) Contacted: Phone:

Observed By: Phone:

NO RESPONSE TO THIS SURVEILLANCE IS REQUIRED.

. CHECK THE CORRECT CLASSIFICATION ON HEADER & FOOTER.

FOUO: For Official Use Only NOFORN: This document is subject to special export controls and each transmittal to foreign governments or foreign nationals may be made only with prior approval of the Naval Sea Systems Command.

N O F O R N / F O U O

ATTACHMENT III

DOCUMENTATION OF POOR PERFORMANCE

DATE

FROM: ____________________________________________________

NNSY SUPERVISOR'S NAME SHOP

TO: COR VIA CODE 900R

SUBJ: DOCUMENTATION OF POOR PERFORMANCE

CONTRACTOR EMPLOYEE: _________________________________________

CONTRACTOR SUPERVISOR: _________________________________________

CONTRACTING COMPANY: _________________________________________

SHOP: _________________ BADGE #: _______________

DATE OF DOCUMENTATION: _________________________

DATE OF INCIDENT: _________________________________

DESCRIPTION OF INCIDENT:

SIGNATURE OF NNSY SUPERVISOR