Attachment F - QASP.pdf

Attachment F Quality Assurance Surveillance Plan

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QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Professional Maritime Training in support of Foreign Military Sales

Issued October 29, 2021

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TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

2 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

2.2 Contracting Officer’s Representative

2.3 Contract Specialist

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 Inspection Forms

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

Attachment A: Performance Requirements Summary Attachment B: Quality Assurance Monitoring Forms

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QUALITY ASSURANCE SURVEILLANCE PLAN

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Statement of Work (SOW) entitled Professional Maritime Training – Foreign Military Sales. This plan sets forth the procedures and guidelines Naval Surface Warfare Center, Corona Division (NSWC Corona) 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 Per NAVSEAINST 4200.19A, identify the methods that will be used to monitor Other Direct Cost

(ODC) expenditures if the ODC Tripwire is applicable.

1.1.3 This QASP defines the roles and responsibilities of all participating members, 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 inspection results.

1.2 Performance Management Approach

1.2.1 This QASP will define the performance management approach taken by NSWC Corona to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives 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 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.

2 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the Contracting

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Officer's Representative (COR) and the contractor. 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 CO.

2.2 Contracting Officer’s Representative

The COR is designated in writing to act as the Contracting Officer’s 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 contract 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 CO for action. The COR will have the responsibility for completing QA inspection 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.

2.3 Contract Specialist

The Contract Specialist (CS) is an individual assigned by the CO to assist in the daily administration of the contract. The CS may assist in providing input to the CO and COR on the quality of performance in contract management areas.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

The required performance standards and/or quality levels are identified 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 methods of surveillance are provided in Attachment 1, Performance Requirements Summary.

In evaluating the quality of the contractor’s performance, the following performance ratings will be used.

Performance

Rating

Criteria

Exceptional Performance meets contractual requirements and exceeds many to the

Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective.

Very Good Performance meets contractual requirements and exceeds some to the

Government’s benefit. The contractual performance of the element or sub-element being assessed 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 sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

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Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed 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.

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 shall be documented using the Customer Complaint Report template, to be considered valid, and must clearly detail the nature of the complaint, must be signed, and must be forwarded to the

COR. The COR will accept the customer complaint reports and investigate the complaint.

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 identify the lowest level of contractor performance deemed to be acceptable by NSWC Corona.

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 communicated in Attachment 1 and are assessed using the methods of surveillance shown in Attachment 1.

5.2 Inspection Forms

The government’s QA surveillance will be reported using the Attachment 2 - Quality Assurance Monitoring

Form template. This report when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

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

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6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 Government shall use the methods of surveillance cited to determine whether the performance standards/service levels/AQLs have been met. The COR may invite the contractor to submit a self-assessment, if submitted the COR shall consider the contractor’s input when conducting the surveillance.

6.2 Reporting

6.2.1 After completing a quality assurance surveillance, the COR will provide a copy of the Quality

Assurance Inspection Report template to the CO and contract specialist. This document will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards.

6.3 Reviews and Resolution

6.3.1 If the contractor has not met the minimum requirements, the COR shall document the finding(s) using the Corrective Action Report template and schedule a meeting with the CO and CS to discuss the situation and determine a course of action. This may require the contractor to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

6.3.2 The COR 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 shall be approved by the CO before being implemented.

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Attachment A: Performance Requirements Summary

Requirements Standards/AQLs Inspections Ratings

Contractor will guarantee confirmed seats/quotas for published scheduled courses

Contractor makes training seats available to incoming IMS students

AQL: >95%

100% Inspection by COR apply to all

Standards.

Please see

QASP

section 4.1.

Deliverables:

A0001 – Presentation Material

A0002 – Conference Agenda

A0003 – Contractor’s Progress and Status

Report

A0004 – Training/Instructional Deliverables

A0005 – Student Status and Testing Report

Adhoc/Refresher customer identified training courses to convene with a minimum notice to the vendor of 15 working days in accordance with Section C 3 - 5

Contractor makes training seats available to incoming IMS students

AQL: >95%

100% Inspection by COR apply to all

Standards.

Please see

QASP

A0003 – Contractor’s Progress and Status

Report

A0004 – Training/Instructional Deliverables

A0005 – Student Status and Testing Report

Instructor performance reviews via student inputs (critiques) following training completion, in accordance with Section C 3 -

Critiques reviews indicate students are academically engaged and challenged

AQL: >70%

Periodic Reviews by COR apply to all

Please see

QASP

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A0003 – Contractor’s Progress and Status

Report

A0004 – Training/Instructional Deliverables

A0005 – Student Status and Testing Report

Contractor Installation – classrooms, labs, trainers and common areas are maintained in a safe, clean and organized manner in accordance with Section C 3 - 5

Contractor maintains facility in a clean and organized manner

AQL: 100%

Periodic Reviews by COR apply to all

Please see

QASP

A0003 – Contractor’s Progress and Status

Report

A0004 – Training/Instructional Deliverables

A0005 – Student Status and Testing Report

Reports and Data in accordance with

Section C 3 - 5

Reports are complete, accurate, and are provided on or before the required date

AQL: 95% acceptable on first submission to Government; 100% acceptable on subsequent submissions

100% Inspection by COR apply to all

Please see

QASP

A0003 – Contractor’s Progress and Status

Report

A0004 – Training/Instructional Deliverables

A0005 – Student Status and Testing Report

Invoicing – Monthly invoices per contract procedures are timely and accurate

Reports are complete, accurate, and are provided on or before the required date

AQL: 100%

100% Inspection by COR apply to all

Standards.

Please see

QASP

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A0003 – Contractor’s Progress and Status

Report

Overall Contract Performance –

Performance of sufficient quality to earn a

Satisfactory (or higher) rating in the COR’s annual reports on Contractor Performance

All performance elements rated Satisfactory or higher

AQL: 100%

100% Inspection by COR apply to all

Standards.

Please see

QASP

A0003 – Contractor’s Progress and Status

Report

A0004 – Training/Instructional Deliverables

A0005 – Student Status and Testing Report

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Attachment B: Quality Assurance Monitoring Forms

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______%

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

OVERALL RATING:

PREPARED BY: ___________________________________ DATE: _________________