Attachment_0007_Final IT Support Services QASP.pdf

Quality Assurance Surveillance Plan for The Office of the Judge Advocate General (OTJAG)

Information Technology Division (ITD)

MAIN INFORMATION TECHNOLOGY (IT) SUPPORT

SERVICES

Prepared By:

2/25/2020

X Daniel Weekes Contracting Officer Representative OTJAG ITD Signed by: WEEKES.DANIEL.R.1187789431

SOURCE SELECTION INFORMATION – SEE FAR 2.101 AND 3.104

TABLE OF CONTENTS

1. Overview

2. Description of Services

3. Roles and Responsibilities

4. Contract Quality Requirements

5. Government Surveillance

6. Non-conforming Performance

7. Data Analysis

8. Acceptance of Services

9. Monthly COR Activity Report

10. Contractor Manpower Reporting (CMR)

11. Contractor Performance Assessment Reporting System (CPARS)

12. Quality Assurance Surveillance File

13. Record Retention

14. QASP changes

Attachment 1 – Performance Requirements Summary (PRS)

Attachment 2 – Inspection Checklist(s)

Attachment 3 – Monthly COR Report Sample

Quality Assurance Surveillance Plan The Office of the Judge Advocate General (OTJAG)

Information Technology Division (ITD) Main Information Technology (IT) Support Services

1.0 INTRODUCTION.

1.1 Purpose: The purpose of the Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to monitor and evaluate Contractor performance for the requirements in the Performance Work Statement (PWS). It is designed to provide an effective surveillance method by monitoring Contractor performance for each listed performance objective in the Performance Requirements Summary (PRS). This plan will enable other qualified and authorized Government employees to perform surveillance should the need arise. This QASP also provides the basis for determining what action(s) will be recommended to the Procuring Contracting Officer (PCO) for deficient Contractor performance and payment.

1.1.1 The QASP provides a systematic method to evaluate the services the Contractor is required to furnish. The QASP is based on the premise that the Government desires to maintain a quality standard for the full range of IT Support Services, including Application Support/Maintenance, Strategic Program Management, Web Site Content Maintenance, Network Operations Management, Help Desk Support Services, Emergency Response, and Security/Information Assurance Assistance.

1.1.2 The QASP has been developed by the requiring activity. The QASP defines the essential roles and responsibilities of the integrated product team. The QASP sets forth performance standards, evaluates Contractor performance against those standards and establishes corrective action procedures as appropriate. It is designed to provide direction to personnel performing contract surveillance activities.

1.2 Performance Management Strategy/Approach: The performance management approach is to control and incentivize Contractor performance based on established methods, procedures and ratings. The approach is described in this section.

1.2.1 The Contractor’s performance is surveyed against the performance metrics in the PRS. The surveillance methodology applied will be specific to the performance metric being monitored (See PRS Chart).

1.2.2 Personnel surveying the contract terms and conditions and PWS requirements will periodically review the QASP throughout the life of the contract. The review will occur bi-annually (April and January) each calendar year through the life of the contract.

1.2.3 The Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2.0 DESCRIPTION OF SERVICES

2.1 Scope of Work. The work for this effort is to be required under the OTJAG ITD IT Support Services effort. Under this effort, the Contractor shall provide a full range of IT Support Services, including Application Support/Maintenance, Strategic Program Management, Web Site Content Maintenance, Network Operations Management, Help Desk Support Services, Emergency Response, and Security/Information Assurance Assistance, in accordance with the Performance Work Statement, and all other terms and conditions.

2.2 Contract. This is a firm, fixed price (FFP) contract. The period of performance is a base year consisting of 12 months plus three option years. The Contractors will be responsible for effectively and efficiently supporting OTJAG ITD in accordance with the PWS requirements.

In addition the Contractor shall submit a total of eight (8) Contract Data Line Items (CDRLs) as required by each report’s frequency block. The Contractor is responsible for maintaining appropriate levels of qualified personnel. A background check will be performed on all personnel prior to commencement of work and in order to obtain a Common Access Card (CAC). Lastly, all Contractor personnel will acquire and maintain the appropriate level of OPSEC training as required by the PWS.

3.0 ROLES AND RESPONSIBILITIES.

3.1 Government. The role of the Government in quality assurance is to ensure the Contractor is performing in accordance with the contract requirements and contract standards are achieved.

3.2 Contracting Officer. The PCO is responsible for monitoring contract compliance, contract administration, cost control and safeguarding the interests of the United States Government in contractual relationships. Only the PCO is authorized to bind the Government and then, only to the extent of the authority entrusted to them through the limitations of their warrant. It shall be noted that the PCO is the final authority for determining adequacy of the Contractor’s performance. Additionally, PCO decisions arising under or relating to the contract are final.

3.2.1 The PCO will designate a Contracting Officer Representative (COR) at the time of award. Any additional representatives, aside from the appointed COR, serving as technical inspectors/acceptors will be designated by the PCO.

3.2.2 At the time of award, the PCO will inform the Contractor of the names, duties, and limitations of authority for all quality assurance personnel assigned to the contract.

3.3 Contracting Officer Representative (COR). The COR is designated in writing by the PCO to act as his or her authorized representative to assist in administering the contract. COR limitations are contained in the written appointment letter. The COR is not empowered to make any contractual commitments, or to authorize any contractual changes on the Government’s behalf. Any changes that may affect contract price, terms or conditions shall be referred to the PCO for action.

3.3.1 The COR is responsible for technical administration of the project and to ensure proper Government surveillance of the Contractor’s performance.

3.3.2 The COR serves as the eyes and ears for the Contracting Officer at the Contractor’s site.

3.3.3 The COR monitors Contractor performance to ensure contract requirements are met for: Performance, Cost, and Schedule.

3.3.4 The COR ensures that contract quality requirements, provisions, standards, and thresholds are defined, practical, enforceable, necessary, and verifiable.

3.3.5 The COR evaluates and documents Contractor performance in accordance with this QASP, PWS and contract requirements.

3.3.6 The COR notifies the Contracting Officer of any significant performance deficiencies using a Contractor Discrepancy Report with supporting documentation.

3.3.7 The COR maintains surveillance documentation.

3.3.8 In coordination with the PCO, the COR may recommend improvements to the QASP and PWS throughout the life of the contract.

3.4 Contract Specialist. The person assigned by the PCO to perform the day-to-day administrative functions of the contract. This is the person that the COR will interact with the most.

4.0 QUALITY REQUIREMENTS.

4.1 Quality Control Program. The Contractor, not the Government, is responsible for management and quality control actions to meet the terms of the contract. Details of these controls will be document (when required) in the Contractor’s Quality Control Program document.

4.2 Level of Performance Evaluation. The Contractor will be evaluated in the following Performance Objective Areas: (1) Complete application development, (2) remote server maintenance and repair, (3) website content maintenance, (4) availability of JAGNET Servers,

(4) help desk support, (5) process requests for system accounts, and (6) emergency response service.

4.3 Timely Feedback to the Contractor. Timely feedback to the Contractor on deliverables that do not meet contract requirements will be provided by the COR in coordination with the PCO, and documented in writing as required. Prompt feedback is essential so the Contractor can develop and implement a corrective action plan. The Contractor’s corrective action must be reported to the COR in coordination with the PCO for approval.

5.0 GOVERNMENT SURVEILLANCE.

5.1 The COR will perform monthly surveillance based on the quality and effectiveness of the Contractor’s data deliverables as well as the services provided. Regardless of the surveillance method, the COR shall always contact the Contractor's quality manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, when designated, shall be responsible for monitoring the Contractor’s performance in meeting specific performance standards. This surveillance is included in monthly COR Reports.

5.2 Surveillance Schedule: The COR will develop a surveillance schedule. Copies of the schedule shall be sent to the contract administrator five calendar days prior to the start of the month. The schedule shall be marked “FOR OFFICIAL USE ONLY”. Changes to the surveillance schedule will be posted and copies sent to the contract administrator. Include documentation regarding reason for changes.

5.3. Surveillance Methods: The below surveillance methods may be used by the Government to evaluate Contractor performance to ensure the Contractor complies with the PWS requirements.

5.3.1. Validated Customer Complaints. Relies on the user of the service to identify deficiencies. This includes observations of unacceptable services, either incomplete or not performed. These are to be reported to the COR. The COR will conduct an investigation to determine the validity of the complaint. If the COR determines the complaint to be valid, the COR will document the findings and notify the customer and the Contractor. The COR will retain the annotated copy of the written complaint for the Government’s files. If the complaint is valid, the Contractor will be given four hours to correct the defect.

5.3.1.1 The COR should inform the customer the approximate time the defect will be corrected and advise the customer to contact the COR if the defect is not corrected. The COR will consider the customer complaint resolved unless notified otherwise by the customer.

5.3.2. The Contractor shall return the written customer complaint document to the COR, completed with the actions taken to correct the defect. The government will retain this document to ensure the Contractor has taken appropriate action(s) to prevent the recurrence of defects. The COR will retain and file the complaint form. At the end of each month, all validated complaints will be counted to determine if performance is satisfactory or unsatisfactory based on the criteria in the Performance Requirements Summary.

5.3.3. Random Sampling: It is designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample. This is usually the most appropriate method for recurring tasks with objective and measurable quality attributes. With random sampling, services are sampled to deter-mine if the level of performance is acceptable. Random sampling works best when the number of in-stances of the services being performed is very large and a statistically valid sample can be obtained. Computer programs may be available to assist in establishing sampling procedures.

5.3.4. Periodic Inspection: These services are monitored monthly. Periodic activities will have a predetermined, specified time frame within which the tasks must be accomplished. Periodic inspection method will be used on specific task from 4.0 through 9.8.

5.3.5. Surveillance Team: The surveillance team consists of the following key players:

Contracting Officer Representative, Technical Representative, Contracting Officer and Contract Administrator.

5.4. Unacceptable Performance: If the number of complaints/defects exceeds the performance threshold for any objective, the COR will determine the possible cause of this unacceptable performance. Government-caused complaints/defects will not be counted against the Contractor. The same applies to any other requirement of the contract when Government-caused complaints/defects are the cause of unacceptable Contractor performance. If the Contractor’s performance is judged unacceptable for any requirement by the COR, the COR will document the discrepancy as a non-conformance and inform the contracting officer (if needed) for resolution. Significant (major non-conformance) performance deficiencies must be submitted to the Contracting Officer using a Contractor Discrepancy Report and include supporting documentation.

5.5. Combat Trafficking in Persons (CTIP). The COR will be vigilant in the visual observation of any signs of employer to employee abuse or coercion on the Contractor’s part that may indicate the practice of Trafficking in Persons. Any suspicious activity will be immediately reported to the Contracting Officer.

5.5.1. To conduct surveillance of CTIP the COR will:

5.5.1.1. Routinely monitor the Contractor’s performance regarding trafficking in persons.

5.5.1.2. Report any observations or indications of CTIP immediately to the PCO before interacting with the Contractor.

5.5.1.3. Document all observations or indications non-compliance.

6.0. DOCUMENTATION REQUIREMENTS.

You will notify the Contractor, in person, each time an unacceptable observation has been recorded and ask the Contractor to correct the problem or re-accomplish the service. All valid non-conformances observed by the Government will be documented! Record the contract requirement, the specific deficiency, the date and time it was discovered, and have the Contractor initial the entry.

Give the Contractor a reasonable suspense date to correct the deficiency. If the Contractor cannot correct the deficiency within the specified time, notify the KO. (Tally Checklist DA Form 5481 http://armypubs.army.mil/eforms/pdf/A5481.PDF may be used for this purpose.)

6.1. Customer Feedback. For customer feedback or complaints it is recommended that the Customer Complaint Record DA Form 5477 https://armypubs.army.mil/ be used. However customer feedback can be in any form, verbal or written but no matter the format the COR will maintain a record of the feedback, positive or negative.

If immediate response to a complaint is required, the COR will provide the response to the requester as soon as practical.

The COR will conduct an investigation to determine the validity of any negative comments received.

If the negative comment is determined not to be valid, if possible, the COR will inform the customer of the reason(s) as soon as practical.

For validated negative comments that are true contractual non-conformances see paragraph 6.

If this non-conformance is a more serious (systemic in nature) deficiency or recurring deficiency that could indicate a trend the COR should see paragraph 6.2.

The COR will follow up with the customer of the corrective action taken by the Contractor, if applicable.

6.2. Contract Deficiency Reports. The COR will report more serious (systemic in nature) deficiencies or recurring deficiencies that could indicate a trend by using the DA Form 5479, Contract Discrepancy Report https://armypubs.army.mil/. The Contract Discrepancy Report will state the Contract Requirement, the specific contract reference and the specific violation

(s) to the requirement. The COR will forward copies of Contract Discrepancy Reports to the KO within one working day. The KO will notify the Contractor and request corrective action to the specific non-conformance, identification of the root cause and corrective action for the root cause with a required suspense date. The KO may require the Contractor to re-perform any services that do not meet contract requirements at no additional cost to the Government.

The Contractor will return a copy of the completed and signed DA Form 5479 along with their Corrective Action Plan (CAP) to the KO for review, approval and inclusion in the contract/order file. The KO should include the COR in the review of the CAP and re-inspection of services that were found deficient to ensure the CAP included adequate root cause analysis, corrective action for the root cause and that it was accomplished in the timeframe agreed upon. The KO and COR will not consider the CDR closed until all deficiencies have been corrected and all agreed upon actions of the CAP have been completed. The Contractor’s failure to follow through and complete corrective actions will be reported immediately to the KO for further action. (Note: if the COR has to repeatedly perform re-inspection there could be a Government re-inspection cost which could be recovered from the Contractor). The COR will also follow-up after the Contractor has completed the corrective action to ensure that the Contractor’s corrective action was sufficient to preclude recurrence.

6.2.1. All government discovered Contractor nonconformances shall be documented at the time of discovery. Documentation will, at a minimum, include the contract and order number, reference to the specific contract requirement, the specific deficiency to the requirement, where it was discovered, the date and time it was discovered, focal point for the Contractor who was notified and suspense date for Contractor response. Nonconformances shall be classified in one of three categories: level I (Minor), level II (Major) or level III (Critical). Written CDRs will be accomplished using the DA Form 5479 CONTRACT DISCREPANCY REPORT https://armypubs.army.mil/. This report will be uploaded to VCE COR at https://vce.army.mil/cor/.

6.2.1.1. Level I (Minor) nonconformance is defined as a nonconformance that is not likely to materially reduce the usability of the supplies or services for their intended purpose, or is a departure from established standards having little bearing on the effective use or operation of the supplies or services. Minor nonconformance usually can be corrected on the spot, where no further corrective action (CA) response is necessary, and can be issued to the contractor either through a verbal or written Contract Discrepancy Report (CDR). However, even verbal CDR(s) are still required to be documented by the government. Verbal Level I CDRs may be issued directly to the appropriate level of contractor management by the Contracting Officer's Representative (COR) if the Contracting Officer (KO) included this in the COR's designation letter. CORs are designated the authority to issue verbal level I CDRs, the CORs will notify the KO when the CDR is issued and document those CDRs in their monthly reports. Written CDRs will be signed and issued by the KO.

6.2.1.2. Level II (Major) nonconformance is defined as a nonconformance, other than critical, that is likely to result in failure of the supplies or services, or to materially reduce the usability of the supplies or services for their intended purpose.

Deficiencies that are recurring (a number of level I nonconformance documented by the government) or for a non-responsive Contractor indicating a trend or failure of the Contractor's quality control can also be classified as a level II CDR. MICC KO will issue all level II CDRs in writing to the appropriate contractor management level in order to emphasize the seriousness of Contractor's failure to comply with requirements and the possible contractual remedies for failing to take appropriate CA.

The written CDR shall require the Contractor to develop a Corrective Action Plan (CAP) which identifies the root cause, CA for the root cause, CA for the specific nonconformance and the date the CA will be completed.

6.2.1.3. Level III (Critical) nonconformance is defined as a nonconformance that is likely to result in hazardous or unsafe conditions for individuals using, maintaining, or depending upon the supplies or services; is likely to prevent performance of a vital agency mission; is for a repeated or uncorrected level II CDR; or is for a non-responsive Contractor to a level II CDR. Critical nonconformance's shall result in the issuance of a written CDR to the Contractor requiring the development of a CAP by the Contractor which identifies the root cause, CA for the root cause, CA for the specific nonconformance and the date the CAs will be complete. The MICC contracting office director or deputy director will issue all level III CDRs to contractor senior management in order to emphasize the seriousness of the Contractor's failure to comply with requirements and the possible contractual remedies for failing to take appropriate CA.

6.3. A copy of Contract Data Requirements List (CDRL) Reports shall be provided to the COR in coordination with the PCO. Issues and concerns that cannot be resolved at the working level or which impact on contractual requirements shall be reported to the PCO for resolution and contractual action.

6.4. The COR will document Contractor performance via monthly COR Reports in the COR Tool.

6.5. Contract Manpower Reporting Application. The COR is responsible for validating the Contractor’s input into the Contract Manpower Reporting Application (CMRA) website at http://www.ecmra.mil/. The COR is to obtain a user name and password, and validate that the Contractor has completely filled in required contractor information at the CMRA website by 30 November of the first year of the contract and annually by 30 November thereafter for the duration of the contract, or sooner if the contract is closed out. The COR shall perform this validation during the month of November each year. The COR shall report the CMRA results in the November Monthly COR Report (due in December of each year) to the PCO each year.

7.0. PERFORMANCE REQUIREMENTS SUMMARY (PRS).

7.1 Overview. The chart below establishes the PRS. The PRS details and identifies the Contractor requirements by performance objectives that related directly to mission essential elements from the PWS. The performance threshold describes the minimum acceptable levels of service required for each Contractor requirement. These thresholds define minimum acceptance standards critical to mission success.

7.2 Performance Evaluation. Performance of a service will be evaluated to determine whether or not it meets the performance threshold. Revising and resubmitting the documentation at no cost to the Government is the preferred method for correcting unacceptable performance. The Contractor shall provide the Government a written response as to why the performance threshold was not met, how performance will be returned to acceptable levels, and how recurrence of the cause will be prevented in the future.

7.3 Performance Objectives, Indicators, Thresholds, and Surveillance Methods. The services required by the contract are summarized into performance objectives and indicators, along with the minimum standards that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of quality or service required for each requirement. These thresholds are critical to mission success.

Attachment 1 – Performance Requirements Summary (PRS)

PERFORMANCE REQUIREMENTS SUMMARY/QUALITY ASSURANCE SURVEILLANCE PLAN

Performance Requirement

Performance Measure / Indicator

Performance Standard

Performance Threshold / Acceptable

Performance Level (APL)

Method of Surveillance

Corrective Actions

PRS #1

Complete application development and meet all project requirements.

PWS Paragraph 4.1

Work performance data

Zero Deviations 100 Percent Inspection

Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

PRS #2

Contractor shall conduct remote server maintenance and repair.

PWS Paragraph 4.1.5

Work performance data

The Contractor shall ensure 98% of server maintenance and repair tasks are completed within 2 business days of the assigned task.

Zero Deviations Periodic Surveillance Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

PRS #3

Contractor shall provide website content maintenance.

PWS Paragraph 4.3

Work performance data

The Contractor shall comply with Army Regulation 25-2, Information Assurance.

Zero Deviations Periodic Surveillance Contractor shall correct deficiencies at no additional cost to the Government

PRS #4

Contractor shall ensure that JAGCNet servers and their resources are available in the production environment to users

Work performance data

The Contract shall ensure JAGCNet servers and their resources are available 97% of the time not including scheduled and routine maintenance.

No more than 3% downtime per month.

Periodic Surveillance Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

PRS #5

Contractor shall provide help desk support services.

PWS Paragraph 4.5

Work performance data

The Contractor shall ensure help desk trouble tickets affecting immediate production capability are resolved the same day.

The Contractor shall ensure

Zero deviation for help desk trouble tickets affecting immediate production capability.

Validated Customer Complaint Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

PRS #6

Contractor shall process requests for system accounts.

PWS Paragraph 4.5.2

Work performance data

The Contractor shall ensure all system accounts will be processed within two business days of receipt.

Zero Deviations Periodic Surveillance Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

PRS #7

The Contractor shall provide emergency response service for any system failure affecting the production environment outside of normal business hours.

PWS Paragraph 4.6

Work performance data

The Contractor shall respond (actively working on the problem) within two hours of notification (positive acknowledgment required) to any emergencies affecting the production environment outside of normal business hours. The Contractor shall identify and report any maintenance issues within 2 hours of response.

Zero Deviations 100 Percent Inspection Contractor shall provide additional labor hours or personnel to meet performance threshold at no additional cost to the Government

Attachment 2 – Inspection Checklist(s)

COR Surveillance Checklist Template.x

Attachment 3 – Monthly COR Report Sample

COR Monthly Report.pdf