Attachment 2 - QASP.docx

Quality Assurance Surveillance Plan Version – 1.0

For: U.S. Marine Corps (USMC) Theater Battle Management Core Systems (TBMCS) Software Sustainment Support Contract Number: < upon award, enter contract number> Contract Description. This effort is to provide programmatic, technical, and logistics requirements, for the United States Marine Corps (USMC) Theater Battle Management Core Systems (TBMCS) Software Sustainment. The contract will include engineering and implementation of solutions for the sustainment of TBMCS USMC-specific configuration items identified in the Performance Work Statement (PWS) into products fully interoperable with the current joint Service Maintenance Release and future Maintenance Release baselines.

Contractor’s name: < upon award, enter vendor’s name>

PURPOSE

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

· What will be monitored

· How monitoring will take place

· Who will conduct the monitoring

· 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 the contractor is responsible for management and quality control actions to meet the terms of the contract. The QASP uses a combination of surveillance methods to adequately assess the technical and management requirements of this contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. The QASP recognizes 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 shall coordinate changes with the contractor. Updates shall ensure the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

Roles and Responsibilities The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (KO): The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall 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. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned KO: Alicia Sims Organization or Agency: Program Manager, Air Command & Control and Sensor Netting (PM AC2SN) Telephone: 703-432-3233 Email: alicia.sims@usmc.mil

b. Contracting Officer’s Representative (COR): Has the responsibility for technical monitoring of the Contractor’s performance, as well as assessing, recording, and reporting on the Contractor’s compliance with the terms and conditions of the contract. The COR will ensure his/her availability to receive mandatory training prior to performing contractor surveillance. The COR will maintain surveillance documentation and will notify the PM AC2SN (through the KO) of any significant Performance deficiencies and recommend improvements to the QASP and PWS throughout the life of the contract. The COR is appointed to represent the KO on technical matters and has no authority to bind the government or direct performance not otherwise authorized and stipulated in this contract. This individual has primary responsibility for accepting, rejecting, or requiring correction of any deficiencies found in deliverables unless otherwise defined in this task order. In the event of rejection of any deliverable, the contractor will be notified in writing by the KO of the specific reasons why the deliverable was rejected.

Assigned COR: TBD Organization or Agency: Program Manager, Air Command & Control and Sensor Netting (PM AC2SN) Telephone: TBD Email: TBD@usmc.mil

c. Other Key Government Personnel: Contracting Specialist(s), PM AC2SN Program Manager and Government TBMCS Integrated Product Team (IPT) members shall provide guidance and requirements when needed or appropriate. Any unforeseen or potential conflicts or problems can be addressed with the individuals listed but for any contractual changes, the KO is the ONLY authority to make any change to the contract. If applicable, this QASP will be revised to include relevant point of contact (POC) information.

d. Contractor Representatives: The following employees of the contractor serve as the Contractor’s Program Manager and Task Manager for this contract.

Program Manager - <TBD; Fill in and submit with proposal > Telephone: < TBD Fill in and submit with proposal > Email: < TBD Fill in and submit with proposal >

Task Manager - < TBD Fill in and submit with proposal > Telephone: < TBD Fill in and submit with proposal > Email: < TBD Fill in and submit with proposal > Performance Standards Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards. Paragraph 3.1.2.6 Quality Assurance of the PWS identifies the Governments objectives and performance standards.

Performance Requirements Summary Matrix

Submit a monthly Progress, Status, and Management Report, in accordance with (IAW) CDRL B001.

PWS 3.1.2, 3.1.2.4.1, 3.1.2.4.2, 3.1.2.4.3,

· Delivered on time IAW CDRL B001

100% Inspection by COR

Submit a Conference Agenda IAW CDRL B002.

PWS 3.1.2.1, 3.1.2.4.2, 3.1.2.4.3

· Delivered on time IAW CDRL B002

100% Inspection by COR

Submit Briefing Materials IAW CDRL B003.

PWS 3.1.2.1, 3.1.2.4.2, 3.1.2.4.3

· Delivered on time IAW CDRL B003

· Minimal (2-3) grammatical/ typographical errors 100% Inspection by COR

Submit Meeting Minutes IAW CDRL B004.

PWS 3.1.2.1, 3.1.2.4.2, 3.1.2.4.3

· Delivered on time IAW CDRL B004

· Minimal (2-3) grammatical/ typographical errors 100% Inspection by COR

Submit Integrated Master Schedule IAW CDRL B005.

PWS 3.1.2.2, 3.1.2.4.2, 3.3.1.5, 3.3.1.8

· Delivered on time IAW CDRL B005

100% Inspection by COR

Submit the Data Accession List IAW CDRL B006.

PWS 3.1.2.7

· Delivered on time IAW CDRL B006

Periodic Inspection by LOG

Submit a quarterly Status of Government Furnished Equipment (GFE) Report IAW CDRL D001.

PWS 3.1.2.8

· Delivered on time IAW CDRL D001

Periodic Inspection by COR

Submit a Software Development Plan (SDP), Software Sustainment Plan (SSP) IAW CDRL A002.

PWS 3.1.2.4.4, 3.3.2.1

· Delivered on time IAW CDRL A002

100% Inspection by COR

Submit a Software Version Description IAW CDRL A004.

PWS 3.3.2, 1 3.3.1.2)

· Delivered on time IAW CDRL A004

· Minimal (2-3) Grammatical/ typographical errors 100% Inspection by COR

Deliver Computer Software Product End Items, Software Fielding Kits IAW CDRL A003.

PWS 3.3.1.2)

· Delivered on time IAW CDRL A003

100% Inspection by COR

Submit a Test/Inspection Report, Contractor Test Report IAW CDRL A006.

PWS 3.3.1.5

· Delivered on time IAW CDRL A006 100% Inspection by Test

Perform Cybersecurity Testing IAW PWS Section 3.3.2.1.

· Deliver quarterly 100% Inspection by ISSM

Submit a Network Design Document IAW PWS 3.3.2.1.

CDRL A005

· Delivered on time IAW CDRL A005

100% Inspection by ISSM

Submit Comments on Living Plan of Action and Milestones (POA&M) IAW CDRL A001.

PWS) 3.3.2.1.

· Delivered on time IAW CDRL A001

· (2-3) Grammatical/ typographical errors 100% Inspection by ISSM

Submit Comments on Technical Report, Security Technical Implementations Guide (STIG) Report IAW CDRL A007.

PWS 3.3.2.1.

· Delivered on time IAW CDRL A007

· (2-3) Grammatical/ typographical errors 100% Inspection by ENG/ISSM

Provide USMC TBMCS Help Desk Support IAW PWS 3.4.

PWS 3.3.2.1.

Customer Complaint

OPTIONAL CLINS

Submit Instructional Performance Requirements Document, Learning Analysis Report IAW

PWS 3.3.2.5.

CONTRACT QUALITY REQUIREMENTS

Quality Control Program The Contractor’s quality control program is the means by which the assurance is made that the work complies with the requirement of the contract. The Contractor shall ensure services are performed in accordance with Attachment 1 PWS of the contract. The Contractor shall identify, prevent, and ensure non-recurrence of defective services.

Government Quality Assurance The Government shall evaluate the Contractor’s performance under this contract in accordance with this QASP. This plan is primarily focused on what the Government must do to ensure the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance and minimum acceptable defect rate(s).

Methods of QA Surveillance/Monitoring After contract award, the COR will need to review the Performance Standards Summary Matrix in the contract to determine if the selected monitoring methods are appropriate to monitor each performance standard. Within a QASP, multiple surveillance methods may be used. The method for any given task will depend on the performance standard and Acceptable Quality Level (AQL).

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR shall always contact the appropriate appointed contractor point of contact when a defect is identified and provide the specifics of the problem. The COR, with assistance from the KO, shall be responsible for monitoring the Contractor’s performance in meeting a specific performance standard/AQL.

a. 100% Inspection: Evaluates all deliverables. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security.

b. Periodic Inspection: Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled (Daily, Weekly, Monthly, Quarterly, or annually) or unscheduled, as required.

c. Random Sampling: COR uses a sample technique to review generated deliverables.

d. Customer Complaint: The Helpdesk support and feedback for TBMCS is a significant metric of the success and effectiveness of the services provided and can be measured through customer complaints. 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 and documented in the Contractor’s Monthly Progress and Status Reports.

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 becomes the basis for the KO’s actions.

Ratings The contract will be annually assessed and rated for their performance and operation of the utility system listed per the contract. The Contractor Performance Assessment Reporting System (CPARS) will be utilized to perform this assessment:

CPARS training can be accessed at: https://www.cpars.gov/ (Use “Assessing Official Representative” role) (Approx. 2 hrs. to complete) The COR will establish an account in CPARS in order to officially contribute to the Government’s annual assessment of the Contractor’s performance. The COR’s input will carry significant weight in the development of the Government’s overall annual rating of the Contractor’s performance under this contract. The COR will assign a rating to the Contractor’s performance under the contract using the following table:

· Few minor problems resulted from the performance; any corrective actions taken were highly effective.

· Some minor problems resulted from the performance; any corrective actions taken were effective.

· Some minor problems resulted from the performance; corrective actions taken were satisfactory.

· Serious problems resulted from the performance, but recovery was still possible; corrective actions taken were either marginally effective or not fully implemented.

· Serious problems resulted from the performance, and recovery was not considered likely; corrective actions taken were ineffective.

The COR’s assessment and recommended rating will be reviewed by the Reviewing Official (PM or Deputy Program Manager) to ensure sufficient justification.

Upon completion of the Government’s annual assessment and rating of the Contractor’s performance, the assessment and rating will be officially recorded in the Past Performance Retrieval System (PPIRS). Information in PPIRS will serve as a valuable Government source of contractor past performance information for future solicitations upon which the contractor may offer.

PPIRS training can be accessed at: http://www.ppirs.gov/webtrain/webtrain.htm

DOCUMENTING PERFORMANCE

a. Acceptable performance: The Government will document performance that meets or exceeds minimum expectations. A Performance Report will be used for this documentation effort and is to be used whenever the COR performs monitoring /surveillance (i.e., inspections, visits, etc.) on the contract. A template for this Report can be found at Appendix A of this QASP. All Performance Report documentation will be placed in the COR file. It is important to note that these Performance Reports can become part of supporting documentation for appropriate actions taken under this contract.

b. Unacceptable performance: When unacceptable performance is observed, in addition to completing a Performance Report, the COR will complete a DD Form 2772, Contract Discrepancy Report (CDR). An example of this form can be found at Appendix B of this QASP. This form serves as the official written notification to the contractor of an observed contract discrepancy. (Note: Only under unique circumstances will verbal communication be used to initially inform the contractor of a potential contract discrepancy. However, in those cases, the COR will follow-up with written notification of the finding as soon as possible, coordinate it through the KO, and provide to the contractor.) As part of the CDR process:

· The Contractor shall acknowledge receipt of the CDR in writing.

· The Contractor will prepare a corrective action plan to document how the Contractor shall correct the unacceptable performance and avoid recurrence.

· The CDR will clearly indicate a due date by which the contractor has to present this corrective action plan to the COR.

· The Government will review the Contractor’s corrective action plan to determine acceptability.

c. Summary of Methodology & Purpose for Performance Documentation: The reports and forms referenced in this QASP are designed to collectively serve as a traceable documented history of contractor performance. These will also support recordkeeping requirements mandated by the Department of Defense (DoD) Contracting Officer’s Representative Training (CORT) tool, as well as annual performance assessments mandated by CPARS. Specifically:

· Performance Report (Appendix A) -- Used by the COR whenever performing contract monitoring/surveillance on the contract. Both negative and positive aspects of the contractor’s performance are documented. The information recorded in Performance Reports can serve as a significant source of documented contractor performance. This information can subsequently be used in developing the COR Monthly Report to the Contracting Officer.

· DD Form 2772, Contract Discrepancy Report (CDR) (Appendix B) -- Used by the COR whenever a contract discrepancy is found as a result of the COR’s monitoring/ surveillance activity. CDRs can serves as a significant source of documented deficient contractor performance. Subsequently, CDRs can become part of supporting documentation for appropriate Government actions taken under this contract regarding contractor performance or failure to perform. CDRs, together with Performance Reports, should be used in developing the COR Monthly Report to the Contracting Officer.

· COR Monthly Report to the Contracting Officer (Appendix C) – Required to be produced by the COR and loaded onto the DoD CORT Tool every month. Report should serve as a compilation/summary of the results & observations from the CORs contract monitoring and surveillance activities from the past month. Both negative and positive aspects of the contractor’s performance are documented. The compilation of these monthly reports over the course of annual contract period of performance will serve as a significant source of documentation supporting the Government’s annual CPARS assessment for the contractor under this contract.

Frequency of Measurement Frequency of Measurement During contract/order performance, the COR shall take periodic measurements, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

Frequency of Performance Assessment Meetings The COR shall meet with the contractor quarterly to assess performance and shall provide a written assessment.

QASP Maintenance/Review/Update The QASP is a living document that will require periodic review and updating.

a. Revisions to this document may be necessary to adequately reflect associated changes in the contract. The Contracting Officer/Specialist and/or COR will bring proper attention to any potential QASP revisions necessary as a result of any changes in the contract.

b. As a standard, the QASP will be reviewed by the Contracting Officer at least annually. However, an out-of-cycle review may be accomplished if necessary or requested. A sample of a QASP Periodic Maintenance Review and Acceptance form can be found in Appendix D of this QASP.

Summary The QASP serves as an important guiding document, providing the framework for Government monitoring, surveillance, and coordination of the Contractor’s activities and responsibilities under this contract. The typical long-life of a contract, its many moving parts, requires a close, long-term partnership between the Government and the Contractor. The deliberate and methodical approach to the development and maintenance of this QASP will help ensure this partnership continues to be nurtured, resulting in long-term quality service to the USMC.

Appendix A: Performance Report Compliance: This document is in accordance with the Inspection of Services Clause FAR 52.246-4 and the Quality Assurance Surveillance Plan requirements.

1. CONTRACT NUMBER:

2. CONTRACTOR:

3. DATE AND TIME OF OBSERVATION:

4. DETAILS OF OBSERVATION:

a. Item/Area(s) being observed:

b. Method(s) of Surveillance:

c. Frequency of Surveillance:

d. Surveillance Results:

5. ADDITIONAL COR COMMENTS:

6. SIGNATURE: I hereby certify the accuracy of the observations/results noted above

Appendix B: Contract Discrepancy Report (CDR) The DD Form 2772, Contract Discrepancy Report (CDR), shown below, will be prepared by the COR to formally notify the contractor of a pending discrepancy. The purpose of the form is to allow the contractor to correct discrepancies with minimal interference from the Government.

A fillable version of this form can be found at:

http://www.dtic.mil/whs/directives/forms/eforms/dd2772.pdf

Appendix C: COR Monthly Report to the Contracting Officer The COR shall complete a COR Monthly Report to the Contracting Officer (shown below) to document both negative and positive aspects of the contractor’s performance for the contract. The report shall be submitted utilizing Procurement Integrated Enterprise Environment (PIEE), Surveillance and Performance Monitoring (SPM) to the KO in accordance with a mutually established submittal schedule.

1. CONTRACT NUMBER:

2. CONTRACT PERIOD OF PERFORMANCE:

3. CONTRACTOR:

4. METHOD(S) OF SERVEILLANCE:

5. COMPLIANCE: This document is in accordance with the Inspection of Services Clause FAR 52.246-4 and the Quality Assurance Surveillance Plan requirements.

6. OVERALL ASSESSMENT: Complete items a through d below. Provide supporting detailed explanation in item 8 as necessary. Attach additional documentation for supporting evidence if required.

a. Quality of work: (Exceptional, Very Good, Satisfactory, Marginal, Unsatisfactory)

b. Deliverables provided by the contractor this month: (list them here)

c. Was the contractor’s performance timely? (yes or no; if no provide explanation here)

d. Are there any significant issues that should be brought to the contracting officer’s attention? (yes, no, or N/A no discrepancies this month; if yes or no, provide explanation in the applicable item(s) in Section 8 below)

7. CUSTOMER COMPLAINTS:

a. Number of customer complaints:

b. Number of valid customer complaints:

8. ADDITIONAL COR COMMENTS (to support responses provided in Section 6 above, as necessary COR comments should be entered for the applicable area(s) below):

a. Quality:

b. Schedule:

c. Cost Control:

d. Management:

e. Utilization of Small Business:

f. Regulatory Compliance

g. Other Areas:

9. SIGNATURE: I hereby certify the accuracy of the observations/results noted above

Appendix D: QASP Periodic Maintenance, Review, and Acceptance The functional team members’ signatures below indicate their review and acceptance of the Quality Assurance & Surveillance Plan, dated ________, for U.S. Marine Corps (USMC) Theater Battle Management Core Systems (TBMCS) Software Sustainment Support services provided under contract (insert contract number). These signatures indicate coordination on this Government QASP at the time of (insert “development” or “revision”) and will remain in effect until the Plan is modified.

(insert title and organization) image1.jpeg