Attachment 4 QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. Contract or Task Order Title: PHNSY&IMF Code 109 Information Technology (IT) and Cybersecurity Contractor Support.

2. Purpose:

This 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 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. 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 contractor and Government officials implementing surveillance activities.

3. Roles and Responsibilities:

The following personnel shall oversee and coordinate surveillance activities.

Program/Project Manager (PM) – The PM provides program oversight and supports the COR’s performance assessment activities.

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 ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine the final assessment of the contractor’s performance.

Contracting Officer’s Representative (COR) – The COR is responsible for providing continuous technical oversight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the KO. The COR is required to provide an annual performance assessment to the KO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

Other Key Government Personnel- This may include performance monitors, inspectors, technical experts, workforce service division and center directorate level security personnel, management personnel, requirements office, or others (i.e. users) who provide information that helps the COR monitor contractor performance.

4. Primary Method of Surveillance: Random sampling is scheduled for Items 6.1 and 6.2. There will be Random Sampling, Periodic Inspections, and Customer Input for Items 6.3, 6.4, and 6.5. There will be 100% inspection for Contract Management Items.

· Random Sampling. This is usually the most appropriate method for recurring tasks. With random sampling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances 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.

· Periodic Inspection. These services are monitored weekly, monthly, quarterly, semiannually, annually, etc. Periodic types of activities are perfect for periodic inspection because not only are they infrequent, but there is normally a predetermined, specified time frame within which the tasks must be accomplished. Therefore, you know exactly when to conduct the evaluations. Periodic inspections automatically become 100 percent evaluations or "100 percent checks." Inspections should be divided and scheduled by frequency: annual, semiannual, quarterly, monthly, weekly and as required. Sometimes services are required for which the time or frequency cannot be predicted, such as accident investigations, one-time special tasking by higher headquarters, etc. These would be labeled "as required inspections." Others are known and predictable such as the quarterly status report or the monthly travel report currently included in some DISA service contracts.

· Customer Input. Although usually not a primary method, this is a valuable supplement to more systematic methods. For example, in a case where random sampling indicates unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations where customers can be relied upon to complain consistently when the quality of performance is poor, e.g., dining facilities, building services, customer surveys and customer complaints may be a primary surveillance method, and customer satisfaction an appropriate performance standard. In all cases, complaints should be documented, preferably on a standard form.

Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performance surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The AQL performance Standard Table should be used to form the foundation of the COR’s inspection checklist.

· 5. Performance Standards: Program Management Support: On-site management and oversight of all activities per-formed by contract (and sub-contract) personnel. 95% on-site time. Hours of on-site time is 0630-1500 Mon-Fri, except Federal holidays or when the government facility is closed for administrative rea-sons and available after hours if any issues arise.

· Key Personnel: 100% of key personnel provided and trained/qualified in accordance with 6.1.1

· Management Reports: Monthly Status Reports: 95% accurate and error free documents.

· Weekly Personnel Status Reports: 95% accurate and error free documents.

· Trip Reports: 95% accurate and error free documents. Due 10 business days after travel.

· Transition Out Plan: 95% accurate and error free documents. Initial collaboration begins no later than 120 days prior to the end of the contract.

· Work Environment (6.2.1): 100% complete. Each work shift (seven (7) days per week, three (3) shifts per day), where personnel occupy the work area.

· Data Call Support (6.2.2): 95% Accuracy/Completeness of Data Call.

· Metrics Support (6.2.3): 95% accuracy and on time.

· Documentation (6.2.4): 95% accuracy.

· Meetings (6.2.5): 95% attendance.

· Call-Back Options (6.2.6): 95% on responses.

· Procurement Research (6.2.7): 95% accurate.

· Technical Support: As determined in applicable PWS Paragraph.

· Information Assurance: As determined in applicable PWS Paragraph.

· IT Strategies and Client Services: As determined in applicable PWS Paragraph.

· Security (11): 100% employees maintain appropriate clearances.

· Cyber IT / Cybersecurity Workforce: 95% up to current requirements and standards.

6. Documenting Performance:

Acceptable Performance.

The Government shall document positive performance. A Performance Assessment Report (PAR) template is attached (Appendix 2). Any report may become part of the supporting documentation for fixed price payments, award/incentive fee payments, Contractor Performance Assessment Reporting System (CPARS) entries, or other actions. Government acceptance of services permits the contractor to invoice for the service fee.

Unacceptable performance.

Unacceptable contractor performance can be identified by customer complaints (Appendix 3) or upon schedule surveillance evaluations. When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. The COR shall document the discussion and place it in the COR file and provide a copy to the KO.

When the COR determines formal written communication is required, the COR shall prepare a Corrective Action Report (CAR). The CAR is forwarded to the KO for dissemination to the contractor. A CAR template is attached to this QASP (Appendix 4).

The contractor shall acknowledge receipt of the CAR in writing. The CAR will 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 CAR will also state how long after receipt the contractor has to present this corrective action plan to the KO and COR. The Government may withhold payment for services until corrective action is taken. The Government shall review the contractor's corrective action plan to determine acceptability. Upon Government acceptance of the corrected services the contractor will be permitted to invoice for the service fee.

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

7. Mandatory or regulatory compliance items: The contractor will provide initial proof of compliance with regulatory and compliance items contained in the contract (such as mandatory annual training, Department of Defense (DoD)/Department of the Navy (DoN) required training, Pearl Harbor Naval Shipyard & Intermediate Maintenance Facility (PHNSY & IMF) Occupational Health and Safety training, security requirements, and Environmental Safety Awareness training. The Contracting Officer's Representative (COR) and the Contracting Officer (KO) will evaluate the initial submission and will conduct ad hoc reviews of the contractor's compliance throughout the remainder of the contract. The contractor will monitor compliance as required by FAR 52.222-50, Combating Trafficking in Persons, and report any issues to the KO.

8. Acceptable Quality Level (AQL):

The AQL for this project is 100% due to the critical support provided by mainframe operations.

9. Evaluation Method:

The COR will document the time of verbal notification to the contractor. The COR will document the official time and date of notification on the Maintenance Call Record. The COR will review self-diagnostic systems logs, conduct a comparison with actual maintenance performance and otherwise verify and validate contractor performance. The contractor shall enter in the record the official time the system is restored to full operational status. The COR will confirm the date and time of problem resolution in the record.

10. Performance Rating

In evaluating the quality of contractor’s performance, the following performance ratings may be used (same as CPAR ratings).

Performance Rating Criteria

Appendix 1 - Surveillance Matrix

Performance Standards 6.1 Acceptable Quality Levels Methods of Calculation

The Measurement Interval is one (1) month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from reported hours.

Method of Surveillance – Evaluation of time sheets.

Timing of Measurement – Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory Marginal Unsatisfactory

Random Sampling/Customer Input

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from reported hours.

Method of Surveillance – Evaluation of time sheets and resumes for training verification.

Timing of Measurement – Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

The Measurement Interval is one (1) month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from reports.

Method of Surveillance – Evaluation of reports.

Timing of Measurement – Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

The Measurement Interval is one (1) week.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the week and ends at 24:00on the last day of the week.

Source of Measurement Data – Data will be collected from reports.

Method of Surveillance – Evaluation of reports.

Timing of Measurement – Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

After submission of Trip Report.

Measurement Period – As needed based on trips.

Source of Measurement Data – Data will be collected from reports.

Method of Surveillance – Evaluation of reports.

Timing of Measurement – Measurements are started within five (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to occur no later than 10 business days after travel.

Exceptional Very Good Satisfactory

After submission of Transition Out Plan.

Measurement Period – As needed based on report requirement.

Source of Measurement Data – Data will be collected from reports.

Method of Surveillance – Evaluation of reports.

Timing of Measurement – Measurements are started within five (10) days of the end of the Measurement Period.

Reporting Frequency: - As needed.

Exceptional Very Good Satisfactory

Standards 6.2 Acceptable Quality Levels Methods of Calculation

Each work shift (seven (7) days per week, three (3) shifts per day), where personnel occupy the work area, Measurement Period – The Measurement Period begins at 00:01 on the first day and ends at 24:00.

Source of Measurement Data – Observation of work areas.

Method of Surveillance – Random Sampling.

Timing of Measurement – As needed.

Exceptional Very Good Satisfactory

After submission of Report.

Measurement Period – As needed based on deadlines.

Source of Measurement Data – Data will be collected from reports.

Method of Surveillance – Random Sampling of reports.

Timing of Measurement – Measurements are started within five (5) days of the end of the Measurement Period.

Reporting Frequency: - As dictated by data call.

Exceptional Very Good Satisfactory

Metrics Schedules:

NAVSEA IT Health Metrics: Monthly

CO Cybersecurity Report: Monthly

NOSCC Monthly Metrics: Monthly

NAVSEA Cyber Security Compliance Assessment (CSCA): Quarterly

Vulnerability Management: Weekly

Splunk: Monthly

Access and Account Management: Monthly

The Measurement Interval is based on the associated metrics schedule (weekly, monthly, quarterly, etc.).

Measurement Period – The Measurement Period begins at 00:01 on the first day of the metric schedule and ends at 24:00on the last day of the schedule.

Source of Measurement Data – Data will be collected from reports.

Method of Surveillance – Evaluation of reports.

Timing of Measurement – Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

The Measurement Interval is as needed.

Measurement Period – Annually (calendar year) at a minimum.

Source of Measurement Data – Data will be collected from documentation.

Method of Surveillance – Evaluation of documents.

Timing of Measurement – Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory

Monthly.

Measurement Period – From 0001 on the first of the month to 2359 on the last day of the month.

Source of Measurement Data – Data will be collected from attendance reports.

Method of Surveillance – Random Sampling.

Timing of Measurement – Measurements are started within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Random.

Exceptional Very Good Satisfactory

Call-Back Options (6.2.6)

Monthly.

Measurement Period – From 0001 on the first of the month to 2359 on the last day of the month.

Source of Measurement Data – Data will be collected from attendance reports.

Method of Surveillance – Random Sampling.

Timing of Measurement – Measurements are started within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Random.

Exceptional Very Good Satisfactory

Monthly.

Measurement Period – From 0001 on the first of the month to 2359 on the last day of the month.

Source of Measurement Data – Data will be collected from attendance reports.

Method of Surveillance – Random Sampling.

Timing of Measurement – Measurements are started within ten (10) days of the end of the Measurement Period.

Reporting Frequency: - Random.

Exceptional Very Good Satisfactory

Standards 6.3 Acceptable Quality Levels Methods of Calculation

The Measurement Interval is one (1) month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from management surveys containing satisfaction criteria that are either developed internally by personnel or by a selected impartial 3rd party.

Method of Surveillance – Customer feedback/Random Sampling. The Government will issue customer satisfaction surveys to designated Government management representatives from, and survey responses will be tabulated to determine overall satisfaction with Contractor delivery management of IT Services using a five (5) category scale. The scale is: Dissatisfied, Less than Satisfied, Satisfied, More than Satisfied, Very Satisfied.

Timing of Measurement – Measurements are taken within five business (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

(Exceptional Very Good Satisfactory Marginal Unsatisfactory)

(A rollup of assessment of the Surveillance Inspection Results to develop an overall rating for this objective)

Standards 6.4 Acceptable Quality Levels Methods of Calculation

The Measurement Interval is one (1) month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from management surveys containing satisfaction criteria that are either developed internally by personnel or by a selected impartial 3rd party.

Method of Surveillance – Customer feedback/Random Sampling. The Government will issue customer satisfaction surveys to designated Government management representatives from, and survey responses will be tabulated to determine overall satisfaction with Contractor delivery management of IT Services using a five (5) category scale. The scale is: Dissatisfied, Less than Satisfied, Satisfied, More than Satisfied, Very Satisfied.

Timing of Measurement – Measurements are taken within five business (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

(Exceptional Very Good Satisfactory Marginal

(A rollup of assessment of the Surveillance Inspection Results to develop an overall rating for this objective)

Standards 6.5 Acceptable Quality Levels Methods of Calculation

The Measurement Interval is one (1) month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be collected from management surveys containing satisfaction criteria that are either developed internally by personnel or by a selected impartial 3rd party.

Method of Surveillance – Customer feedback/Random Sampling. The Government will issue customer satisfaction surveys to designated Government management representatives from, and survey responses will be tabulated to determine overall satisfaction with Contractor delivery management of IT Services using a five (5) category scale. The scale is: Dissatisfied, Less than Satisfied, Satisfied, More than Satisfied, Very Satisfied.

Timing of Measurement – Measurements are taken within five business (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

(Exceptional Very Good Satisfactory Marginal

(A rollup of assessment of the Surveillance Inspection Results to develop an overall rating for this objective)

Contract Management Acceptable Quality Levels Methods of Calculation

The contractor shall coordinate site visits with site POCs at least 72 hours prior to requiring any site access.

Contractor personnel without security clearances performing any task under this PWS must be escorted by Government personnel who are cleared.

Minimally 72 hours prior to requiring site access.

Measurement Period – The Measurement Period ends 72 hours prior to the site visit.

Source of Measurement Data – 100% inspection.

Method of Surveillance – Verification of clearance level/need by appropriate Government Personnel (COR/Security, etc.).

Timing of Measurement – Measurements are taken as needed when Government is informed of incoming personnel.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

(Exceptional Very Good Satisfactory Marginal

(A rollup of assessment of the Surveillance Inspection Results to develop an overall rating for this objective)

Minimally 72 hours prior to requiring site access.

Measurement Period – The Measurement Period ends 72 hours prior to the site visit.

Source of Measurement Data – 100% inspection.

Method of Surveillance – Verification of clearance level/need by appropriate Government Personnel (COR/Security, etc.).

Timing of Measurement – Measurements are taken as needed when Government is informed of incoming personnel.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

Appendix 2 – Performance Assessment Report

Appendix 3 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 – Corrective Action Report

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

Enclosure 6, Page 1 of 2 Pages 17Jul2013/Version 2

Encl 4, QASP 23Jun2017/v3