Attachment 6 Quality Assurance Surveillance Plan (1).docx

CUI

Attachment 6, ESS IV QASP

CUI

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. Contract or Task Order Title (Add contract/task order number at award):

Enterprise Storage Solutions (ESS) IV

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.

4. Primary Method of Surveillance:

a. Periodic Inspection as required for:

· Task 1 – 6.1 Storage Solutions and Capabilities

· Task 3 – 6.3.3 Subtask 3.3, ESM Interoperability

· Task 3 – 6.3.5 Subtask 3.5, Remove Management

· Task 5 – 6.5.1 Subtask 5.1, Availability

· Task 6 – 6.6.1.1 Subtask 6.1.1, Delivery, Installation and RFU

· Task 6 – 6.6.1.4 Subtask 6.1.4, Equipment Report

· Task 7 – 6.7.5 Subtask 7.5, Asset Management

· Task 8 – 6.8.1 Subtask 8.1, Monthly Inventory Report (Physical Level)

· Task 8 – 6.8.2 Subtask 8.2, Weekly Order Summary Report

· Task 8 – 6.8.3 Subtask 8.3, Monthly Incident Summary Report

· Task 8 – 6.8.5 Subtask 8.5, Monthly Metered Usage Billing Report

· Task 12 – 6.12.1.1 Subtask 12.1.1, Ordering Process

b. 100% inspection and acceptance required for:

· Task 4 – 6.4.2 Subtask 4.2, Storage Resource Management (SRM).

· Task 12 – 6.12.3 Subtask 12.3, Acceptance

· Task 13.5.4 – Requirement to Inform Employees of Whistleblower Rights

· 100 Percent Inspection. This is usually only the most appropriate method for infrequent tasks or tasks with stringent performance requirements, e.g., where safety or health is a concern. With this method, performance is inspected/evaluated at each occurrence. One hundred percent inspection is too expensive to be used in most cases.

· 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.

1. 5. Performance Standards.

Task 3 - 6.3.3 Subtask 3.3

- ESM Interoperability

Task 3 - 6.3.5 Subtask 3.5

- Remote Management Provide infrastructure components capable of being managed remotely via a dedicated Government management network.

Task 4 - 6.4.2 Subtask 4.2

- SRM

Task 5 - 6.5.1 Subtask 5.1

- Availability Measurement 1. Solution availability must meet 99.99% based on the calculation: (Total available hours for number of calendar days in reporting month) - Measurement Exceptions - Time storage is unavailable, unable to perform core function, or core function is significantly degraded) / (Total available hours for number of calendar days in reporting month - Measurement Exceptions) *100=Service Level Attained. Total available hours = 24x number of calendar days in reporting month for EACH orderable system.

Measurement 2A (summary): Solution availability for Enterprise Systems must meet 99.9999% based on the following calculations: Total available hours for number of calendar days in reporting month - Measurement Exceptions - Time storage is unavailable, unable to perform core function, or core function is significantly degraded) / (Total available hours for number of calendar days in reporting month - Measurement Exceptions) *100=Service Level Attained. Total available hours = 24xnumber of calendar days in reporting month AVERAGED over all orderable systems.

Measurement 2B (per system): Solution availability for Enterprise Systems must meet 99.9999% based on the following calculations: Total available hours for number of calendar days in reporting month - Measurement Exceptions - Time storage is unavailable, unable to perform core function, or core function is significantly degraded) / (Total available hours for number of calendar days in reporting month - Measurement Exceptions) *100=Service Level Attained. Total available hours = 24x number of calendar days in reporting month for EACH orderable system.

Task 6 - 6.6.1.1 Subtask

6.1.1 - Delivery, Installation and RFU

Task 6 - 6.6.1.4 Subtask

6.1.4 - Equipment Report

Task 7 - 6.7.5 Subtask 7.5

- Asset Management

Task 8 - 6.8.1 Subtask 8.1

- Monthly Inventory Report (Physical Level)

Task 8 - 6.8.2 Subtask 8.2

- Weekly Order Summary Report

Task 8 - 6.8.3 Subtask 8.3

- Monthly Incident Summary Report

Task 8 - 6.8.5 Subtask 8.5

- Monthly Metered Usage Billing Report

Task 12 - 6.12.1.1 Subtask 12.1.1 - Ordering Process

Task 12 - 6.12.3 Subtask

12.3 - Acceptance

Installed.

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 and may be through the PAR template (Appendix 2). 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 must 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 determined 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. 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 track the response to the requirements of inspected tasks, conduct a comparison with actual maintenance performance, and otherwise verify and validate contractor performance. Help desk ticket logs will be used as documentation and compared to the AQL specific to the task to verify and validate contractor performance.

10. Performance Rating

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

Appendix 1 - Surveillance Matrix Performance Standard Acceptable Quality Levels Methods of Calculation

Very Good Satisfactory Marginal Unsatisfactory)

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

Does the contractor provide infrastructure components capable of being managed remotely via a dedicated Government management network.

Appendix 2 – Performance Assessment Report

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 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

Controlled By: DISA CUI Controlled By: J-9331 Page 1 of 46 Pages CUI Category: PROCURE Distribution/Dissemination Control: FEDCON POC: DISA HC121, disa.meade.hacc.list.operations-support-hc121-all@mail.mil

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