Attachment D - QASP.docx

Quality Assurance Surveillance Plan (QASP)

FOR

Litigation Support Services (LSS)

Solicitation: 2031JW25Q00010

Office of the Comptroller of the Currency Washington, DC 21005

Office of the Comptroller Currency (OCC)

Request for Quote (RFQ): 2031JW25Q00010

October 2024 SOURCE SELECTION INFORMATION (See LSS PWS)

1 Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) for the Litigation Support Services (LSS) procurement. This QASP sets forth the procedures and guidelines that the Government intends to use to evaluate the performance of the Contractor.

1.1. Content of the QASP

This QASP has been organized into the following sections:

Mission of the LSS contract (Section 2) Purpose of this QASP for ensuring delivery of quality LSS services (Section 3).

Summary of work to be completed under this contract (Section 4).

Authority for issuance of this QASP (Section 5).

The roles and responsibilities associated with the LSS contract (Section 6).

Performance requirements and methods of resolving QA issues and concerns specific to the LSS contract (Section 7).

Reporting and correcting performance issues (Section 8)

2 Mission This is a five-year contract (one 12-month base year and four 12-month option years). This contract is for the following activities: Data Migration for the Transition Phase-In, Right-Side eDiscovery Support, Perform Maintenance and Operational Support, RelativityOne Government Technical Support, Implementation of Quality Control Processes, Export and Destruction of OCC Data Upon Case Closure, Project Management, and Data Migration for the Transition Phase-Out.

3 Purpose The role of the Government in Quality Assurance (QA) is to ensure contract performance standards are achieved. This QASP is a government-developed document used to determine if the Contractor’s performance meets the performance standards in the contract. The QASP establishes procedures and measures on how this assessment/inspection process will be conducted, and provides details for continuous oversight process including:

· What will be monitored;

· How monitoring will take place;

· Who will conduct monitoring; and

· How monitoring efforts and results will be documented.

The Contractor is responsible for implementing performance and delivering contract items that meet contract standards using its own organizational quality plans. This QASP provides the structure for the Government’s surveillance of the Contractor’s performance to assure that it meets contract performance requirements. It is the Government’s responsibility to be objective, fair, and consistent in evaluating Contractor performance.

This QASP is not intended to duplicate the Contractor’s quality control plan. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on Contractor performance. The Government may provide a copy of the QASP to the Contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the Contractor and how those potential situations will be managed. The goal of this QASP is to ensure early identification and resolution of performance issues to minimize impact on mission performance.

4 Summary of Work to be Performed In a separate contract, the OCC has acquired the FedRAMP cloud Software-as-a-Service (SAAS) tool RelativityOne Government for the preservation, collection, processing, review, and production of electronically sensitive information (ESI). In this separate contract, the OCC has also acquired RelativityOne Government’s add-on tool Legal hold for the creation, distribution, and tracking of legal hold activities.

The contract will provide for the migration of data from Relativity Server to RelativityOne Government, Right-Side eDiscovery Support, Maintenance and Operational Support, Technical Support, the implementation of quality control processes, the export and destruction of OCC data upon a case closure, project management, and the migration of RelativityOne Government to an alternate review and legal hold tool.

5 Authority Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Quality Assurance and Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or designated Contracting Officer’s Representative (COR).

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

Program Manager (PM) – A PM will be an individual designated by OCC to act as the authorized representative to assist in the financial management of the contract and subsequent orders.

Assigned PM: Michael Edward Platt Organization or Agency: OCC Telephone: To Be Provided at Time of Award Email: To Be Provided at Time of Award

Contracting Officer (CO) – The CO 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 CO shall also ensure that the Contractor receives impartial, fair, and equitable treatment under this contract. Determine the final assessment of the Contractor’s performance.

Assigned CO: Anethra Facione Organization or Agency: OCC Email: Anethra.Facione@occ.treas.gov

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 CO. The COR is required to provide an annual performance assessment to the CO 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. Any contractual change is solely the CO's responsibility.

Assigned COR: To Be Provided at Time of Award Organization or Agency: OCC Telephone: To Be Provided at Time of Award Email: To Be Provided at Time of Award

Contractor Representatives:

The following employees of the Contractor serve as the Contractor’s Program Manager for this contract. (This section will be completed after contract award.)

Other Key Contract Personnel – Name: To Be Included at Time of Award Title: To Be Included at Time of Award Telephone: To Be Included at Time of Award Email: To Be Included at Time of Award

7 Methodologies to Monitor Performance The following methodologies will be used by the COR and CCISG to monitor the Contractor's performance:

· Daily Interaction: CCISG provides the first line of eDiscovery support to CCO users and work with the Contractor on a daily basis. This provides numerous performance inspection opportunities.

· Bi-weekly Status Meetings: The COR and CCISG will meet every two weeks with the Contractor to discuss and review program status, issues, and upcoming efforts.

· Monthly Status Reports: The COR and CCISG will review the Contractors monthly status reports.

8 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 primary methods of surveillance are:

· Random Sampling - The CCISG Team Members shall use the Review Tool to randomly sample metadata and Review Case information.

· Inspection - Each month, the COR shall review the generated documentation and enter summary results into the Surveillance Matrix in Table 1.

· Customer Feedback 9 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. The customer always has the option to communicate complaints to the CO and/or COR, as opposed to the Contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

10 Acceptable Quality Levels The Acceptable Quality Levels (AQLs) included in Appendix 1, "Surveillance Matrix," for Contractor performance are structured to allow the Contractor to manage how the work is performed. For certain critical activities, the desired performance level is established at 100 percent. Other levels of performance are keyed to the relative importance of the task to the overall mission performance.

11 Performance Requirements and Method of Surveillance

11.1. Surveillance Metrics

The Surveillance Metrics (in Table 1 below) is the list of performance objectives and standards that must be performed by the Contractor. Table 1 details the method of surveillance the COR will use to validate and inspect performance elements. Inspection of each element will be documented in the COR file. The below listed methods of surveillance shall be used in the administration of this QASP.

11.1.1. Inspection

Specific characteristics of every performance unit are examined and tested by the Customer and Government subject matter experts to determine conformance with requirements. This surveillance method is preferred for tasks that occur infrequently, as well as for tasks that cannot be randomly inspected.

11.1.2. Random Inspection

The COR shall conduct random surveillance of contract tasks and deliverables to determine whether the Contractor’s performance meets the performance requirement based on randomly selected samples of the task or deliverable. This method is the most appropriate for frequently recurring tasks.

11.1.3. Periodic Inspection

The COR shall conduct periodic inspections of tasks or deliverables, typically on a monthly basis.

Tasks or deliverables are selected using a methodology other than a 100% or random inspection. It may be appropriate for tasks that occur infrequently and where 100% inspection is neither required nor practical. This is not a preferred method of surveillance but may provide a basis for an incentive payment to the Contractor.

11.1.4. Customer Feedback

Customer[footnoteRef:1] feedback may be obtained from random customer complaints. Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed and must be forwarded to the COR. The COR shall maintain a summary log of all formally received customer complaints as well as a copy of each complaint in a documentation file. [1: Customer is any user who interacts directly with the RelativityOne Government and the add-on tool Legal Hold.]

11.1.5. Audit

The COR will conduct an evaluation of a work product or process to determine compliance with specifications, standards, contractual agreements, or other pre-established criteria.

Performance measure and objectives in Table 1 define the desired performance outcomes for the requirements they represent. The target metric or performance standards define the level of acceptable service required under the contract to meet the performance objective. The surveillance methods define how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the Contractor’s performance as it relates to the performance element standards. The Contractor will propose a quality assurance effort for tasks and deliverables described in the PWS. The COR will use the table below to measure the performance against the surveillance metrics using the PWS.

Office of the Comptroller Currency (OCC)

Request for Quote (RFQ): 2031JW25Q00010

TABLE 1 LSS SURVEILLANCE METRICS

Task 4.1 Relativity Server Data Migration (Optional)

Deliverable(s):

Deliverable 1 Data Migration Plan

Deliverable 2 Data Migrated from Relativity Server

a) The Contractor shall deliver the data migration plan.

AQL: Data migration plan is delivered within 5 calendar days of contract start.

b) The Contractor shall perform migration of data from OCC’s instance of Relativity Server into RelativityOne Government.

AQL: Contractor shall migrate all workspaces within 60 calendar days from the delivery of the data migration plan.

What: Delivery of Data Migration Plan Due Date: Within 5 calendar days of contract start.

Time for OCC Acceptance: Government has 10 business days to reject or accept data migration plan.

Time for Contractor Resubmission: Contract has 2 business days to resubmit corrected data migration plan. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once.

Means of Inspection: Check SharePoint site for Contractor Deliverables for completeness and timeliness of all data migration plan documentation.

Who Inspects: COR

What: Migration of data from OCC’s instance of Relativity Server into the RelativityOne Government.

Due Date: Contractor shall migrate all workspaces within 60 calendar days from passing of UAT.

Frequency of Inspection: One inspection per migrated workspace.

Means of Inspection: CCISG team will compare migrated cases in RelativityOne Government with cases in OCC’s instance of Relativity for parity.

Who Inspects: CCISG Team.

Task 4.2 Provide Right-Side Operational Support

Deliverable(s):

Deliverable 3 Case Processing Deliverables

Deliverable 4 Case Production Deliverables

Task 4.2 Provide Right-Side Operational Support

Task 4.2 Provide Right-Side Operational Support

a) For all RelativityOne Government workspaces, the Contractor shall deliver case processing deliverables.

AQL: 80% of all case processing deliverables shall be delivered on time.

b) Collection data provided to Contractor shall be processed and available for review by end-users in a review case.

AQL: For each 200 GB set of collection data, the data shall be processed in the review tool and available for review by end users no later than 72 hours after receipt of data by Contractor. All data over 200 GB shall be processed and available for review in the existing workspace at a rate of 65 GB of data a day.

c) Contractor shall provide productions of data from RelativityOne Government AQL: 90% of production sets 100 GB in size or less, shall be complete and ready for delivery no less than 24 hours (weekends and federal holidays excluded) after request. Contractor is granted an additional 24-hour period for every additional 100GB (e.g., If production is 250 GB in size, Contractor has 72 hours to complete the request).

d) For all RelativityOne Government workspaces, the Contractor shall deliver privilege logs or similar reports as requested by the end-user.

AQL: 80% of all privilege logs or similar reports shall be delivered on time.

e) Contractor schedules a case kick-off meeting.

AQL: 85% of case kick-off meeting are scheduled by Contractor within 1 business day of request by end user.

What: Case Processing Deliverables Due Date: 3 business days after completion of case processing.

Time for OCC Acceptance: Government has 5 business days to reject or accept Case Processing Deliverables.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected Case Processing Deliverables. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once a month .

Means of Inspection: Check SharePoint site for completeness and timeliness of all Case Processing Deliverables.

Who Inspects: COR.

What: Data processed and available for review.

Frequency of Inspection: Once, per workspace Due Date: For each 200 GB set Collection data, the data shall be processed in the review tool and available for review by end users no later than 72 hours after receipt of data by Contractor. All data over 200GB shall be processed and available for review in the existing workspace at a rate of 65 GB of data a day.

Means of Inspection: Examine item counts and sizes in the review case and processing reports.

Who Inspects: CCISG Team and LSS Users.

What: Case Production Deliverables (Production Document Sets) Frequency of Inspection: Once, per production request.

Time for OCC Acceptance: Government has 5 business days to reject or accept production.

Time for Contractor Resubmission: Contract has 2 business days to resubmit corrected production. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Due Date: Productions 100 GB in size or less, shall be complete and ready for delivery no less than 24 hours (weekends and federal holidays excluded) after request. Contractor is granted an additional 24-hour period for every additional 100GB (e.g., If a production is 250 GB in size, Contractor has 72 hours to complete the request.)

Means of Inspection: Examine production requests dates against the date contractor informed requester that production was complete and ready for delivery.

What: Case Production Deliverables (Privilege Logs or Similar Reports).

Frequency of Inspection: Once a month.

Due Date: No more than 1 business days after the completion of a production or 1 business days after request by end user if report is to be generated without the need for an accompanying document production set.

Time for OCC Acceptance: Government has 5 business days to reject or accept Case Production Deliverables.

Time for Contractor Resubmission: Contract has 1 business days to resubmit corrected Case Production Deliverables. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Means of Inspection: Check SharePoint site for completeness and timeliness of all Case Production Deliverables.

Who Inspects: COR.

What: Contractor schedules case kick-off meeting.

Frequency of Inspection: Once a month.

Due Date: Contractor schedules a case kick-off meeting within 1 business day of request by end user.

Means of Inspection: Review of communications with CCISG team and end users.

Who Inspects: COR and CCISG team

Task 4.3 Perform Maintenance and Provide Operational Support

Deliverable 5 Maintenance and Operational Support Deliverables

a) The Contractor shall deliver Maintenance and Operational Support Deliverables, that include: 1) audit logs; and 2) reports.

AQL: For 10 out of the 12 calendar months, all deliverables are delivered on time.

What: Maintenance and Operational Support Deliverables.

Due Date: 1st Business Day of the month.

Time for OCC Acceptance: Government has 5 business days to reject or accept Maintenance and Operational Support Deliverables.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected Maintenance and Operational Support Deliverables. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once a month.

Means of Inspection: Check SharePoint site for completeness and timeliness of all Maintenance and Operational Support Deliverables.

Task 4.4 Provide Technical Support

Deliverable 6 Knowledge Base Articles

Task 4.4 Provide Technical Support

a) The Contractor shall draft a new KBS or update an existing KBA at the direction of the COR.

AQL: Contractor shall deliver any KBA requested by the COR within 10 business days.

b) The Contractor shall review and update KBAs annually. If Contractor determines update is not necessary, Contractor shall submit their decision in writing to COR.

AQL: All KBAs shall be reviewed and updated, if necessary, no more than 12 months after their original publication date. If Contractor determines an update is not necessary, Contractor shall inform COR, in writing, no later than 12 months after their original publication.

c): For Critical Issues if the OCC is unable to use the solution either due to an outage or a fatal error of some kind, the Contractor shall respond to the incident within one business hour of assignment of the incident to the Contractor’s Service Now queue. The Contractor shall communicate regular updates to the COR, via email and telephonic message, during the resolution of this type of incident.

AQL: Contractor responds to critical issue incident within one business hour of the assignment of the incident to the Contractor’s ServiceNow queue for 90% of incidents.

d): For Moderate Issues, if one or more features of the solution are not working properly and there are no acceptable workarounds, but the system remains operable, the Contractor shall respond to the incident within four business hours of notification by the OCC. The Contractor shall communicate at least once every business day (8 a.m. to 6:00 pm, Eastern Time, Monday through Friday) until the incident is resolved.

AQL: Contractor responds to moderate issue incident within one four business hours of notification by the OCC for at least 90% of moderate issue incidents. Contractor shall communicate at least once every business day (8 a.m. to 6:00 pm, Eastern Time, Monday through Friday) until the incident is resolved for at least 90% of moderate issue incidents.

e) The Contractor shall acknowledge incidents in the ServiceNow queue by assigning it to an individual to resolve.

AQL: Contractor shall acknowledge at least 90 percent of incidents within two business hours.

f) The Contractor shall resolve Tier-2 incidents in the ServiceNow queue by entering it into a Restored state in ServiceNow.

AQL: The time to resolution for an incident is the time from when an incident enters the ServiceNow queue to the time it enters a Restored state. The Mean Time to Resolution (MTTR) is the average of those times for each incident. For tier-2 incidents, the Contractor’s MTTR must be less than or equal to 24 business hours. If an incident is system related and outside of the Contractor’s control, the Contractor will serve as a liaison between the user and Relativity support. Time expended after an incident is entered in the ServiceNow queue, that is outside of the Contractor’s control will not be included in this calculation. (e.g. Time spent for COR to respond to Contractor; Time spent for Relativity to resolve a system issue; etc.)

g) The Contractor shall resolve Tier-3 incidents in the ServiceNow queue by entering it into a Restored state in ServiceNow.

AQL: For tier-2 incidents, the MTTR must be less than or equal to 32 business hours. If an incident is system related and outside of the Contractor’s control, the Contractor will serve as a liaison between the user and Relativity support. Time expended after an incident is entered in the ServiceNow queue, that is outside of the Contractor’s control will not be included in this calculation. (e.g. Time spent for COR to respond to Contractor; Time spent for Relativity to resolve a system issue; etc.)

h) The Contractor shall acknowledge service requests in the ServiceNow queue by assigning it to an individual to resolve.

AQL: Contractor shall acknowledge at least 90 precent of service requests within 6 business hours.

i) The Contractor shall resolve service requests in the ServiceNow queue by entering it into a Restored State in ServiceNow.

AQL: The time to fulfillment for a service request is the time from when a service request enters the ServiceNow queue to the time it enters a Restored state. The Mean Time to Fulfillment (MTTF) is the average of those times for each service request. The Contractor’s MTTF must be less than or equal to 32 business hours. Time expended after an incident is entered in the ServiceNow queue that is outside of the Contractor’s control will not be included in this calculation. (e.g. Time spent for COR to respond to Contractor; Time spent for Relativity to resolve a system issue; etc.)

What: Drafting New KBA or Updating existing KBAs Due Date: 10 business days after request from COR.

Time for OCC Acceptance: Government has 10 business days to reject or accept new or updated KBAs.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected KBAs. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Monthly.

Means of Inspection: Check SharePoint site for completeness and timeliness of the KBA.

Who Inspects: COR.

What: Annual Updating of KBAs.

Due Date: 12 months after acceptance and publication of KBAs, and every 12 months thereafter for remainder of contract.

Frequency of Inspection: Once a month.

Means of Inspection: Check SharePoint site for completeness and timeliness of the updated Knowledge Base Articles OR if Contractor determines update is not necessary, COR will review Contractor’s response.

What: Critical Issue response times Frequency of Inspection: Once a month.

Due Date: Contractor responds within one hour of the assignment of the incident to the Contractor’s ServiceNow queue.

Means of Inspection: Check ServiceNow reports for timeliness of incident response.

What: Moderate Issue response times.

Frequency of Inspection: Once a month.

Due Date: Contractor responds within four business hours of notification by OCC and communicate at least once every business day (8 a.m. to 6:00 pm, Eastern Time, Monday through Friday) until the incident is resolved .

Means of Inspection: Check ServiceNow reports for timeliness of incident response and CCISG team inbox.

Who Inspects: COR and CCISG team.

What: Time to acknowledge incident.

Due Date: 2 business hours after incident enters the ServiceNow Queue.

Frequency of Inspection: Once a month.

Means of Inspection: Check ServiceNow reports for timeliness of acknowledgment.

What: The MTTR for tier-2 incidents .

Due Date: Tier-2 tickets are resolved 16 business hours after ticket has been acknowledged.

Frequency of Inspection: Once a month.

Means of Inspection: Check ServiceNow reports to calculate MTTR of tier-2 tickets.

What: The MTTR for tier-3 incidents .

Due Date: Tier-3 tickets are resolved 24 business hours after ticket has been acknowledged.

Frequency of Inspection: Once a month.

Means of Inspection: Check ServiceNow reports to calculate MTTR of tier-3 tickets.

What: Time to acknowledge service request.

Due Date: 4 hours after incident enters the ServiceNow Queue.

Frequency of Inspection: Once a month.

Means of Inspection: Check ServiceNow reports for timeliness of acknowledgment.

What: The MTTF for service requests.

Due Date: 24 business hours after service request has been acknowledged.

Frequency of Inspection: Once a month.

Means of Inspection: Check ServiceNow reports for timeliness of resolution.

Task 4.5 Implement Quality Control Processes

Deliverable 7 Quality Control Plan

a) The Contractor shall deliver a Quality Control Plan (QCP).

AQL: The Contractor shall deliver a quality control plan within 30 calendar days of contract start. If Contractor and COR agree to changes to QCP, the Contractor shall provide an updated QCP within 10 days of agreed upon changes.

What: Delivery of Quality Control Plan.

Due Date: No later than 30 calendar days after contract start.

Time for OCC Acceptance: Government has 10 business days to reject or accept the Quality Control Plan.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected Quality Control Plan. If complexity requires additional time, Contractor will negotiate with the government for a new due date. If Contractor and COR agree to changes to QCP, the Contractor shall provide an updated QCP within 10 business days of agreed upon changes.

Frequency of Inspection: Once initially, and once for every updated QCP submission.

Means of Inspection: Check SharePoint site for completeness and timeliness of the Quality Control Plan.

Task 4.6 Export and Destroy OCC Data Upon Case Closure

Deliverable 8 Data Exports for Closed Cases

Deliverable 9 Certifications of Data Return and Destruction

a) Prior to the destruction of OCC data, the contractor shall return the data via data exports and provide necessary supporting documentation.

AQL: The contractor shall provide exported data and necessary supporting documentation within 15 business days of request.

b) The contractor shall destroy OCC data and provide certifications of data return and destruction.

AQL: The contractor shall destroy data and deliver certifications of data return and destruction no later than 10 business days after OCC confirms receipt of exported data and all necessary supporting documentation.

What: Delivery of data export and necessary supporting documentation.

Due Date: Within 15 business days of request.

Time for OCC Acceptance: Government has 10 business days to reject or accept data export and necessary supporting documentation.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected data export and necessary supporting documentation. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once per request of data export and destruction.

Means of Inspection: Check SharePoint site for completeness and timeliness of necessary documentation AND CCISG team will review data export.

Who Inspects: COR and CCISG team

What: Destruction of OCC data and delivery of certifications of data return and destruction.

Due Date: No later than 10 business days after OCC confirms receipt of exported data and all necessary supporting documentation.

Time for OCC Acceptance: Government has 10 business days to reject or accept certification of data return and destruction.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected certification of data return and destruction. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once per request of data export and destruction.

Means of Inspection: Check SharePoint site for completeness and timeliness of certifications of data return and destruction.

Who Inspects: CCISG Manager.

Task 4.7 Provide Project Management

Deliverable 10 Project Schedule

Deliverable 11 Weekly Status Report

Task 4.8 Phase-Out (Perform Data Migration)

Deliverable 12 Transition-Out Plan

a) The Contractor shall deliver a project schedule that covers the full scope of the work outlined in Task 4.13 of the PWS.

AQL: The Contractor shall deliver the project schedule within 45 calendar days of the contract start.

b) The Contractor shall deliver a weekly status report, as outlined in Task 4.13 of the PWS.

AQL: 90% of weekly reports shall be delivered by the first business day of the week by 12:00 PM EST.

a) Contractor shall deliver a transition-out plan.

AQL: The transition-out plan shall be delivered no later than 120 calendar days prior to the expiration or termination of the contract.

b) The contractor shall transition data to another service provider and/or government personnel in accordance with the approved transition-out plan.

AQL: All data shall be transitioned no more than 90 calendar days prior to completion of contract.

What: Delivery of project schedule.

Due Date: Within 45 calendar days of the contract start.

Time for OCC Acceptance: Government has 5 business days to reject or accept the project schedule.

Time for Contractor Resubmission: Contract has 5 business days to resubmit corrected project schedule. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once.

Means of Inspection: Check SharePoint site for completeness and timeliness of project schedule.

Who Inspects: COR.

What: Delivery of weekly status report.

Due Date: Due the first business day of the week by 12:00 PM EST. If defects are found with status report, Contractor has 1 business day to correct issues.

Time for OCC Acceptance: Government has 3 business days to reject or accept weekly status report.

Time for Contractor Resubmission: Contract has 1 business day to resubmit corrected weekly status report. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Weekly.

Means of Inspection: Check SharePoint site for completeness and timeliness of weekly status report.

What: Delivery of transition-out plan.

Due Date: Within 120 calendar days.

Time for OCC Acceptance: Government has 20 business days to reject or accept transition-out plan.

Time for Contractor Resubmission: Contract has 10 business days to resubmit corrected transition-out plan. If complexity requires additional time, Contractor will negotiate with the government for a new due date.

Frequency of Inspection: Once.

Means of Inspection: Check SharePoint site for completeness and timeliness of exported transition-out plan.

What: Transition Data.

Due Date: 90 calendar days prior to completion of contract.

Frequency of Inspection: Once.

Means of Inspection: CCISG team will review exported data and transition-out plan to ensure all data has been exported and delivered.

Who Inspects: CCISG Team.

12 Performance Reporting

12.1. Performance Assessment Report

The LSS COR will perform quarterly assessments and will file an annual assessment via the Contractor Performance Assessment Reporting System (CPARS). The Performance Assessment Report (PAR) provides the Government and the Contractor the ability to track the progress of Contractor performance in a formalized way to assist in the annual assessments submitted via CPARS. The PAR will be used to report all minor discrepancies and will be generated by the COR and provided to the CO to be sent to the Contractor for corrective action. Contractors will be given 10 days to correct the items stated in the PARs, unless they have requested an extension and the extension has been granted. If three or more minor discrepancies are found, the COR will combine them and process a Corrective Action Report (CAR).

Although the COR prepares the PAR quarterly, the Contractor’s performance will be monitored continuously and submitted to the CO via monthly reports. The COR will assist the CO in monitoring contract performance per the COR appointment letter provided to the COR by the CO. The following is the Performance Assessment Report (PAR) Form that will be used quarterly for evaluation of activities during the period of performance.

SAMPLE PAR FORM

PERFORMANCE ASSESSMENT REPORT (PAR)

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

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

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

Quarterly assessment will be used for Annual assessment with the following evaluation factors:

a. Schedule and Timeliness of Deliveries – The COR will assess the Contractor’s adherence to the required project schedule by assessing the Contractor’s efforts during the assessment period that contribute to or affect schedule variance. This will take into consideration the significance of scheduled events and assess the effectiveness of corrective actions taken by the Contractor. The Contractor will be rated on the responsiveness to the contract tasks and their timely submissions of required support services and system features, as required by the contract. In addition, the Contractor will be rated on their conduct of scheduled reviews and their timely submission of review materials, per the agreed upon process and associated timelines as required by the contract.

b. Quality of Product or Service (Technical Performance) – The COR will assess the Contractor’s effort to transform operational needs and requirements into an integrated solution. Areas of focus may include the planning and management of program tasks, the quality of support provided throughout all phases of contract execution, and the management of a totally integrated effort of all program management concerns to meet cost, performance, and schedule objectives. The Contractor will be evaluated quarterly with respect to the quality of the required support services and system enhancements using the standards and monitoring methods as outlined in this document. The COR will document and archive the evaluations in the surveillance folder. The Contractor’s contribution in meetings and reviews, quality of technical reports, productivity level, and the overall quality of technical support will be assessed within the evaluations.

c. Business Relations or Management – The COR will assess the turnaround, completeness, and quality of problem identification, corrective action plans, the cooperativeness of the Contractor, and customer satisfaction. The Contractor’s ability to identify and apply resources required to meet schedule requirements, assign responsibility for tasks/actions required by the PWS, and communicate appropriate information to affected program elements in a timely manner will also be assessed. The COR will assess the Contractor’s program management and identified technical risks and the associated risk mitigation plans to determine if there are any impacts to project objectives. Contractor management should put adequate systems in place to most efficiently perform the contract and protect Government interests. For example, the Contractor should have approved Government property management, quality control, and accounting systems in place.

12.2. Customer Complaint Form

The COR will complete the following form on behalf of the Customer if the Customer pursues on filing a complaint of a service or product not meeting the Customer’s expectations. The Customer must provide the COR with supporting evidence of complaint or feedback. After the COR validates feedback or complaint demonstrating Contractor noncompliance, the COR will process a PAR or CAR to the CO. All Customer Complaint forms will be validated by the COR prior to notifying the Contractor.

SAMPLE CUSTOMER COMPLAINT FORM

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

12.3. Corrective Action Report (CAR)

The CAR will be used to report a situation when there are three or more minor discrepancies, or any major discrepancies documented. The CAR will be generated by the COR and forwarded to the CO for action. A copy will be provided to the Contractor representative by the CO.

CARs are required to be corrected within 30 calendar days. Depending on the complexity of the finding, the Contractor may be allowed up to six months to correct a CAR. The COR will request that the Contractor provide the status of CARs monthly. The COR will keep an electronic log of all CARs and will keep a hard copy of CARs in the contract surveillance file.

SAMPLE CAR FORM

CORRECTIVE ACTION REPORT (CAR)

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

9. ISSUING AUTHORITY

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

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