J-10 QASP Task Order 0002.pdf

02 AUG 2010

NET-CENTRIC INTERGRATED ENTERPRISE INFORMATION TECHNOLOGY

SOLUTIONS (NIEITS)

SOLICITATION HQ0034-10-R-0046

Engineering -Task 0002

Quality Assurance Surveillance Plan (QASP)

Team Members Coordination & Review:

Date:

Program Office

________________________________________ Date:

Contracting Officer Representative (COR)

Contracting Officer

Contractor (After Award)

The Quality Assurance Surveillance Plan (QASP) is published separately and is not part of the contract. It is issued with the RFP for informational purposes only. The QASP procedures can be changed unilaterally by the Government at any time. What cannot be changed without formal contract modification by the contracting officer is the Performance-Based Matrix that contains the outcomes and associated standards to be surveilled. This QASP has been developed pursuant to the requirements of the RFP and Performance Work Statement (PWS) HQ0034-10-R-0046; Engineeering –Task 0002.

Quality Assurance Surveillance Plan (QASP)

CAUTION!

Contract authority is restricted to the contracting officer (KO). The Contractor will work with the Contracting Officer Representative (COR) on day-to-day activities. The KO has delegated certain authorities to the COR, which are contained in the COR’s “letter of appointment,” a copy of which will be provided to the Contractor upon award of the contract.

Remember: It is the Contractors responsibility to keep the KO informed of all significant contract activities.

1. INTRODUCTION

1.1 Purpose

This QASP specifically corresponds to the RFP Section C, Attachment C-1, Performance Work Statement (PWS) for the Engineering Task Order.

This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document to provide monitoring, inspection, and reporting of all contractor operations under the subject procurement. It provides systematic quality assurance methods to evaluate the services the contractor is required to furnish. The surveillance/evaluation methods identified in the QASP, in concert with the contractor’s Quality Control Procedures, will ensure that the contractor performs in accordance with the performance metrics and the Government receives the quality of services called for in the contract.

The QASP focuses on the following areas:

a. Provides an overview of the Engineering Task Order of the NIEITS contract vehicle

b. Identifies the services and products that will be measured

c. Describes the scope of the QASP

d. Establishes the responsibilities for assuring quality performance

e. Provides for feedback to the contractor regarding quality, quantity, and timeliness of the service outputs

f. Establishes timeframes for communicating performance improvements needed

1.2 Overview

1.2.1 The overall outcome that the Government is seeking by award of this contract is to acquire advisory and assistance services1 to support and improve the information technology (IT)

1 FAR 2.101(b) definitional subdivision (1): “(1) Management and professional support services, i.e., contractual services that provide assistance, advice or training for the efficient and effective management and operation of organizations, activities (including management and support services for R&D activities), or systems. These services are normally closely related to the basic responsibilities and mission of the agency originating the requirement for the acquisition of services by task order. Included are efforts that support or contribute to improved organization of program management, logistics management, project monitoring and reporting, data collection, budgeting, accounting, performance auditing, and administrative technical support for conferences and training programs.”

operations2 of the Department of Defense/Office of the Secretary of Defense (OSD) Chief Information Office (CIO). The intended outcome of this task order will be to enable the continuous well-functioning of the OSD CIO. That functioning shall include project management, engineering, design, transition and application development functions supporting the OSD IT operating environment.

In general the contractor shall advise the Government on IT technical issues, provide subject matter expertise representation on DoD, OSD, Government agency, industry panels, working groups and meetings. The contractor shall deliver high-quality project plans, reports, analyses, studies, and high quality and timely responses to recurring and ad hoc tasks. The required support has four general areas of emphasis as specified in table 1.1

Table 1.1 General Areas of Contract Performance :

Functional Areas Enterprise Technical Architecture Project plans with well defined milestones, costs, equipment and license requirements Implementation plan with realistic schedule and milestones Thorough documentation Application development and support Engineering support activities

Table 1.2 Contractor Identification:

Prime Contractor Contract Number To Be Added

2. SCOPE

To fully understand the roles and responsibilities of the parties, it is important to first define the distinction in terminology between Quality Control Plan and the Quality Assurance Surveillance Plan. The Contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the contract. The Contractor develops and submits a Quality Control Plan (QCP) for Government approval in compliance with the contract. Once accepted, the Contractor then uses the QCP to guide and to rigorously document the implementation of the required management and quality control actions to achieve the specified results.

The QASP on the other hand, is put in place to provide Government surveillance oversight of the Contractor’s quality control efforts to assure that they are timely, effective and are delivering the results specified in the contract, FAR 52.246-4 Inspection of Services – Fixed-Price.

2 Authorized by FAR 37.203(b)(5).

3. RESPONSIBIITIES OF THE QUALITY ASSURANCE SURVEILLANCE TEAM

3.1. Contracting Officer (KO). The KO has the overall responsibility for overseeing the contractor’s performance.

The KO is responsible for monitoring the contractor’s performance in the areas of contract compliance, contract management, and the resolution of all issues relative to the language of the contract. Although the KO will have overall responsibility for overseeing the contractor’s performance, the KO may delegate to the COR the responsibility for the day-to-day monitoring of the contractor’s performance in the areas of contract compliance, contract administration, property control; and reviewing the COR’s and the customers’ assessments of the contractor’s performance. The KO has the sole authority to resolve all differences between the Government and the contractor arising out of the contract. The KO has sole authority to interpret contract language should a disagreement arise between the parties. The COR has no authority to interpret contract language. The KO is the SOLE Authority for:

• any decisions that produce an increase or decrease in the scope of the contract;

• any actions subject to the “Changes” clause;

• any decision rendered under the “Disputes” clause;

• negotiation modifications to the contract;

• for the approval of substitution or replacement of key personnel;

• to approve the Contractor’s invoices for payment;

• monitor and enforce Department of Labor promulgated labor requirements;

• to arrange and supervise quality assurance activities under this contract;

3.2. Contracting Officer Representative (COR). The COR Verifies that the contractor fulfills the PWS requirements; Ensures that non-conformances are identified and establishes the significance of a nonconformance when considering the acceptability of services that do not meet contract requirements. The COR is responsible for:

Developing and applying efficient procedures for performing Government contract quality assurance actions under the contract in accordance with the written direction of the contracting officer;

Performing all actions necessary to verify whether the services conform to contract quality requirements;

Maintaining, as part of the performance records of the contract, suitable records reflecting the nature of Government contract quality assurance actions, including, when appropriate, the number of observations made and the number and type of defects; and Decisions regarding the acceptability of the products, the processes, and the requirements, as well as action to correct defects. Implements any specific written instructions from the KO;

Reporting to the KO any defects observed in design or technical requirements, including contract quality requirements; recommend any changes necessary to the contract, specifications, instructions, or other requirements that will provide more effective operations or eliminate unnecessary costs. Has primary responsibility for signing off on all invoices and documenting the inspection and evaluation of the Contractor’s performance.

Works closely with the customer and the Contractor to ensure good communication and resolve any problems not requiring the KO’s authority;

3.3. Task Order Monitor (TOM). The OSD CIO assigns Task Order Monitors (TOM) for which the OSD CIO is the overall task lead. TOM must be delegated and receive COR training prior to assuming their duties as specified herein. Task Monitors (TOM) are responsible for:

• Observe contractor performance and provide current, accurate information and assessment.

• Maintain accurate documentation of contractor performance assessment in accordance with the Performance Plan.

• Review contractor-submitted Receiving Report and notifies PM if inappropriate for payment.

• Prepare the performance reports and providing the report to the COR and KO by 10th calendar day of each month; Assist in the development of reports.

• Collect and document all contractor deficiencies, analyze them for recurring instances

(trend analysis) and monitor all corrective actions.

• Monitor assigned task orders to ensure they remain within cost and schedule, and reports to PM/COR with discrepancies.

• Prepare Performance Plan Supplements, if required.

3.4 The Contractor. The Contractor is responsible for carrying out its obligations under the contract by controlling the quality of services; tendering to the Government for acceptance only those services that conform to contract requirements; ensuring that vendors or suppliers of raw materials, parts, components, subassemblies, etc., have an acceptable quality control system; maintaining substantiating evidence, as required by the contract, that the services conform to contract quality requirements, and furnishing such information to the Government as required. The contractor is responsible for:

Providing and maintaining an inspection system or program for the control of quality that is acceptable to the Government. The control of quality by the contractor may relate to, but is not limited to:

• Testing and examination, to ensure that practices and equipment provide the means for optimum evaluation of the characteristics subject to inspection;

• Reliability and maintainability assessment (life, endurance, and continued readiness);

• Technical documentation, including drawings, specifications, handbooks, manuals, and other technical publications;

• Preservation, packaging, packing, and marking;

• Procedures and processes for services to ensure that services meet contract performance requirements.

The contractor is responsible for performing all inspections and tests required by the contract; complies fully with the terms and conditions of the contract and participates as a member of the Quality Assurance team in the management of the contract.

Ensures that non-conforming contract services are identified and corrected and the inspection system is revised to prevent recurrence.

Tenders to the Government for acceptance only those services that conform to contract requirements and recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

4. SURVEILLANCE PROCEDURES.

4.1. Performing Surveillance. Actual surveillance must be done as stated in this Performance Plan. Surveillance includes planning surveillance, observing, documenting, and resolving performance issues discovered through surveillance.

4.2. The Contracting Officer Representative (COR) must inspect task performance by watching actual task performance, physically checking an attribute of the completed task, checking a management information report, or otherwise inspecting the task or its results to determine whether or not the performance meets the standards contained in the contract.

4.3. Task Order Monitors (TOMs) will evaluate the performance objectives through periodic inspections of the contractor’s performance during each service month. TOMs will also solicit customer input to evaluate the Contractor’s performance. TOMs should record both outstanding and unacceptable performance in the TOM Evaluation Report. When performing duties as the TOM:

• The TOMs are not the contractor’s primary inspector. The contractor is responsible for assuring performance that meets the contract standards. Unless a safety issue is involved, the TOMs do not direct contractor employees to do any rework. TOMs must always notify the contractor supervisor of the deficient performance. It is generally a good practice to conduct the inspection of the contractor’s work accompanied by the contractor supervisor.

This joint inspection should be unannounced. Maintain a detailed record of all quality assurance surveillance to include all communications with the contractor supervisor.

• Make sure that the promised inspections are actually performed, the results reported, any corrective action noted, any required follow up action indicated and subsequently taken, and that the company performs an audit of the system outside the supervisory organization. At your discretion, inspect the actual work to validate the accuracy of the inspection reports.

• All performance must be documented, whether acceptable or unacceptable.

When unacceptable performance is documented, the TOM will take the following actions: When Government actions or inactions caused the unacceptable performance, take steps to prevent it in the future. Otherwise if the unacceptable performance was not caused by the Government, inform the Contractor’s Quality Control representative of the unacceptable performance and the reasons why it is unacceptable. If the Contractor wants to dispute the results of the surveillance, refer the Contractor to the COR and the KO for resolution. Performance will be determined unacceptable only after all contributing factors have been considered.

• Monetary deductions are a remedy of last resort. If the contractor can redo or perform the work within the contract schedule they will be permitted to do so.

This would then constitute acceptable work. If the work cannot be reperformed within the contract schedule, then provide the COR and the KO with a recommended deduction.

• TOMs will keep the COR and the KO over-informed. TOMs must provide sufficient documentation to the KO. Documentation is essential for both inadequate as well as exceptional performance.

4.4. Documenting Surveillance.

4.4.1. Documentation is required to record, evaluate, and report contractor’s performance using the attached Surveillance Report (SR). This documentation provides the Contracting Officer (KO) with contractor status as it applies to the performance criteria. Every effort should be made to make this report to the KO as accurate as possible. The COR is required to maintain accurate records of the contractor’s performance and keep the KO informed of all data pertaining to contractor status. Documenting surveillance is of major importance to the total process of surveillance. The KO cannot properly administer the contract without documentation of actual surveillance.

4.4.2. All documentation resulting from surveillance must be made part of the contract file.

The COR must retain any and all surveillance documentation in their COR files for the life of the contract. Should COR responsibilities be shifted to another individual, the new COR shall be responsible for the maintaining of the historical and current COR files. The COR shall submit a Sureillance Report and a Monthly Surveillance Summary Report (COR MSSR) documentation/reports to the KO by the 10th day of the month.

5. SURVEILLANCE METHODS FOR SERVICES.

The COR will review documentation and /or observe accomplishment of single or multiple Performance Objective(s) to ensure that particular Performance Standard(s) are being met as specified in the Performance Standards Matrix. There are multiple methods to employ when accomplishing surveillance. The methods used for this contract shall be; 1) Periodic Surveillance, 2) Random Inspection, and 3) 100% Inspection. Regardless of the particular method employed, the COR must document each surveillance as it is conducted.

5.1. Periodic Surveillance. COR personnel are to be objective, fair, and consistent in evaluating contractor personnel. Periodic surveillance can be accomplished on a weekly (i.e., twice per week), monthly, quarterly, daily basis, depending on the criticality, frequency, complexity, etc of the service being assessed. Whichever period we use, it must be remembered, the goal of the Government is to conduct the minimal amount of surveillance that is necessary to ensure the Government receives the service it has contracted for.

5.2 Random Inspection. Random Inspection can be accomplished by performing surveillance of a(n) Performance Objective(s) on a non-predictable basis and/or random frequency. Again, the goal of the Government is to conduct the minimal amount of fair and objective surveillance that is necessary to ensure the Government receives the service it has contracted for.

5.3 One Hundred Percent (100%) Inspection/Surveillance. One Hundred Percent Inspection is inspecting a Performance Objective every time it occurs

6. UNACCEPTABLE PERFORMANCE/REPERFORMANCE PROCEDURES.

6.1 The COR will document all findings of surveillance, both positive and negative. Should the contractor fail in performing any objective, the COR will identify the issue on the spot with the appropriate contractor representative. The COR will complete the surveillance report for that particular task and allow the contractor to respond to the negative find in writing. The contractor will need to respond to the issue in writing by: 1) providing a reason for the failure, 2) provide immediate corrective actions the contractor shall employ to remedy the issue, and 3) identify long term corrective actions to prevent recurrence.

6.2 Deficiencies shall not exceed the performance thresholds cited in the Performance Standard Matrix for each performance objective. If any of the services do not conform to contract requirements, In Accordance With the FAR 52.212-4, “Contract Terms and Conditions—Commercial Items”, the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount.

6.3 Should the contractor’s representative disagree with and dispute the COR’s findings, that opinion should be identified in writing in lieu of the 3 responses as identified in Paragraph 6.1 of QASP. The contractor shall identify in writing the reason for the non-concurrence with the COR’s observation(s) and report it to the KO for further action.

6.4 Documented unacceptable, as well as acceptable, performance information will be included when assessing the contractor’s overall performance which will be used to determine future contract actions with that company (i.e. exercising of options, determining contractor responsibility, past performance for future awards, etc.).

7. SERVICES SUMMARY/PERFORMANCE STANDARDS

Tasks Item Description Due Inspection Method

1 Weekly Summary Report

Summary of all Projects completed or being worked including estimated miles stones.

Every Friday 100% Inspection

2 Requirements Analysis

Preliminary, revised and final Requirements Analysis submitted as part of the Project Plan

As required 100% Inspection

2 Project Plans Preliminary, revised or complete Project Plan for each project assigned. Revisions expected

As required 100% Inspection

2 Acquisition Plan Complete Acquisition Plan for each approved project plan

As required 100% Inspection

2 Preliminary Cost Estimate

Rough order of magnitude cost estimate for each project assigned.

3-5 Business days after project assignment

100% Inspection

2 Cost Estimate Review

A revised Cost Estimate based on a revised or final Project Plan

1-3 Business days after Project Plan is complete or revised

100% Inspection

2 Final Cost Estimate

The Final Cost Estimate based on Project Plan and Acquisition Plan

1-3 Business days after project assignment

100% Inspection

3 Forward Schedule of Changes

(FSOC)

Update FSOC with project activity changes.

As requested by the Government.

Random Inspection

3 Project

Product/Service Engineered, tested, deployed, and documented for in-housed directed projects.

In accordance to project plan and as requested by the Government.

100% Inspection

3 Service Transition Package

Documentation to support the transition of projects from OSD CIO Enterprise Engineering to OSD CIO Service Operations.

As requested by the Government.

100% Inspection

4 Requirements Analysis

A report describing the requirements for a change or development of a new custom application including estimated milestones, labor hours and resources required to complete

As required 100% Inspection

4 Project Plans Preliminary, revised or complete Project Plan for each project assigned. Revisions expected

As required 100% Inspection

4 Use Case A report of requirements for a change or development of a new custom application in a work flow format i.e. Rational Rose.

As required according to Project Plan

100% Inspection

4 Source Code The actual software code after the project is complete, to include development, testing and implementation

As required according to Project Plan

100% Inspection

4 Data Dictionary A data dictionary is a collection of descriptions of the data objects or items in a data model for the benefit of programmers and others who need to refer to them

As required according to Project Plan

100% Inspection

Tasks Item Description Due Inspection Method

4 Test Plan A document detailing a systematic approach to testing developed software.

As required according to

4 Training Plan A document detailing end user training. As required according to Project Plan

100% Inspection

4 Remedy Knowledge Management Data

A collection of trouble shooting guides and FAQs loaded into Remedy for each project.

As required according to

5 Project

Product/Service Engineered, tested, deployed, and documented for in-housed directed projects.

In accordance to project plan and as requested by the Government.

100% Inspection

7 Forward Schedule of Changes

(FSOC)

Update FSOC with project activity changes.

As requested by the Government.

Random Inspection

7 MS SCCM

Package

Engineered and tested packages of software and patches.

As requested by the Government.

Random Inspection

7 MS App-V Package

Engineered and tested packages of software and patches.

As requested by the Government.

Random Inspection

7 Project Product/Service

Engineered, tested, deployed, and documented for in-housed directed projects.

In accordance to project plan and as requested by the Government.

Random Inspection

7 Service Transition Package

Documentation to support the transition of projects from OSD CIO Enterprise Engineering to OSD CIO Service Operations.

As requested by the Government.

Random Inspection

7 SCCM Report Develop, test, and distribute SCCM Reports.

As requested by the Government.

Random Inspection

7 OSD Enterprise Baseline

Develop, test, distribute, and document the OSD Enterprise Baseline.

Quarterly or As requested by the Government.

Random Inspection

7 OSD CIO and

OSD

Components

SLA

Accomplish work in support of SLAs. As requested by the Government.

Random Inspection

All Incident Report Report that include date, time, cause, and resolution of an incident. Post to OSD CIO Portal.

As required Random Inspection

All Change Notification Document

Generate Change Notification Documents. As requested by the Government.

100% Inspection

All OSD CIO and

OSD

Components

SLA

Accomplish work in support of by SLAs. As requested by the Government.

Periodic Inspection

All Remedy Ticket Respond to ticket requests. As required Random Inspection All Weekly Activity

Report Report to include Activities performed, usage statistics, performance metrics, recommendations, etc

Every Friday Random Inspection

All Technical Presentation

A written or oral presentation on a project, requirement or technical subject

As requested by the Government

Tasks Item Description Due Inspection Method

All SOP Document all processes. Create or update existing SOPs.

As requested by the Government