ATTACHMENT_04,_Draft_Quality_Assurance_Surveilance_Plan.pdf

Defense MilPay Office Integrated Support

HQ042319R0049 ATTACHMENT 04

Quality Assurance Surveillance Plan (QASP) For

DMO Integrated Support Services

Version 1.1

July 03, 2019

DMO Integrated Support Services Quality Assurance Surveillance Plan

DOCUMENT CHANGE CONTROL

This chart will contain a history of this document’s revisions. A brief description of the change should be entered in this section.

Version Primary Author(s)

Description of Change Date Completed

1.0 K. Hawthorne Initial draft created for distribution

and review comments

10/23/2018

1.1 J. Osudoh Edited for Solicitation attachment 7/3/2019

The following Government personnel have approved the implementation of this plan:

PREPARED BY: _____________________________________________________

Contract Specialist, DFAS-CSD/ZEC

REVIEWED BY: _____________________________________________________

DMO Systems Manager, DFAS-CSD/ZTB

APPROVED BY: _____________________________________________________

Supervisory Contracting Officer, DFAS-CSD/ZEC

Contents

1.0 INTRODUCTION

1.1 PURPOSE

1.2 PERFORMANCE MANAGEMENT APPROACH

1.3 PERFORMANCE MANAGEMENT STRATEGY

2.0 ROLES AND RESPONSIBILITIES

2.1. The Contracting Officer (CO)

2.2 The Contracting Officer’s Representative (COR)

2.3 The Contracting Officer’s Technical Representative (COTR)

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Acceptable Quality Level (AQL)

5.0 QUALITY ASSURANCE REPORTING

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

Attachment I: Performance Requirements Summary (PRS) ............................................... I-1

Attachment II: Quality Assurance Monitoring Form......................................................... II-1

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) for DFAS Services. This performance based plan sets forth the procedures and guidelines DFAS will use in evaluating the performance of the contractor.

1.1 PURPOSE

1.1.1 The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in the PWS.

1.1.2 This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the contractor’s performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

1.2.1 This QASP will define the performance management approach taken by DFAS to monitor, manage, and take appropriate action on the contractor’s performance against expected outcomes or performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether or not expected outcomes for required services are being achieved adequately by the contractor.

1.2.2 Performance management will focus on assessing whether or not outcomes are being achieved. An outcome focus will provide the contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved at the desired levels of performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

1.3.1 The contractor’s internal quality control system will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will utilize its internal quality control system to assess and report their performance to the designated Government representative.

1.3.2 The Government representative will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The Government will make decisions based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2.0 ROLES AND RESPONSIBILITIES

2.1. The Contracting Officer (CO)

The CO is responsible for monitoring contract compliance, contract administration and cost control and resolving any differences between the observations documented by the Contracting Officer’s Representative (COR) and the contractor’s performance.

2.2 The Contracting Officer’s Representative (COR)

The COR is appointed by the CO and is responsible for monitoring, assessing, and communicating the performance of the contractor and assisting the CO. The COR will have the responsibility for completing the Quality Assurance (QA) monitoring form (Attachment II) used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract.

2.3 The Contracting Officer’s Technical Representative (COTR)

The COTR, if applicable, is appointed by the CO and is responsible for monitoring, assessing, and communicating the technical performance of the contractor and assisting the COR. The COTR may have the responsibility for completing the Quality Assurance (QA) monitoring form (Attachment II) used to document the inspection and evaluation of the contractor’s work performance.

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

The contractor shall provide DFAS service support in accordance with the PWS. The performance standards are established in the paragraph of the PWS that covers the specific category of work. The acceptable level of performance (ALP) is set in the levels of performance related to each objective.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

In an effort to minimize the contract administration burden, simplified methods of surveillance techniques will be used by the Government to evaluate contractor performance. The primary methods of surveillance are reviewing contractor deliverables/reports against the ALP (See paragraph 4.2). The Government will use appointed representatives, as well as any reports and deliverables received to evaluate the contractor’s performance. Examples of common surveillance methods include:

• 100% inspection. The COR/COTR reviews all outputs related to cost, schedule, and quality.

• User feedback and surveys. The COR/COTR solicits information from the user community that may include a questionnaire designed to assess contractor performance. Feedback can be provided upon receipt of services or it can be solicited periodically.

• Random Sampling. This technique evaluates randomly selected outputs that are statistically significant to the contract requirement. This data can be used to indicate performance trends.

• Periodic Sampling. There are two variations to this method: 1) it is used at a predetermined time, such as once a week, twice a month, or some other repeatable time, or 2) it is used only when a deficiency is suspected or has been identified by some other means of inspection.

4.2 Acceptable Level of Performance

The acceptable levels of performance (ALP) are structured to allow the contractor to manage how the work is performed while the incentives/disincentives, if applicable, encourage contractor performance. All are key to the performance of each objective/task and to the overall completion of the contract or task order.

5.0 QUALITY ASSURANCE (QA) REPORTING

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PW and measured by the required performance metrics in Attachment I.

5.2 Monitoring Forms

The Government’s QA monitoring, accomplished by the COR (and others as designated) will be reported using the monitoring form in Attachments II. This form, when completed, will document the COR’s understanding of the contractor’s performance under the contract to ensure that the PWS requirements are met. The COR will retain a copy of all completed QA monitoring forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

The Government shall use the surveillance methods cited in each contract to determine whether the ALPs have been met. The Government’s evaluation is then translated into the specific incentives or disincentives, if applicable, that may cause adjustments to the contractor’s payments.

6.2 Reporting

As required, the COR/COTRs will prepare written reports for the CO summarizing the overall results of the quality assurance monitoring of the contractor’s performance.

These written reports may consist of the contractor’s submitted progress reports and the completed Quality Assurance Monitoring Form(s) (Attachment II).

6.3 Reviews and Resolution

6.3.1 The CO may require the contractor’s project manager, or a designated alternate, to meet with the CO, and other Government personnel as deemed necessary, to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the contractor; however, if the need arises, the contractor will meet with the CO as often as required or per the contractor’s request. The agenda of the reviews may include:

• Monthly performance measured by the metrics and trends

• Issues and concerns of both parties

• Projected outlook for upcoming months and progress against expected trend

• Recommendations made by the COR based on contractor information

• Issues arising from independent reviews and inspections

6.3.2 In addition to QA monitoring, the COR will use the information contained in the contractor’s monthly report to assess the contractor’s level of performance for each objective measured in this QASP (detailed in Attachment I). The COR must coordinate and communicate with the contractor and the CO to resolve issues and concerns of marginal or unacceptable performance.

6.3.3 The CO and COR should jointly formulate tactical and long–term courses of action for surveillance. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels and metrics will be incorporated as a contract modification at the convenience of the CO.

I-1

Attachment I: Performance Requirements Summary (PRS) Task

Work Objective Outcome/ Result

Acceptable Performance

Level

Surveillance Method -

Monitoring

4.2 Software Engineering, Migration, and Maintenance

4.2.1 Software Maintenance Activities

The Contractor shall support all phases of the development lifecycle for the DMO system, related applications, and interfaces, including:

audit readiness compliance requirements gathering technical analysis programming testing release management strategy formulation input (e.g.

on formulating ways to gather information from end users and customers and integrating application changes).

The Contractor understands DMO system issues and develops solutions, which the Contractor submits to the government for approval and then implements.

Meets identified schedule 85% of the time during rating period.

Monthly review performed by

GPOC.

4.2.2 Database Application Programming and

Support

The Contractor shall evaluate the Government’s planned database designs, provide database support, and provide advice and guidance on implementing industry best practices and ensuring audit readiness compliance.

When appropriate, the contractor shall propose modifications and/or alternative designs to improve overall application performance and reliability. Such proposals shall include design and development estimates. The Contractor shall obtain concurrence from the GPOC and COR on proposed table designs prior to designating it as a final design for implementation.

The DMO system achieves functionality, performance, integrity, and audit readiness.

DMO system is functioning 98% of the time.

Information in the DMO system is immediately available 98% of the time.

The integrity of the information in the DMO system is intact 100% of the time.

Monthly review

GPOC.

4.2.3 Technical Support for Application

Engineering

The Contractor shall:

ensure audit readiness compliance provide in-depth and detailed advice on both object-based and loosely coupled component architecture support a web environment with engineering support provide technical support and information related to the use of relational database technologies, data transformation, and design integration in a military pay and financial management environment; and develop a plan to transition DMO’s transactions to a database or warehouse structure.

Contractor provides the government with a written analysis that encompasses all material and relevant details necessary to create a successful design.

Working software meets the needs of the customers and is audit ready.

Meets identified schedule 85% of the time during rating period.

Items of software developed will be evaluated and 85% defect free and returned for re-work no more than twice.

Monthly review performed by

GPOC.

4.2.4 Business Consulting

The Contractor shall review current technology and identify functionality that could be used to save money or promote efficiencies in current processes (business diagnostic).

The Contractor shall draft reports designed to implement new requirements or capabilities or to improve audit readiness compliance.

The Contractor shall provide services in the areas of application design and integration, infrastructure architecture, enterprise services, interface specifications, data requirements, data transformation and application prototyping.

The Contractor shall provide requirements documentation services to support projects; interview and facilitate the identification of new business needs

The DMO system is continuously improving in terms of cost-savings and audit readiness.

The GPOC receives quarterly summarized reports of the improvement possibilities.

All reports, analysis, and requirements documentation are sufficiently detailed and all material items were identified.

Review reports, requirements documentation and proposals submitted.

and requirements and document requirements and; coordinate with other stakeholders to capture and document all necessary detail needed to adequately plan for implementing new capabilities.

The Contractor shall ensure that GPOC fully vets all customer requests and other identified business needs.

4.2.5 Testing Activities

The Contractor shall develop, maintain, execute and review technical/engineering test plans for applications, including web and large batch applications.

The Contractor shall write test scripts, test data, enter unit scripts into programming, and monitor results of tests and ensure audit readiness.

The Contractor shall provide professional advice and guidance on testing activities.

Testing activities are accurate, on schedule, and utilize industry best practices.

Reviews are not returned more than twice for revisions.

Testing activities are completed on schedule 95% of the time.

Review of test plans and documentation and schedule.

4.2.6 Agile Development Support and

Meeting Attendance

In supporting the DMO system, some of these projects may be managed as Agile projects. If so, the Contractor shall attend required daily stand up meetings and provide feedback and analysis on issues discussed. Supporting Agile development activities also includes sprint planning meeting, backlog grooming and other such Agile procedures or concepts.

The DMO system is maintained in an adaptive environment to timely support customer needs.

98% attendance at meetings.

Review of meeting notes.

4.3 Database Administration & Support

4.3.1 Administer and maintain databases in

the DMO System

The Contractor shall perform database administration activities for identified databases (IBM DB2, Oracle, & SQL)

Database designs comply with program goals and specification.

Database designs and advice are consistent with industry best practices.

Monthly review

GPOC.

to ensure applications are operating as designed and are audit ready.

The Contractor shall take all steps necessary to keep applications functioning properly and when requested, create a strategy and plan for integrating application changes seamlessly into a portal environment.

The Contractor shall evaluate the Government’s planned database designs for military pay functionality, and DMO System to ensure they achieve overall program objectives. When appropriate, the Contractor shall propose modifications and/or alternative designs to improve overall application performance and reliability. The Contractor shall ensure the database meets the requirements of the final design.

Proposed changes to database designs increase program speed, functioning, performance, decrease cost and/or improve integrity.

Meets identified schedule 85% of the time during rating period.

II-1

Attachment II: Sample Quality Assurance Monitoring Form

OBJECTIVE/TASK OR SERVICE PERFORMED:

DELIVERABLE/SURVEY PERIOD: ___________________

SURVEILLANCE METHOD (Check): ____ 100% Inspection

____ User Feedback/Surveys

____ Random Sampling

_____ Periodic Inspection

LEVEL OF SURVEILLANCE SELECTED (Check):

_____ Monthly

_____ Quarterly

_____ As needed

ANALYSIS OF RESULTS:

OBSERVED SERVICE PROVIDER PERFORMANCE MEASUREMENT RATE = ______%

SERVICE PROVIDER’S PERFORMANCE (Check): ____ Meets Standards

____ Does Not Meet Standards

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD:

PREPARED BY: ___________________________________ DATE: _________