HSHQDC-13-R-00047_-_Attachment_7.pdf

HSHQDC-13-R-00047 Attachment 7

Quality Assurance Surveillance Plan

Version 1.0

Contract Number: TBD Requirement Description: HSPD-12 Products and Services Contractor’s Name: TBD (hereafter referred to as the Contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (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. However, the Government shall coordinate changes with the Contractor. 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.

The following FAR clauses may apply depending on contract type:

52.246-4 Inspection of Services – Fixed-Price, and 52.246-6 Inspection of Services – Time-and-Material and Labor-Hour.

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

a. 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 assure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned Contract CO: Paula Nusbaum Organization or Agency: DHS, Office of Procurement Operations Telephone: 202-447-0907 Email: Paula.Nusbaum@hq.dhs.gov

b. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the CO, the COR shall provide documentation to the CO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

Assigned Contract COR: TBD Telephone: TBD Email: TBD

3. CONTRACTOR REPRESENTATIVES:

The following employees of the Contractor serve as the Contractor’s representatives for this contract.

a. Program Manager: TBD Telephone: TBD Email: TBD

4. PERFORMANCE STANDARDS.

Performance standards define desired services. The Government performs surveillance to determine if the Contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary, incorporated as Section 3.18 in the Performance Work Statement includes performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

5. INCENTIVES.

The Government shall use performance reporting in the contractor performance assessment rating system as the incentive. Incentives shall be based on exceeding, meeting, or not meeting performance standards.

Information about incentives can be found in Section 3.18 of the contract.

6. METHODS OF QUALITY ASSURANCE SURVEILLANCE.

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR shall always contact the Contractor's task manager or on-site representative when an issue is identified and inform the manager of the specifics of the problem. The COR, with assistance from the CO, if needed, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard/AQL.

mailto:Paula.Nusbaum@hq.dhs.gov

a. DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

• (3) Deliverable Documentation

• (5) Training according to user levels/needs (e.g. end users, administrators, help desk support, management, etc.)

• (6) Security Compliance

• (7) Help Desk resolution deadlines to incidents, problems, and service requests.

b. PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

• (1) Adherence to DHS specific information processing standards, functional requirements and security standards

• (2) Interfaces compatibility

• (4) IDMS conversion effort for re-hosting from one platform, architecture, operating system, database, communication system, programming language, and/or data distribution method to another

• (6) Security Compliance

c. USER SURVEY

• (5) Training according to user levels/needs (e.g. end users, administrators, help desk support, management, etc.)

• (7) Help Desk resolution deadlines to incidents, problems, and service requests.

d. VALIDATED USER/CUSTOMER COMPLAINTS

• (5) Training according to user levels/needs (e.g. end users, administrators, help desk support, management, etc.)

• (7) Help Desk resolution deadlines to incidents, problems, and service requests.

e. PROGRESS OR STATUS MEETINGS.

• (3) Deliverable Documentation

• (4) IDMS conversion effort for re-hosting from one platform, architecture, operating system, database, communication system, programming language, and/or data distribution method to

f. ANALYSIS OF CONTRACTOR'S PROGRESS REPORTS. (Evaluate cost, schedule, etc.)

• (1) Adherence to DHS specific information processing standards, functional requirements and security standards.

• (3) Deliverable Documentation

• (4) IDMS conversion effort for re-hosting from one platform, architecture, operating system, database, communication system, programming language, and/or data distribution method to

Surveillance results may be used as the basis for actions (to include payment deductions) against the Contractor. In such cases, the Inspection of Services clause in the contract becomes the basis for the CO’s actions.

7. QUALITY ASSURANCE SURVEILLANCE PLAN TABLE

Service Output Performance Objective

Acceptable Quality Level (AQL)

Method(s) of Inspection

Positive Incentive

Negative Incentive

1. Adherence to DHS specific information processing standards, functional requirements and security standards.

Products/services provided under this PWS shall conform to all DHS specific information processing standards, functional requirements and security standards.

All new

IDMS/CMS

development products and any enhancements of existing systems, databases, and/or platforms are tested and validated for functionality, accuracy, and adherence to DHS security standards, HSPD-12, FIPS 201 and applicable NIST Special Publications.

All requirements mandated by laws, regulations, standards, and governance must be 100% compliant.

Provide no less than 99.9% system uptime.

Periodic inspection, analysis of contractor’s progress reports

Positive past performance evaluation.

100% payment for meeting all mandated requirements.

Past performance evaluation is negative.

If performance is below standard, at any point during the duration of the contract, Contractor will be required to perform remedial work at Contractor's expense.

Objective

Acceptable Quality Level (AQL)

Method(s) of Inspection

Positive Incentive

Negative Incentive

2. Interfaces compatibility.

Interfaces must maintain compatibility among system components in the operational environment.

Achieve Cost and Schedule goals.

2.1 Deliver

efficient and responsive support, reacting quickly, strongly, and favorably to priority questions, requests or proposals.

2.2 Deliver

technically sound work, which meets requirements, complies with standards and is consistent with other related deliverables.

2.3 Deliver the

functionality of interfaces to meet required systems architecture and processing capabilities.

No deviation Periodic inspection Positive past performance evaluation

100% payment of invoice.

Past performance negative

Objective

Acceptable Quality Level (AQL)

Method(s) of Inspection

Positive Incentive

Negative Incentive

3. Deliverable Documentation.

Documentation for deliverables must match the DHS specific system processing and operational procedures

Documentation meets agency specific formats for accuracy and completeness.

98% accuracy. Direct observation, progress or status meeting, Analysis of Contractor's progress reports.

Positive reflection in Contractor Performance Assessment Rating System

Negative reflection in Contractor Performance Assessment Rating System

4. IDMS

conversion effort for re-hosting from one platform, architecture, operating system, database, communication system, programming language, and/or data distribution method to another.

4.1 Achieve Cost

and Schedule goals.

4.2 Functionality of

the solution meets required systems architecture and processing capabilities.

4.3 Existing DHS

EIWS is compatible within the new processing environment.

4.4 Delivery dates

are met, or exceeded.

Base line functionality is met at 100%.

Data must be 100% accurate or as accurate as the authoritative source data.

Period inspections, Progress or status meetings, Analysis of Contractor's progress reports.

Positive past performance evaluation.

100% payment of invoice.

Past performance

5. Training according to user levels/needs (e.g.

end users, administrators, help desk support, management, etc.).

5.1 Deliver training

material that meets high quality professional standards, and results in high levels of customer satisfaction.

Minimum Customer Satisfaction Survey average score is Satisfactory.

Direct observation, User survey, Validated user/customer complaints

100% payment of invoice.

Proportional reduction in contract line item price, or overall contract value, attributable to training.

Objective

Acceptable Quality Level (AQL)

Method(s) of Inspection

Positive Incentive

Negative Incentive

6. Security Compliance.

6.1 Meet all

Government and agency specific requirements

No deviation Direct observation, Periodic inspection

100% payment for meeting all mandated requirements.

If performance is below standard, at any point during the duration of the contract, Contractor will be required to perform remedial work at Contractor's expense.

7. Help Desk resolution deadlines to incidents, problems, and service requests.

7.1 Achieve

response times and resolution deadlines for all incidents, problems, and service requests.

Resolution Deadlines for each Priority Level are met at 95%.

Direct observation, user survey, validated user/customer complaints

Positive past performance evaluation.

Past performance

8. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

EXCEPTIONAL: Performance significantly exceeds contract requirements to the Government’s benefit.

SATISFACTORY: Performance meets contract requirements.

UNSATISFACTORY: Performance does not meet contract requirements.

9. DOCUMENTING PERFORMANCE.

a. ACCEPTABLE PERFORMANCE.

The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for Contractor Performance Assessment Rating System Reports.

b. UNACCEPTABLE PERFORMANCE.

When unacceptable performance occurs, the COR shall inform the Contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the Contractor's program manager or on-site representative. A CDR template is attached to this QASP.

The Contractor shall acknowledge receipt of the CDR in writing. The CDR 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 CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the Contractor's corrective action plan to determine acceptability.

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

10. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract or delivery/task order performance the COR will periodically analyze whether the negotiated frequency of surveillance is appropriate for the work being performed.

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the Contractor on a quarterly basis to assess performance and shall provide a written assessment for the preceding period. Interim assessment will be provided to the Contractor on an as-needed basis, as determined by the COR.

Contracting Officer’s Representative Date

PERFORMANCE REPORT

1. CONTRACT NUMBER:

2. PREPARED BY: (NAME OF COR)

3. DATE AND TIME OF OBSERVATION:

4. OBSERVATION:

Prepared by:

CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number:

2. TO: (Contractor Program Manager, Task Manager or on-site representative)

3. FROM: (Name of COR)

4. DATE AND TIME OBSERVED DISCREPANCY:

5. DISCREPANCY OR PROBLEM:

6. CORRECTIVE ACTION PLAN:

A written corrective action plan < is / is not > required.

The written Corrective Action Plan will be provided to the undersigned not later than < # days after receipt of this CDR. >

Prepared by:

Received by:

Contractor Program Manager, Task Manager or Date On-Site Representative