Attach_2_AMP_Increment_V_QASP.pdf

UNCLASSIFIED

HTC71117RD001

Attachment 2

PROVIDING FOR INFORMATIONAL PURPOSES

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

for

Analysis of Mobility Platform (AMP)

13 April 17

APPROVED:

RUBEN L RUIZ EMILY S TIFT

AMP Program Manager Contracting Officer

USTCAQ-M USTCAQ-DPO

1. INTRODUCTION

1.1. This Quality Assurance Surveillance Plan (QASP) has been developed to set forth the procedures and guidelines to be used by the Government to ensure that the contractor achieves the required performance standards as specified in the Performance Work Statement (PWS). The PWS contains a Service Delivery

Summary (SDS) that summarizes performance objectives (service required) and performance thresholds

(specific standard) contained within the body of the PWS. The SDS does not identify every service required, but only those services considered most important for mission accomplishment. This QASP is based on the premise that the contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The SDS recognizes that the contractor is not a perfect manager and that unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the contractor to meet or exceed the performance standards specified in the PWS.

2. PURPOSE

This QASP is to

1. Provide a systematic method to survey and evaluate contractor services to determine conformity with the technical requirements of the contract.

2. Define the roles and responsibilities of participating Government officials.

3. Describe the evaluation methods that will be employed by the Government in assessing the contractor’s performance.

4. Describe the process of performance documentation.

5. Provide copies of the Quality Assurance (QA) monitoring forms that will be used by the Government in documenting and evaluating contractor’s performance.

3. ROLES AND RESPONSIBILITIES

The Government monitors contractor performance on a continuing basis through the services of a surveillance team. The surveillance team consists of the following members: Contracting Officer (CO) and Contracting

Officer’s Representative (COR).

3.1. Contracting Officer (CO): The CO has overall responsibility for contract administration. The CO is responsible for monitoring contract compliance and resolving any and all disagreements regarding interpretation of contract terms and conditions. The two primary functions of the CO with regard to the surveillance activity are to approve payments and authorize changes to the contract. Payment is authorized based on documented objective evidence provided by the COR that contractor performance meets the performance standards specified. The CO is the only Government official authorized to revise the contract.

Additionally, the CO is responsible for approving the QASP.

3.2. Contracting Officer’s Representative (COR): The COR serves as a functional expert and is responsible for monitoring, assessing, recording and reporting the technical performance of the contractor on a continuous basis. The COR schedules surveillance activities, evaluates and documents performance by the contractor, initiates requests for and evaluates adequacy of the corrective action, and reports contractor performance of contractor requirements. CORs are sufficiently trained to perform the required duties and to ensure their knowledge of the terms and conditions of the contract.

3.2.1. The COR is to be objective, fair, and consistent in evaluating contractor performance against standards.

3.2.2. The COR will notify the CO immediately when an evaluation shows that performance does not meet the standards identified in this QASP.

3.2.3. The COR is required to ensure changes in work are not initiated before a written authorization or modification is issued by the CO.

3.2.4. The COR will monitor contractor compliance with FAR Clause 52.222-50, Combating Trafficking in

Person, as follows:

a. The COR will reiterated the notification requirements in Paragraph (d) of the clause to the contractor within 10 days after contract award.

b. The COR will validate the contractor has notified its employees of (1) the United States

Government’s zero tolerance policy described in paragraph (b) of FAR Clause 52.222-50; and (2) the actions to be taken against employees for violation in writing and provide a copy to the contracting officer.

3.2.5. The COR is required to accept delivery of services. The COR must ensure that all services on all

CLINs have been performed. DCAA will enter the quantity received and digitally sign the receiving report/invoice in Wide Area Work Flow (WAWF). The COR/DCAA has a maximum of seven (7) days after the contractor’s submission of a properly documented receiving report/invoice to accept the quantity and digitally sign the document in WAWF. Prompt processing of receiving reports/invoices in WAWF increases the Government’s ability to take discounts offered and decreases the likelihood of the Government incurring interest expense for late payment. After digital signature, the signed receiving report/invoice will be routed to

Defense Finance and Accounting Service (DFAS) for scheduling of payment. For Labor Hour CLINs, the

COR must review, on a monthly basis, the cost vouchers submitted and ensure the dollars expended are commensurate with the progress being made on the contract.

3.2.5. The COR is required to provide an assessment of contractor performance to the CO for input into

CPARS.

4. METHODS OF SURVEILLANCE

4.1. Service Delivery Summary (SDS): The SDS summarizes the expected service objectives (outcomes) and identifies the metrics that will be tracked to determine whether the outcomes are being achieved at the appropriate levels of performance. The Government, through the COR, will monitor contractor performance using the surveillance method(s) described below. In determining the evaluation criteria, the Government has considered what the contract specifically calls for, how performance can be surveyed, and if the proposed method of surveillance is adequate to assure the required level of performance has been achieved.

Additionally, contractor performance will be a factor affecting application of the plan; i.e., surveillance frequency may be increased or decreased based on contractor demonstrated and documented performance.

One or a combination of the following surveillance methods will be used to produce a well-rounded indication of contractor conformance: Sampling (spot, periodic, random), third party audit, inspection/review

(verification of specific tasks, weekly, monthly, quarterly, biannually, and annually), and customer/government input.

4.1.1. Sampling: This is the most appropriate method for frequently recurring tasks. Random sampling is done to determine whether to accept or reject the contractor’s performance of the total lot of a particular task for a given period of time, using the premise that the statistically selected sample is representative of the entire lot. Sampling may be spot, periodic, or random.

4.1.2. Third Party Audits: Conducted by an authorized agent of the Government, federal, state, and local agencies (i.e., OSHA, DMV, EPA, Environmental Management, etc.).

4.1.3. Inspection/Review

This surveillance type is preferred for those tasks that occur infrequently. It is also used frequently for those tasks having very stringent performance requirements. When this type of surveillance is used, the COR must inspect and evaluate the contractor’s performance each time it is performed to determine acceptability.

This type of surveillance consists of the evaluation of samples selected on other than a 100 percent or statistically random basis. The results of periodic surveillance inspections may be used as the basis for actions against the contractor. In such cases, the Inspection of Services clause becomes the basis for the CO’s actions.

This will be done more frequently at the beginning of the contract, and is expected to decrease as standards are consistently met, but may increase if performance falls below standard.

4.1.4. Customer Inputs

The COR may use customer input to document discrepancies in contractor performance. The CO may use validated customer complaints as the basis for actions against the contractor. In such cases, the appropriate contract clause addressing inspection of contractor performance becomes the basis for the CO’s actions.

Under the philosophy of performance-based service contracting, we expect the customer to file complaints directly with the contractor with an automatic copy going to the COR. This allows COR oversight of the contractor’s progress in answering complaints, resolving problems and updating the Quality Control (QC) program, while the contractor is responsible to the customer. When used, customer complaints must follow a formalized procedure.

a. The COR is the primary point of contact for and must receive copies of all customer complaints. AF

Form 714, Customer Complaint Record, or a locally devised form may be used, but all complaints and any resulting resolution must be documented with the information required on AF Form 714.

Customer complaint forms become a permanent part of the COR surveillance records.

b. The COR will check customer complaints to ensure resolution of the deficiency and revision of the QC program to prevent recurrence.

4.1.5. Management Review: Methods of surveillance can change after contract award based on acceptance of a contractor’s proposed QC program or agreement that establishes the metrics to be used. When metrics are used as a method of surveillance through the partnering process, they may be developed after contract award, but prior to the performance start date.

4.1.6. Non-SDS Items: For required tasks not shown on the SDS, including all other tasks in the PWS and any referenced documents, the Government still retains the right to inspect any item included in the contract in accordance with Federal Acquisition Regulation (FAR) Part 46 Inspection of Services clause. Inspection of these services will be performed in the same general manner as periodic surveillance items mentioned above.

The results of these inspections are documented and, if necessary, are provided to the CO for action. Should a discrepancy be observed, the CO will handle each documented discrepancy on a case-by-case basis.

5. EVALUATION METHODOLOGY

This QASP comprehensively guides the surveillance team's activities and has been developed in a format to ensure ease of understanding and implementation. For each performance objective in the SDS, the specific method(s) of surveillance, performance thresholds (standards), sampling procedures, inspection procedures, and detailed objective task descriptors are shown in the QASP Summary in Attachment 1. The methodology described in the chart shall be used as the basis for performing surveillance of the respective performance objectives.

5.1. Established Procedures.

Each contractor assessment shall follow an established procedure for surveillance, recording, reporting, and follow-up, outlined as follows:

The frequency of surveillance will be in accordance with the COR Schedule.

Surveillance will be performed in accordance with Attachment 1 and results/comments recorded.

Performance/non-performance for a particular task will be entered chronologically by the COR on a historical log of surveyed performance. If no deficiency exists in contractor performance for this element, no further action is required.

If contractor performance is deficient, the course of action is dependent on the severity/impact/ frequency of the non-performance. Re-performance is the first action to resolve deficiencies. When the COR determines a deficiency is not Government caused, an AF Form 802, Contract Discrepancy Report, or a locally devised form, is initiated. The COR completes blocks 1 through 6 of the form and sends it to the CO. The CO must evaluate the Contract Discrepancy Report and, if appropriate, sign and send it to the contractor. The contractor must complete blocks 9 and 10 according to the requirements of the contract and return it to the CO within 5 calendar days of receipt. Upon receipt of the contractor’s response, the CO, in consultation with the

COR, must evaluate the contractor’s response and take the appropriate action. The CO must document the evaluation (in block 11) and action taken (in block 12) on the Contract Discrepancy Report. The COR shall submit a Discrepancy Status Report (see attachment 2) and attach a copy of all Contract Discrepancy Reports for the reporting period.

When corrective action is reported by the contractor, the COR will follow up with additional surveillance to verify implementation.

5.2. Conversation record: Conversation Record, (DOD) Optional Form 271, may be used throughout this process to effectively document program issues and concerns addressed with the contractor and Government points of contact. This provides a method to keep QA personnel informed of the status of issues and concerns.

6. GOVERNMENT FURNISHED PROPERTY

The contractor shall perform an annual inventory of Government furnished property in August of each year. The inventory shall be accomplished, recorded, and records provided to the Contracting Officer

Representative within 10 days of completion. The reports should include a report of discrepancies, a report on the loss of Government property, and a Report of the Government furnished property physical inventory results.

7. DOCUMENTATION

All surveillance activities must be documented to provide the required audit trail to justify Government acceptance and payment. The documented audit trail of the surveillance (DAS) activities is required by FAR

46.104(c), Contract Administration Office Responsibilities, which states, “Maintain, as part of the performance records of the contract, suitable records reflecting, (1) the nature of Government contract quality assurance actions including, when appropriate, the number of observations made and the number and type of defects; and (2) decisions regarding the acceptability of the products, the processes, and the requirements, as well as action to correct defects.”

All documentation resulting from surveillance is made a permanent part of the contract file. The COR must keep the documentation files during the term of the contract and either monthly or at the conclusion of the contract (as directed by the CO) transfer the files to the CO for inclusion in the official contract file. It is the responsibility of the COR to establish and maintain this information in a DAS Folder. The surveillance folder(s) should include as a minimum:

a. Contract, including modifications

b. Task Orders, including modifications

c. Quality Assurance Surveillance Plan

d. COR Letter of Designation

e. Invoices

f. Surveillance Records

g. Written report of all inspections and timelines of deliverables

h. Written report of any deficiency

i. Any other written documentation relation to contract performance

j. COR’s validation contractor has notified its employees of US Government’s policy on TIP, IAW FAR

52.222-50

k. Inventory Records of Government Furnished Property

j. General Correspondence

HTC71117RD001

Attachment 2

QASP Attachment 1 - QASP SUMMARY

The following items will be used for evaluation of performance for the duration of this contract.

Performance Objective PWS Para Performance Threshold Surveillance Method

Develop and Deliver IMS

Deliver RMP, SRS, STDs, SVDs, Software

Releases, Software User

Manual, Source Code, DISA Application

Security and

Development Checklist, Application Code Scan

Reports, Training

Materials

1.3.1.5, 1.3.3.2, 1.3.4.2.,

1.3.4.2. 3, 1.3.4.3, 1.3.7.1, 1.3.7.1.3, 1.3.6.3

Documents: No more than one (1) late delivery of draft and no more than 5 days late of final versions. Documents should contain no more than 1 critical or more than 4 substantive comments per document. No more than 2 sets of revisions/corrections with all revisions/corrections accomplished or incorporated by due date. (A second “set” may be necessary should Government comments be required on the second draft (or

“final”) delivery in response to the first set of

Government comments.)

Software: Delivered on time, with no more than 1 planned version delivered no more than

5 days beyond ORR (according to contractor-and Government-agreed schedule), with no more than 2 Priority 1 problem reports, 4 or fewer Priority 2 problem reports, 6 or fewer

Priority 3 or below problem reports. All

Priority 1 and 2 and 50% or more of the

Priority 3 problem reports submitted during

UAT resolved and operational software delivered on time, according to contractor-and Government-agreed schedule, with no more than 1 planned version delivered no more than 2 days beyond PRR, according to contractor- and Government-agreed schedule.

Inspection/Review to verify compliance IAW

PWS

Inspection/Review to verify compliance IAW

PWS

QASP Attachment 2

XX XXX XX

MEMORANDUM FOR USTRANSCOM/TCAQ

ATTN: EMILY TIFT, CONTRACTING OFFICER

FROM: TCAQ-M

SUBJECT: USTRANSCOM/TCAQ-M AMP Performance Analysis Discrepancy Status Report (month)

1. Period Covered: (First to last day of the reporting period, i.e. 1-31 October XXXX)

2. Area Covered: (Performance Objective, PWS paragraph, Task Descriptor, i.e. Support Desk, 1.2.1.1. .)

3. Overview of Performance:

a. Summary - (Summary of what was done by the COR to assure contract compliance, i.e. audits, data review, and surveillance)

b. Contract Discrepancy Reports (CDRs) - List all CDRs documented during the reporting period. Provide status of all open CDRs. Attach copies of CDRs to the monthly report.)

c. Corrective Action Follow Up - (Report any follow-up actions performed during the reporting period.)

4. Performance Analysis: (State your analysis of the contractor's performance.) Include positive and negative areas.

5. Areas of Concern: (Identify in narrative form ANY problem(s) or potential problem areas which may impact contract performance to SOW requirements or any aspect of the program.)

6. COR O&M Status: (Indicate current COR listing and their O&M status - Phases I and II; and any information regarding COR changes planned - new personnel requiring training, etc.)

RUBEN L. RUIZ

Contracting Officer’s Representative (COR)

X Attachments:

Contract Discrepancy Reports