FY19_Recompete_QASP_ITESS.docx

FINAL Request for Proposal

ITESS

Last Updated: 11 Nov 2018

INFORMATION TECHNOLOGY (IT)

ENGINEERING SUPPORT SERVICES (ITESS)

GOVERNMENT QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)

CONTRACT NO. TBD

1.0 INTRODUCTION

1.1 Purpose

The objective of this contract is to obtain Information Technology (IT) Engineering Support Services that will assist the Military Sealift Command’s (MSC) Command, Control, Communications, and Computer Systems (C4S) Division (N6) in providing and sustaining Department of Defense (DoD) and Department of the Navy (DoN) compliant technical C4S solutions for MSC through execution of the performance requirements defined in section 4.0 of the performance work statement (PWS), which will satisfy emerging requirements, enhance and develop IT capabilities in support of the MSC’s mission and assist in the development of governance to ensure IT capabilities align to MSC N6’s strategic Business Support Plan, MSC N6’s technical architecture road maps, Department of Defense (DoD), and Department of Navy (DoN) mandates. The solutions primarily satisfy emergent cyber security mandates, CTOs, and technical refreshes for end of life hardware and software.

The purpose of this Government Quality Assurance Surveillance Plan (QASP) is to define the overall approach and identify specific techniques that MSC, intends to use to monitor Contractor performance under the Information Technology (IT) Engineering Support Services (ITESS) contract. This plan defines the process the Government expects to follow to obtain data, evaluate the ITESS Contractor, and determine if contract performance is acceptable. The goal is to balance the level of Government surveillance with the perceived impacts and risks associated with performance hereunder. The Government reserves the right to modify this Plan at any time during the contract.

1.2 Scope

This QASP identifies the program requirements, strategies, resources, review and control processes, surveillance activities, and metrics for continuous measurement of ITESS Contractor performance. This plan provides effective and systematic surveillance methods for evaluating the ITESS Contractor services, processes, and products provided under this contract. The Government may evaluate work at any time during the ITESS Contractor’s work performance.

The intent of the QASP is to ensure that the ITESS Contractor performs in accordance with acceptable quality levels and the Government receives the quality of services and products called for in the contract. This QASP does not detail how the ITESS Contractor accomplishes the work. Rather, the QASP is based on the premise that the ITESS Contractor, not the Government, is responsible for managing its quality controls and ensuring that performance meets the terms of the contract. The role of the Government is quality assurance to ensure contract standards are achieved.

The QASP is intended to be a “living” document from which resources and activities will evolve from one phase to another during the life of the contract, and will be updated as required and defined in this document. This plan is applicable to any service or product provided, as well as all areas in which work is being performed by the ITESS Contractor(s). Throughout this QASP, the term ITESS Contractor is used. In terms of this plan, it should be known that unless explicitly stated, this term is applicable to both the ITESS Contractor and any and all subcontractors.

The surveillance program shall be a collaborative and integrated effort that includes all of the following task areas:

Task Area 1 – Contract Management Task Area 2 – Project Management Support Services Task Area 3 – Systems Engineering (SE) Support Services Task Area 4 – In-Service Engineering Activity (ISEA) Support Services Task Area 5 – MSC C4S Engineering lab (MCEL) Support Services Task Area 6 – IT Service Management (ITSM) Support Services Task Area 7 – Enterprise Architecture (EA) Support Services Task Area 8 – Information Assurance (IA) Support

1.3 Guiding Directives

The guiding documents for this surveillance effort include the Contract performance work statement, performance standards and deliverable requirements. Task Order requirements are specified in issued Task Orders. The contract identifies general requirements, and the Task Orders identify specific objectives or results desired for each requirement. In addition, the Task Orders identify specific performance standards, including deliverable requirements specified therein.

2.0 SURVEILLANCE STRATEGY AND APPROACH

2.1 General

There exists a wide-ranging spectrum associated with surveillance, ranging from oversight to insight. The strategy and approach to surveillance by MSC for the ITESS contract, as detailed in this plan, is one that concentrates primarily on insight via MSC exercising approval authority on contract task order deliverables documentation.

Regardless, the Government reserves the right to initiate additional surveillance activities (insight or oversight) on an ‘as needed’ basis, based upon circumstances and data collected (adverse trends, negative data points, lack of corrective action, etc.) As applicable, any and all oversight activities would be communicated and coordinated with the ITESS Contractor and subsequently documented within this QASP. The level of risk and the impact of failure are major determinants in helping define the type of surveillance to be conducted. Clearly, if the impact of failure is minor and the level of risk is low, only a small amount of insight-driven surveillance would normally be needed. Conversely, if the impact of failure could be significant and the level of risk is high, more extensive surveillance (including possible oversight surveillance) is warranted.

This insight-based approach to surveillance will utilize and leverage the Contract Management Plan (CDRL A103) and Quality Assurance Program Plan (QAP) (CDRL A109). Definitions, requirements, and specifications contained in the contract, PWS, task orders, referenced documents and CDRLs will establish a baseline for the surveillance activities. This insight-based approach will seek objective evidence and data that the ITESS Contractor's program and processes are functioning as intended in accordance with the terms of the contract. The focus will be on trusting the ITESS Contractor's QAP, and verifying that the ITESS Contractor is performing according to the policies, procedures, plans, and processes defined by their QAP.

The overall surveillance goal will be to obtain objective evidence and data that enable the Government to determine whether the ITESS Contractor's program and processes are functioning as intended in accordance with the terms of the contract. The focus will be on prevention rather than detection, i.e., emphasizing controlled processes and methods of operation, as opposed to relying solely upon inspection and test to identify problems.

This insight-based approach to surveillance as applied to the contract will result in lower levels of Government intervention, thus allowing the ITESS Contractor to assume full accountability and responsibility for integrity of processes. Although less obtrusive than oversight, this insight-based approach to surveillance continues to provide the Government with visibility into the ITESS Contractor's programmatic processes, technical processes, progress, and issues at all levels.

Oversight as applied to this contract will result in higher levels of Government surveillance. The Government will gather information pertaining to the ITESS Contractor's process through on-site involvement and/or inspection in the process and will monitor the process itself. The Government's involvement in the ITESS Contractor's performance, through oversight, will be will be limited and will only occur when deemed necessary by the Contracting Officer's Representative (COR).

2.2 Surveillance Activity Limitations and Guidance

2.2.1 General

Surveillance of ITESS contract, will be conducted on a non-interference basis and in a manner that will not unduly delay work being performed by the ITESS Contractor.

2.2.2 Insight

Insight is an assurance process that uses performance requirements and if definable, performance metrics to ensure process capability, product quality and end-item effectiveness. Insight relies on gathering a minimum set of product or process data that provides adequate visibility into the integrity of the product or process. The data may be acquired from ITESS Contractor records, usually in a non-intrusive parallel method. Insight as applied to this contract will result in lower levels of Government surveillance and allow the ITESS Contractor to assume increased responsibility and accountability for the integrity of processes. Insight will rely heavily on evaluating and approving planned contract deliverables, performance standards, and existing ITESS Contractor procedures and working documents, if available.

2.2.3 Oversight

Oversight as applied to this contract will result in higher levels of Government surveillance. The Government will gather information pertaining to the ITESS Contractor's process through on-site involvement and/or inspection in the process and will monitor the process itself. The Government's involvement in the ITESS Contractor's performance, through oversight, will be limited and will only occur when deemed necessary by the Contracting Officer's Representative (COR).

2.3 Surveillance Organization and Resources

2.3.1 General

Each of these entities and their associated responsibilities/input to the surveillance activities on ITESS contract are described in the following paragraphs.

2.3.2 Surveillance Team

2.3.2.1 ITESS Contracting Officer (KO)

The ITESS KO responsibilities are as follows:

· The KO is responsible for ensuring performance of all necessary actions for effective contracting, ensuring compliance with the terms of the contract, issuing task orders and safeguarding the interests of the United States in its contractual relationships. Within the surveillance area the KO takes inputs from the Program/Project managers, COR, ACOR and others to establish the detailed surveillance requirements to be performed by MSC personnel. The KO will also assure that the ITESS Contractor receives impartial, fair, and equitable treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the ITESS Contractor’s performance.

· The KO will complete an annual ITESS Contractor performance assessment report using the CPARS that will also be reviewed by the ITESS Contractor.

2.3.2.2 ITESS Contracting Officer’s Representative

The ITESS COR responsibilities are as follows:

· The COR is designated in writing by the KO to act as her or her authorized technical representative to assist in administering the contract. The COR monitors the technical work performed under the contract, evaluates ITESS Contractor performance, serves as the primary interface for the ITESS Contractor and the KO for all technical matters, reports on contract status to Project Manager, and recommends corrective action when necessary. The COR is not empowered to make any contractual commitments, authorize any contractual changes on the Government’s behalf, or in any way direct the ITESS Contractor to operate in conflict with the contract terms and conditions. Any changes that the ITESS Contractor deems may affect the contract value, terms, or conditions shall be referred to the KO for action.

· The COR assumes full responsibility for directing the surveillance activities identified in this plan.

· The COR will assist the KO in the completion of the contract’s annual performance assessment report using CPARS.

2.3.2.3 Technical Point of Contact (TPOC)

· MSC TPOCs are Government Technical individuals for developing Task Orders, reviewing the ITESS Contractor’s Task Plans, Task Order reports, Task Order deliverables and monitoring Task Order performance. Task Orders may include quantitative metrics, as appropriate. TPOCs provide detailed technical oversight of the ITESS Contractor’s performance and report findings to the COR in a timely, complete and impartial fashion. While the TPOCs may serve as a direct conduit to provide Government guidance and feedback to the ITESS Contractor on technical matters, the TPOCs are not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf.

· The TPOCs will provide quarterly evaluations of the ITESS Contractor’s to assist the COR in the completion of the annual performances assessment report.

2.3.3 Forms of Surveillance

2.3.3.1 General

Surveillance on the ITESS contract will be performed using any of the primary surveillance forms during applicable stages of the ITESS contract. These primary forms of surveillance are described below.

2.3.3.2 Communications

Communications is a general surveillance activity. Communications is a two-way process and includes both written and oral communication.

Examples of written communications activities that may be used in conducting surveillance include:

· Exchanges from the ITESS Contractor to the Government of plans, procedures, quality records, reports, etc.

· Exchanges from the Government to ITESS Contractor of letters, reports, review results, etc.

· Ad hoc information submitted by COR and/or TPOCs to the KO related to the ITESS Contractor’s electronic mail.

Examples of oral communications activities that may be used in conducting include:

· Informal telephone calls, teleconferences.

· Informal verbal inquiries, discussions, engineering consultations.

· Working group meetings, technical/status briefings, progress reviews, technical information meetings, and formal and informal reviews.

· Informal discussions.

2.3.3.3 Management Reviews and Reporting

Examples of management review and reporting activities that may be used in conducting surveillance include:

· Formal, process, and progress reviews.

· Review of contract deliverables.

· Documentation of problems, issues and concerns.

· Data collection reporting.

· Review of task order deliverables, products, and documentation.

2.3.3.4 Periodic Inspections

Inspections can be scheduled or unscheduled as required.

Examples of periodic inspections may be used in conducting surveillance include:

· Scheduled or unscheduled inspections of the MCEL to ensure it is manned during the hours of operation and daily check list was performed as outlined in the task order.

· Scheduled or unscheduled inspections of ITESS Contractor work spaces to ensure MSC identification badges are properly worn.

· Scheduled or unscheduled inspections of ITESS Contractor work spaces to assurance compliance with MSC security compliance requirements.

· Scheduled or unscheduled inspections of ITESS Contractor work spaces to assess adequacy of facilities, equipment and materials.

2.4 Work Review and Performance Monitoring

The COR, with the assistance of the TPOC, will perform the following functions to evaluate the ITESS Contractor's performance:

· Reviews specific PWS and Task Order areas with the TPOC(s) to assure that work being performed and deliverables are in accordance with the technical requirements of the PWS/Task Order timely.

· Reviews individual Task Orders with the TPOC(s) to assure that each Task Order is technically within the scope of the contract and its personnel requirements and schedule are within the ITESS Contractor's capabilities.

· Reviews ITESS Contractor Task Plans to ensure that performance estimates are acceptable and that all milestones and deliverables have been identified.

· Reviews the ITESS Contractor's monthly Contract Management Review Report, Contract Status Report, and Performance Reports Progress Report for accuracy and completeness. Consult with TPOCs as necessary, to assess the fidelity of reports.

· Meets monthly, or more often if required, with the ITESS Contractor's Program Manager to discuss overall contract management and performance, review staffing and schedule issues, and review cost related issues.

· Reviews Key Personnel Resumes to ensure that required qualifications are met.

· Certifies the ITESS Contractor’s invoices for payment in accordance with MSC procedures.

The TPOC will perform the following functions to evaluate the ITESS Contractor’s performance:

· The TPOC will review the ITESS Contractor’s Task Plans, Task Order reports, Task Order Contract Data Requirement List (CDRL) deliverables and monitor Task Order performance.

· The TPOC will provide detailed technical oversight of the ITESS Contractor’s performance and report findings to the COR in a timely, complete and impartial fashion.

· The TPOC will conduct file reviews, periodic inspections, random observations, and collect customer complaints. The TPOC will forward findings, both positive and negative to the COR.

· The TPOC reviews and approves all task order deliverables in a timely manner as to not delay payment of a ITESS Contractor’s invoice.

· The TPOC will Provide quarterly performance evaluations to the COR for input of the annual ITESS Contractor Performance Assessment Report (CPAR) of the ITESS Contractor.

2.4.1 Government Property Administration

The COR will carry out the following functions.

· Validate that Government property is made available in accordance with the terms of the contract.

· Review and approve ITESS Contractor’s Travel Requests.

· Review and approve ITESS Contractor’s requests for acquisitions of supplies.

· Validate and approve ITESS Contractor’s request for NMCI Laptops and/or software for the laptops.

· Validate and approve ITESS Contractor’s request for NIPR and SIPR email accounts.

2.4.2 Performance Monitoring

The COR will ensure that employer–employee relationships do not occur between Government and ITESS Contractor personnel. This is achieved if the following is adhered to:

· Only the ITESS Contractor interviews prospective employees.

· Only the ITESS Contractor’s Program Manager assigns work directly to the employees.

· Only the ITESS Contractor approves timecards and absences.

· Government personnel do not interfere with the ITESS Contractor regarding personnel and administrative prerogatives.

3.0 PERFORMANCE STANDARDS

3.1 Mandatory or Regulatory Compliance Items

The ITESS Contractor will provide initial proof of compliance with regulatory and compliance items contained in the contract. The Contracting Officer's Representative (COR) and the Contracting Officer (KO) will evaluate the initial submission and will conduct ad hoc reviews of the ITESS Contractor's compliance throughout the remainder of the contract. The ITESS Contractor will monitor compliance as required by FAR 52.222-50, Combating Trafficking in Persons, and report any issues to the KO.

3.2 Acceptable Quality Level (AQL)

The AQL for this project is 100% due to the critical support provided by Engineering Support Services and its impact on MSC operations and systems/network accreditation.

3.3 Incentives (Positive and/or Negative)

The following negative incentives apply to all tasks covered by this QASP and attached PWS:

· If schedule milestones are made 95% of the time, there will be no adjustment to the invoice amount.

· If schedule milestones are NOT made 95% of the time, the invoice amount can be reduced up to 10% for the period.

The following negative incentives apply for PWS deliverables:

· If deliverables delivered on time or before required due date with no more than two revisions or submissions per deliverable, there will be no adjustment to the invoice amount.

· If deliverables are NOT on time or before required due date with no more than two revisions or submissions per deliverable, the invoice amount may be reduced by 1% per instance.

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