RFQ 8246 Attachment 5 BPA Quality Assurance Surveillance Plan QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN

Enterprise Program, Project, Integration Services (EPPIS) (PWS Attachment 5)

1. Purpose

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled, “Performance Work Statement, Enterprise Program, Project, Integration Services (EPPIS)”. This plan sets forth the procedures and guidelines the IRS will use in ensuring the required performance standards and services levels are achieved by the contractor.

The purpose of the QASP is to describe the methods the IRS will use and to identify the documentation and resources the IRS will employ to monitor the contractor’s performance under the Blanket Purchase Agreement (BPA) awards. The QASP provides a means for evaluating whether the contractors are meeting the performance standards and quality levels identified in the below and ensures that the Government pays only for the level of services it receives.

The plan will define the roles and responsibilities of all members of the project team, identify the performance objectives, define the methodologies used to monitor and evaluate the contractors’ performance, describe quality assurance documentation requirements, and describe the analysis of quality assurance monitoring results.

2. Performance Management Approach

The PWS structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractors should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by the IRS to monitor and manage the contractors’ performance to ensure the expected outcomes and performance objectives communicated in the PWS are achieved.

Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed if the proposed processes are within the stated constraints. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract if the critical outcomes expected are being achieved and/or the desired performance levels are being met.

3. Performance Management Strategy

The contractors are responsible for the quality of all work performed. Contractors shall measure that quality through their own quality control program. The contractors shall develop and implement performance management systems with processes to assess their performance. Quality control is work output, not workers, and therefore includes all work performed under the BPAs regardless of whether the work is performed by contractor employees or by subcontractors.

3.1 Quality Control Plan (QCP)

The contractors shall prepare Quality Control Plans (QCP) in accordance with Section

7.1.2 of the PWS for the services that will provided under the BPAs. The purpose of the QCP is to outline a strategy and identify mechanisms for ensuring that all deliverables meet the performance standards set forth in this QASP. Under the plans, the contractors must describe the quality control methods that will be employed to meet the BPA requirements.

The plans should describe the methods for identifying and preventing problems before the level of performance becomes unacceptable and should include any methods or monitoring techniques that will be employed to ensure that the services comply with BPA requirements. The plans will set forth the staffing and procedures for self- inspecting the quality, timeliness, responsiveness, customer satisfaction and other performance requirements in the PWS. QCPs shall be submitted within 30 days of BPA awards.

3.2 Incentives/Disincentives

The Government’s representative(s) will monitor performance to determine how the contractors are performing against communicated performance objectives. The IRS will make a determination regarding incentives/disincentives and notify the contractors of those decisions. The contractors will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

Certification by the IRS of satisfactory services provided under the BPAs is contingent upon the contractors performing in accordance with the performance standards and with all other terms and conditions of the BPAs and the Task Orders. Inspection and acceptance of deliverables will be performed in accordance with FAR 52.246-4, Inspection of Services-Fixed-Price. Contractor performance that does not conform to the standards set forth in this QASP shall be subject to the remedies provided under this clause. These remedies may be applied at the BPA level and/or Task Order level. In accordance with the clause, if any of the services do not conform to contract requirements, the Government may require the contractors to perform the services again in conformity with contract requirements, at no increase in contract amount.

When the defects in services cannot be corrected by re-performance, the Government may -

(1) Require the contractors to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the contract price to reflect the reduced value of the services performed.

If the contractor fails to promptly perform the services again or to take the necessary action to ensure future performance is in conformity with contract requirements, the Government may -

(1) By contract or otherwise, perform the services and charge to the contractor any cost incurred by the Government that is directly related to the performance of such service; or

(2) Terminate the contract for default.

In addition to the remedies under FAR 52.246-4, unacceptable performance will negatively impact the IRS’ assessment of the contractors’ past performance in the Contractor Performance Assessment Reporting System (CPARS) for entry into the Federal Past Performance Information Retrieval System (PPIRS). PPIRS is a Government-wide past performance system that serves as a central warehouse for contractor performance assessment reports.

Contractor past performance information is used for evaluation purposes when the Government is awarding negotiated, competitive acquisitions or when the Government is considering exercising optional performance periods under existing contract actions. Negative past performance information will adversely affect a contractor’s ability to compete for additional work from the Government and will be considered when contractors are competing for task order awards under the BPA.

4. Performance Standards

Performance Standards define desired outcome levels for products or services. The IRS will perform surveillance to determine if the contractors meet or do not meet these standards. The Performance Requirements Summary (PRS) Matrix included in Section 10, below, sets forth the performance standards for the BPA and establishes the Acceptable Quality Levels (AQLs) for each standard. The IRS shall use these standards to monitor contractor performance by comparing actual performance to the AQLs.

5. Acceptable Quality Levels

The acceptable quality levels (AQLs) included in the PRS Matrix are structured to allow the contractors to manage how the work is performed while providing negative incentives for performance shortfalls. Levels of performance are keyed to the relative importance of the task to the overall mission performance.

6. Roles and Responsibilities

6.1 Contracting Officer

The contracting officer (CO) is responsible for monitoring contract compliance and contract administration. The CO is also responsible for resolving any differences between the observations documented by the contracting officer's representative (COR) and the contractor. The CO will designate one full-time COR as the government authority for performance management; however, the CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

6.2 Contracting Officer’s Representative

The contracting officer’s representative (COR) will be designated in writing by the CO to act as his or her authorized representative to assist in administering the contract. The COR is responsible for technical administration of the project and will ensure proper Government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing Quality Assurance (QA) monitoring forms used to document the inspection and evaluation of the contractor’s work performance.

6.3 Program Manager

The Program Manager (PM) will be designated by the IRS Information Technology (IT) Enterprise Program Management Office (EPMO) to manage this program for the IRS. The PM is responsible for providing resources to implement the QASP and utilizing the surveillance results as a program decision tool. The PM is also the central point of contact for the user community and the IRS’ executive management staff and will provide feedback to and from those parties to the CO and COR. The PM is also an evaluator of the contractor’s performance and may provide input directly to the CO or COR regarding contract administration, evaluation of the contractor’s performance or program decisions. The PM is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action.

7. Surveillance Methodologies

Surveillance shall be conducted through 100% review of all deliverables under this contract. The review of deliverables may be conducted through monitoring, inspection or testing, as appropriate, by the COR and/or the PM or the review may be a subjective assessment of performance outcomes made by the COR and/or PM by comparing the goals of each task area as defined in the PWS to the actual results obtained through the contractor’s performance.

8. Quality Assurance Documentation

The performance management feedback loop begins with the communication of expected outcomes as set forth in the PRS Matrix and the PWS and are assessed using the surveillance methods described in Section 7 above.

The IRS’ surveillance shall be accomplished by the COR and/or PM using the Quality Assurance Surveillance Form (QASF) at Attachment 1 of the QASP. The COR will retain a copy of all completed QASFs. The COR will maintain a complete Quality Assurance file. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function. All such records will be maintained for the life of the contract. The COR shall forward these records to the CO at termination or completion of the contract.

9. Analysis of Quality Assurance Assessment

9.1 Determining Performance

The IRS shall use the surveillance methods cited in Section 7 to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, he may be subject to the remedies set forth in the PRS Matrix.

9.2 Reporting

Each quarter, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which will include the completed QA surveillance forms will become part of the QA documentation.

9.3 Reviews and Resolution

The IRS may require the contractor’s project manager or a designated alternate to meet with the team members identified in Section 4 above to discuss the performance evaluation. The meetings may be scheduled at regular intervals or on an “as needed” basis only or at the request of the contractor. These meetings will mainly consist of performance reviews. The agenda may include:

· Performance assessment data and trend analysis

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

· Recommendations for improved efficiency and/or effectiveness

· Issues arising from the performance monitoring process

The team must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance. The team and the contractor should jointly formulate tactical and long-term courses of action to improve performance. Any changes to the QASP that result from these meetings must be incorporated through the issuance of a modification to the contract.

The specific deliverables required will be set forth in each Task Order.

All deliverables must be delivered to the Contracting Officer’s Representative (COR) in electronic format (Work, Excel, Power Point (PPT) and/or Visio). The monitoring method for key deliverables is identified by an established percentage of surveillance in the performance metrics table. The COR or his/her representative will provide written feedback on deliverables within ten (10) business days. The contractor shall provide revisions within ten

(10) business days of receipt of required revisions. The COR will provide written acceptance of all deliverables. The Acceptable Quality Level (AQL) deliverables subject COR approval.

DELIVERABLE MATRIX

Task Area 1, Transition Management

Task Area 2, Release Management Support

Task Area 3, Program/Project Management Support

Task Area 4, ELC Support

Task Area 5, Program Integration

Task Area 6, Technical Integration

Task Area 7, Business Analysis Support

Task Area 8, Requirements Engineering Support

Task Area 9, Configuration and Change Management Support

Task Area, 10, Change Management and Change Control Support

Task Area 11, Organizational Readiness Support

Task Area 12, Organizational Change Management Support

Task Area 13, Engineering and Architecture Support

Task Area 14, Enterprise Testing Support

Task Area 15, Cybersecurity Support

Task Area 16, Applications Development Support

Task 17, Enterprise Operations Support

*TBD – To Be Determined

11.0 DELIVERABLE ACCEPTANCE CRITERIA

Final inspection and acceptance of all work performed, reports and other deliverables will be performed at the place of delivery. No deliverable is final until accepted and approved by COR. All deliverables, including anything developed while working under this contract are the sole property of the United States Government.

The Contracting Officer’s Representative (COR) or Task Manager (delegated official) will issue acceptance for each deliverable upon the successful completion of each task. The acceptance date shall be the date identified in the Deliverables schedule table in each Task Order issued. If the contractor has not been notified of any discrepancies within ten (10) business days after submission of the deliverable or successful completion of the task, then the deliverable or task shall be considered accepted. Contractor produced deliverables will be reviewed using the Acceptance Criteria LOCATED IN SECTION 7.4 OF RFQ’S PWS

12.0 PERFORMANCE STANDARDS AND METRICS

By monitoring the contractor, the COR will determine whether the performance levels set forth in the order have been attained. The Contractor’s performance shall be evaluated using the performance standards and Acceptable Quality Level (AQL)

Task Area 1, Transition Management

Incentive/Disincentive

Task Area 2, Release Management Support

Incentive/Disincentive

Task Area 3, Program/Project Management Support

Incentive/Disincentive

Task Area 4, ELC Support

Incentive/Disincentive

Task Area 5, Program Integration

Incentive/Disincentive

Task Area 6, Technical Integration

Incentive/Disincentive

Task Area 7, Business Analysis Support

Incentive/Disincentive

Task Area 8, Requirements Engineering Support

Incentive/Disincentive

Task Area 9, Configuration and Change Management Support

Incentive/Disincentive

Task Area, 10, Change Management and Change Control Support

Incentive/Disincentive

Task Area 11, Organizational Readiness Support

Incentive/Disincentive

Task Area 12, Organizational Change Management Support

Incentive/Disincentive

Task Area 13, Engineering and Architecture Support

Incentive/Disincentive

Task Area 14, Enterprise Testing Support

Incentive/Disincentive

Task Area 15, Cybersecurity Support

Incentive/Disincentive

Task Area 16, Applications Development Support

Incentive/Disincentive

Task 17, Enterprise Operations Support

Incentive/Disincentive

Task Area 18, Cloud Services

Incentive/Disincentive

*TBD – To Be Determined

QUALITY ASSURANCE SURVEILLANCE FORM (QASF)

(Additional pages may be added)

SERVICE or STANDARD:

MONITORING PERIOD:

SURVEILLANCE METHOD (Check):

· COR Monitoring Inspection Testing Random Sampling Report

· User/Customer Observations/Complaints

LEVEL OF SURVEILLANCE (Check):

· Weekly Monthly Quarterly As needed

CRITERIA/DOCUMENTATION USED FOR SAMPLE:

ANALYSIS OF RESULTS:

Contractor’s Performance (Check): Meets Standards Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: DAT