Attachment_6_-_QASP_SP470118R0046.docx

ATTACHMENT #6 – Quality Assurance Surveillance Plan (QASP) – SP4701-18-R-0046

Quality Assurance Surveillance Plan (QASP) DAI Implementation

Version 1.0

Quality Assurance Surveillance Plan (QASP)

DAI Implementation Services

1 Vision

The Defense Logistics Agency’s objective is to obtain support to assist Defense Agencies to implement DAI. Critical support areas include implementation planning and management, providing process solutions, and acceptance testing leveraging to the DAI Global Model, Agency Workforce Preparation (WFP), Agency Information Technology (IT) infrastructure preparation, and Integrated Master Schedule (IMS) development and maintenance.

2 Mission

To acquire the services necessary to The Defense Logistics Agency’s objective is to obtain support to assist Defense Agencies to implement DAI. Critical support areas include implementation planning and management, providing process solutions, and acceptance testing leveraging to the DAI Global Model, Agency Workforce Preparation (WFP), Agency Information Technology (IT) infrastructure preparation, and Integrated Master Schedule (IMS) development and maintenance.

3 Purpose

This Quality Assurance Surveillance Plan (QASP) is a government-developed document used to determine if the contractor's performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

- What will be monitored?

- How monitoring will take place

- Who will conduct the monitoring?

- How monitoring efforts and results will be documented

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government's surveillance of the contractor's performance to assure that it meets contract standards. It is the government's responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor's quality control plan. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

4 Authority

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or a duly authorized representative.

5 Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

5.1 Program / Project Manager

The PM provides primary program oversight, nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR's performance assessment activities. While the PM may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the government's behalf.

Assigned PM: Ricky McClary Organization or Agency: Defense Logistics Agency Telephone: 703-681-2358 Email: ricky.mcclary@dla.mil

5.2 Contracting Office (KO)

The KO 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 KO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine and document the final assessment of the contractor's performance in the governments past performance tracking system.

Assigned KO: Mark Sullivan Organization or Agency: Defense Logistics Agency Telephone: 215-737-4851 Email: mark.sullivan@dla.mil

5.3 Contracting Officer's Representative (COR)

The COR is responsible for providing continuous technical oversight of the contractor's performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor's actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the KO. The COR is required to provide an annual performance assessment to the KO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government's behalf.

Assigned COR: Laura Damon Organization or Agency: Defense Logistics Agency Telephone: 269-986-7325 Email: laura.damon@dla.mil

5.4 Other Key Government Personnel

This may include performance monitors, inspectors, technical experts, or others who provide information that helps the COR monitor contractor performance.

Alternate Technical Point of Contact: Brian Frantz Organization or Agency: Defense Logistics Agency Telephone: 703-681-2162 Email: brian.frantz@dla.mil

5.5 Contractor Representatives

The following employees of the contractor serve as the contractor's Program Manager and Task Manager for this contract. (Complete this section after the contract award)

Program Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

Task Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

Other Key Contract Personnel - <upon award, enter name or delete these lines if not applicable> Title: <enter title> Telephone: <enter number> Email: <enter address>

6 Performance Requirements and Method of Surveillance

This section describes the special requirements for this effort. The following sub-sections provide details of various considerations on this effort.

6.1 Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR's contribution is their professional, non-adversarial relationships with the KO, PM, and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR uses the methods contained in this QASP to ensure the contractor complies with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor's performance. Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

6.2 Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance Rating Criteria

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor's performance as it relates to the performance element standards. The PRS should be used to form the foundation of the COR's inspection checklist.

In evaluating the quality of contractor’s performance, the following performance ratings may be used.

Timeliness

Quality

Disincentives are applied for ratings of “Fair”, “Marginal”, and “Unsatisfactory” as follows:

Satisfactory = 100% payment

Fair = -10% disincentive

Marginal = -20% disincentive

Unsatisfactory = Payment will be withheld pending resolution of cure notice(s). Termination for default or cause may result.

Note: The Performance Standards will be used in evaluating performance and for determining the amount of the payment owed to the Contractor. These ratings will only apply to the FFP CLINs on the contract.

Appendix 1 - Surveillance Matrix

Task Area 1

Monthly Status Report (MSR) Standard: Contractor consistently delivers Monthly Status Report (MSR) on time. MSR contains required information to assist the DAI PMO in effectively managing the contract.

Threshold: Deliverables are on time 100% of the time. MSR contains detailed data regarding status of funding (expended to date, funds remaining, estimated future expenditures), and status of all personnel

What: Evidence of Compliance - Monthly Reports How: 100 % inspection Frequency: Monthly Who: Project lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government Standard(s): Inspection applies to all standards

Task Area 2

Integrated Program Management (IPM) Standard: Contractor consistently delivers IPMR, IMS, and Contract WBS updates Threshold: Deliverables are on time 100% of the time. Reports, schedule and WBS contains detailed data.

What: Evidence of Compliance - EVM Reports How: 100% inspection Frequency: Monthly Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 2

Integrated Master Schedule (IMS) Development Support Standard: Early identification of schedule deviations that have a high risk of impact to the high-level objective. IMS updates are provided within 2 weeks of change in agreed upon date between Defense Agency, PMO and DFAS.

Threshold: Documents submitted by contractor require no rework or additional information 95% of the time.

What: Evidence of Compliance – IMS Reports How: 100% inspection Frequency: Monthly Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 3

Requirements Management Process Standard: Document will be prepared accurately and timely. The Requirements Management Process document needs to be prepared and approved prior to execution each year.

Threshold: Document will reflect at least 90% of requirements accurately and be completed within established time.

Requirements Management Process Document will be update with lessons learned and process improvements In accordance with (IAW) approved Agency Implementation Support Plan 95% of the time.

What: Evidence of Compliance – Requirements Management Process documents How: 100% inspection Frequency: As required Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 3

Post-Production Support Standard: Metrics will be collected and reported that are compliant with federal, state, and local laws, regulations and policies. Operational help desk tickets will be resolved in a timely manner. Lessons learned for Help Desk SOP will be provided to facilitate continuous process improvement.

Threshold: Business Enterprise Architecture (BEA) metric updates occur within 6 months of the release of a new version of the BEA.

Operational and system help desk tickets will be resolved within three (3) business days 95% of the time.

Help Desk SOP will be update with lessons learned and process improvements (no later than) NLT February 1st of the implementation year.

What: Evidence of Compliance – BEA metric reports How: 100% Inspection Frequency: As required Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4

Implementation Management Support Standard: The DAI Implementation Agreement will be signed by all parties by December 31st of the implementation year. Early identification of schedule deviations that have a high risk of impact to the high-level objective. High risk items are identified in the Implementation Status Update within 2 weeks of occurrence

Threshold: Documents submitted by contractor require no rework or additional information 95% of the time.

What: Evidence of Compliance – DAI Implementation Agreement How: Inspection by pertinent DAI Government lead. Frequency: As Needed Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4

DAI Global Model Implementation Support Standard: No more than 7 unsatisfactory RICEFW objects will be submitted per deploying general fund agency that could stop the deployment.

A completed Business Process Reengineering (BPR) Assessment Form will be submitted by July 30th of the implementation year. Agency-specific configuration, and RICEFW development effort will be conducted towards 99% compliance with the DAI Global Model Solution, less than 10% of overall Agency-specific configuration values are subject to change, and less than 10% of overall RICEFW design are subject to change

Threshold: Documents submitted by contractor require no rework or additional information 95% of the time.

What: Evidence of Compliance – RICEFW documents How: 100% Inspection Frequency: As Needed Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4

Workforce Preparation Support Standard: The Help Desk SOP will be updated annually based on continuous process improvement. Help Desk SOP will be update with lessons learned and process improvements NLT February 1st of the implementation year. Communication Plan will be update with lessons learned and process improvements no later than February 1st of the implementation year

Threshold: Helpdesk and Training documents are accurate and complete. Process area training is conducted within established timeframes 95% of the time.

What: Evidence of Compliance – Help Desk SOP How: Inspection by pertinent DAI Government lead.

Frequency: As needed Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4

Infrastructure Preparation Support Standard: Compliant with applicable standards, identifies deficiencies, Early identification of high-risk issues that may impact the implementation schedule is essential.

Threshold: Connectivity issues will be compliant with applicable standards and resolved within established timeframes 95% of the time.

Deficiencies will be identified and corrected within established timeframes 95% of the time.

High-risk items are identified in the Implementation Status Update within 2 weeks of occurrence.

What: Evidence of Compliance – System Connectivity How: Inspection by pertinent DAI Government lead.

Frequency: As needed Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 4

Data Conversion Support Standard: Timely and accurate guidance provided by implementation team. Early identification of high-risk issues that may impact the cutover activities is essential. Identifies deficiencies.

Threshold: 95% of templates should be tested and successfully process Agency legacy data into DAI

What: Evidence of Compliance – Data Conversion templates How: 100% inspection Frequency: Prior to CDR Who: Project Lead to Gov’t Lead to COR Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Appendix 2 - Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 - Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS