Attach_6_-_QASP_SP470119R0002.doc

Quality Assurance Surveillance Plan (QASP)

DAI Infrastructure

10/15/2018

Version 1.0

31 Vision

2 Mission 3 Purpose 4 Authority 5 Roles and Responsibilities

5.1 Program / Project Manager

5.2 Contracting Office (KO)

5.3 Contracting Officer's Representative (COR)

5.4 Other Key Government Personnel

5.5 Contractor Representatives

6 Performance Requirements and Method of Surveillance

6.1 Contract Surveillance

6.2 Surveillance Matrix

Appendix 1 - Surveillance Matrix Appendix 2 - Corrective Action Report (CAR) Appendix 3 - Customer Complaint Record Appendix 4 - Performance Assessment Report (PAR)

Quality Assurance Surveillance Plan (QASP) DAI Infrastructure Support Services 1 Vision

The Defense Logistics Agency’s objective is to obtain support for the Oracle E-Business Suite Enterprise Resource Planning (ERP) application and Oracle Relational Database Management System (RDBMS)™ database administration expertise services to provide operational availability, sustainability, maintainability, service availability, release and configuration management, Continuity of Operations (COOP), Service Level Agreement (SLA) Management, and Help Desk support of the DAI application across the complex Production, COOP, and Test and Development (T&D) environments hosted at the Defense Information Systems Agency (DISA) Data Centers.

2 Mission

To acquire the services necessary to direct the DAI system engineering, hosting and infrastructure development, system performance, capacity planning, and sustainment activities focused on providing stability, supportability, high availability, and maintainability of the DAI application using Oracle E-Business Suite (EBS) core application components, latest certified auxiliary software components required to operate DAI system as a complete, agile system, with the latest version of the Oracle database.

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 be 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 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 Officer (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. The KO shall 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 many 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: 616-986-7325

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: Keith Moore

Organization or Agency: Defense Logistics Agency

Telephone: 571-767-5773

Email: keith.moore@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 EVM Lead and 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 and COR

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 3

Technical Infrastructure Services Standard: Contractor consistently provides Ad Hoc Reports on Technical Recommendations to sustain future releases and capabilities.

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

What: Evidence of compliance – Documents submitted

How: 100% inspection

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 4

System Performance Standard: Contractor consistently provide system availability during peak timecard week, month end, and fiscal year end close.

Threshold: Maintain system availability of 98% and above.

What: Evidence of compliance – Performance metric

How: 100% Inspection

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4

Unplanned system outages Standard: Contractor consistently provide peak system performance

Threshold: Have zero unplanned system incidents and no more than 2 global system latency per month.

What: Evidence of compliance – RCA Reports

How: Continuous surveillance.

Frequency: Bi-weekly

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4 & 7

On time delivery and quality of patching Standard: Contractor consistently provides on time delivery of patching per agreed schedule set by Government in production and T&D sites.

Threshold: Patching will be completed on time and environments are expected to be available by 0800 next day or prior agreement set by Government.

What: Evidence of compliance – On time delivery and quality of patching

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Areas 4 & 7

Quality, accuracy, and timely response of Incident Management Standard: Provide draft RCA within 24 hours of incident for PROD and COOP and 48 hours for T&D

Threshold: Provide final RCA within 24 hours of incident resolution and mitigation for PROD and COOP and 48 hours for T&D.

What: Evidence of compliance – Quality, accuracy, and timely response of Incident Management

How: Continuous surveillance Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4

DAI Help Desk Support Standard: Same day support of DAI Help Desk ticket resolution.

Threshold: All DAI production help desk tickets will be mitigated and closed within 24 hours.

What: Evidence of compliance – Timeliness of support

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 4 & 7

Configuration Management Support Standard: Contractor consistently delivers configuration management (CM) support and documentation that meet the requirements of this task.

Threshold: All official deliverables will be checked into Dimensions CM upon approval by Government Lead.

What: Evidence of Compliance – CM documents

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 5

Cybersecurity Support Standard: Contractor consistently ensures all security stardards findings comply with STIG and POAM requirements.

Threshold: STIG and POAM documents submitted require no rework or correction 95% of the time.

What: Evidence of Compliance – Meeting security standards

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 6

Disaster Recovery/COOP Support Standard: Contractor consistently provides support and expertise in delivering a COOP plan and expertise in conducting annual COOP exercise.

Threshold: COOP document and COOP planning require no rework or correction 95% of the time.

What: Evidence of Compliance – Successful COOP exercises

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 7

On time delivery and quality of clones Standard: Contractor consistently provides on time delivery of clones within 48 hours unless issues arise due to DISA network problems.

Threshold: Clones will be delivered NLT 72 hours (single-node) and 96 hours (clustered) and with no more than 2 defects per clone per month.

What: Evidence of compliance – On time delivery and quality of clones

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

Task Area 8

Infrastructure Development Services Standard: Contractor consistently provides support and expertise in Oracle EBS with new technology insertions; consistently delivers quality deliverables on time.

Threshold: Technical solutions recommended are executable within cost and schedule 95% of the time.

What: Evidence of Compliance – Delivery of technical solutions

How: Continuous surveillance

Frequency: As required

Who: Project Lead to Gov’t Lead

Incentive: Rework needed due to mistakes will be accomplished at no additional cost to the government

All Task Areas

Quality of Documented Deliverables Standard: Contractor consistently delivers deliverables on time.

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

What: Evidence of compliance – Quality of documented deliverables

How: Continuous surveillance.

Frequency: As required

Who: Project Lead to Gov’t Lead

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 FORMCHECKBOX

MAJOR FORMCHECKBOX

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

FORMCHECKBOX

ACCEPTED FORMCHECKBOX

REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

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. FORMCHECKBOX

DEFICIENCY (CHECK ALL BOXES THAT APPLY)

FORMCHECKBOX

NEW

FORMCHECKBOX

REPEAT

FORMCHECKBOX

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE FORMCHECKBOX

CONCUR FORMCHECKBOX

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. FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS