Attach_6_-_DAI_Compliance_QASP.doc
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- Attached to
- DAI Compliance Support Services Federal contract opportunity
- Solicitation number
- SP470119R0003
- Issued by
- Defense Logistics Agency Troop Support
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Attachment 6 - QASP
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Quality Assurance Surveillance Plan (QASP)
DAI Compliance
11/2/2018
Version 1.0
31 Vision
2 Mission 3 Purpose 4 Authority 5 Roles and Responsibilities
5.1 Program 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 Compliance Services 1 Vision
The Defense Logistics Agency’s objective is to obtain Compliance and Configuration Management expertise in support of development, maintenance, and implementation of the DAI solution, operations, and provisions. DLA is also seeking to obtain Oracle Applications expertise in implementing and supporting Oracle Financials-based business solutions in the Department of Defense through the maturation of the DAI Global Model Solution focusing on Budget to Report (B2R), Procure to Pay (P2P), Order to Fulfill (O2F), Cost Accounting (CA), Time & Labor (T&L), Budget Formulation, Grants Financial Management, Resale Accounting, Governance Risk and Compliance, and Acquire to Retire (A2R) process areas and capabilities.
2 Mission
To acquire compliance and configuration management services that will provide development, enhancement, and maintenance support for current and future releases of the DAI Global Model that are either currently deployed or planned for deployment with Defense Agencies participating in DAI. The requirement will provide functional support for the configuration management functions of DAI. It will provide advice, analysis, recommendation, and hands-on support for compliance and configuration management for the development and implementation of additional and supplemental Agency-specific functional and technical capabilities to current and future releases of the DAI Global Model and other aspects of DAI, to mandated standards. It will provide architectural leadership and support for the development, enhancement, and maintenance of the DAI Global Model Solution.
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 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. 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: 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: 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
| Satisfactory |
| Performance meets or exceeds contractual requirements. The contractual performance reflects some minor problem(s) for which corrective actions taken by the contractor appear or were satisfactory. The COR recommends and the Contracting Officer will make a determination to pay the contractor 100% of the invoice amount. |
| Fair |
| Performance does not meet some contractual requirements. The contractual performance reflects a minor problem(s) for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. The minor performance problem(s) do not adversely impact the mission of the Agency. The COR recommends and the Contracting Officer will make a determination to pay the contractor 90% of the invoice amount. |
| Marginal |
| Performance does not meet some contractual requirements. The contractual performance reflects a serious problem(s) for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. The COR recommends and the Contracting Officer will make a determination to pay the contractor 80% of the invoice amount. |
| Unsatisfactory |
| Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective. Payment will be withheld pending resolution of cure notice(s). Termination for default or cause may result. |
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
| Satisfactory |
| Meets or exceeds contractual requirements in terms of timeliness of delivery. The timeliness of contractual performance reflects some minor problem(s) for which corrective actions taken by the contractor appear or were satisfactory. |
| Fair |
| Does not meet some contractual requirements in terms of timeliness of delivery. The timeliness of contractual performance reflects a minor timeliness problem(s) for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. The minor timeliness problem(s) do not adversely impact the mission of the Agency. |
| Marginal |
| Does not meet some contractual requirements in terms of timeliness of delivery. The timeliness of contractual performance reflects a serious problem(s) for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. |
| Unsatisfactory |
| Does not meet most contractual requirements in terms of timeliness of delivery and recovery is not likely in a timely manner. The timeliness of contractual performance contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective. |
Quality
| Satisfactory |
| Meets or exceeds contractual requirements in terms of quality of work performed. The quality of contractual performance reflects some minor problem(s) for which corrective actions taken by the contractor appear or were satisfactory. |
| Fair |
| Does not meet some contractual requirements in terms of quality of work performed. The quality of contractual performance reflects a minor quality problem(s) for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. The minor quality problem(s) do not adversely impact the mission of the Agency. |
| Marginal |
| Does not meet some contractual requirements in terms of quality. The quality of contractual performance reflects a serious problem(s) for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented. |
| Unsatisfactory |
| Does not meet most contractual requirements in terms of quality and recovery is not likely in a timely manner. The quality of contractual performance contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective. |
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
| Statements |
| Standards/Threshold |
| Inspections |
| Ratings |
Task Area 1
Program Management 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
Integrated Solutions Management Sustainment Services Standard: Contractor consistently provides support and expertise for these areas to ensure the DAI PMO receives a constant level of service for the development and implementation of the Global Model.
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 Area 4 & 8
Compliance Management Standard: Contractor consistently delivers compliance documents of current and future releases of DAI and other aspects of DAI to mandated standards
Threshold: Documents submitted by contractor require no rework or additional information 95% of the time.
What: Evidence of compliance – Documents submitted
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 & 9
Configuration Management (CM) Standard: Contractor consistently delivers CM support and documentation that meet the requirements of this task.
Threshold: CM support and documentation meet the requirements of the DAI PMO 95% of the time What: Evidence of compliance – Documents submitted
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 6
Business Process Re-engineering Standard: Documents (MD50, MD70, Disaster Recovery, COOP Plan, etc.) require little to no rework after submission by contractor.
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 Area 7
Requirements Analysis Standard: Contractor consistently delivers RICE Objects and analysis to ensure the DAI PMO receives a constant level of service for the continued development and deployment of the DAI solution.
Threshold: Documents submitted by contractor require no rework or additional information 95% of the time.
What: Evidence of compliance – Documents submitted
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
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 MINOR
MAJOR
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
REJECTED
ACCEPTED
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)
| 1. CONTRACT/TASK ORDER NUMBER |
| 2. CONTRACTOR |
| 3. TYPE OF SERVICES |
4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE
| 5. COR PHONE |
| 6. SUSPENSE DATE |
I. PERFORMANCE
7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)
NEW
REPEAT
NO DEFICIENCY NOTED
8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED
| 9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX WAS CHECKED) |
| 10. DETAILED PERFORMANCE ASSESSMENT |
II. CONTRACTOR VALIDATION
11. CONTRACTOR REPRESENTATIVE NON-CONCUR
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. NON-CONCUR COR SIGNATURE AND DATE CONCUR
15. COR REMARKS (REQUIRED)
6. CONTRACTOR REPRESENTATIVE REMARKS
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