Attachment 0004 - Quailty Assurance Surveillance Plan (QASP).docx

Quality Assurance Surveillance Plan (QASP)

Fires Post Deployment Software Support (PDSS) & Post Production Software Support (PPSS)

30 October 2023

Controlled by: Software Engineering Center Controlled by: Office of Acquisition Support CUI Category: CUI Distribution/Dissemination Control: FED ONLY Point of Contact: Daniel Young: 443-255-2966

CUI

CUI

Contents

Quality Assurance Surveillance Plan

(QASP)

1.0 Introduction

This Quality Assurance Surveillance Plan is Pursuant to the Requirements listed in the Performance Work Statement (PWS) for PDSS/PPSS. This Performance-based plan sets forth the Procedures and Guidelines the Fires Division will use in evaluating the technical performance of the contactor.

1.1 Purpose

The role of the Government in Quality Assurance (QA) is to ensure contract standards are achieved. This QASP is used to determine if the contractor’s performance meets the performance standards contained in the contract. This QASP provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

· What will be monitored?

· How monitoring will take place.

· Who will conduct the monitoring?

· How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

The QASP is not part of the contract, nor is it intended to duplicate or replace the contractor’s quality control plan. The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. This QASP is a “living document” and the Government may review and amend on a regular basis. The QASP provides the structure for the Government’s surveillance of the contractor’s performance to assure that it meets contract standards. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

1.2 Authority

Authority for issuance of this QASP is provided under Federal Acquisition Regulation (FAR) 46, Inspection of Services clauses, which provides for inspections, acceptance and documentation of the services called for in this contract or order. This acceptance is to be executed by the Contracting Officer or a duly authorized representative.

2.0 Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

2.1 Procuring 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. Determine the final assessment of the contractor’s performance.

2.2 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.

2.3 Alternate Contracting Officer’s Representative (ACOR)

An individual appointed in writing by the PCO to act as his/her authorized representative to assist in administering the Contract. The limitations of authority are contained in a written letter of appointment. The ACOR may act in the capacity of the COR when the COR is not available.

2.4 Technical Monitor (TM)

The TM is responsible for verifying that the Contractor performs the technical requirements of the contract in accordance with the contract terms, conditions and specifications and performs surveillance of the Contractor’s performance. The TM is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The TM will record and report incidents of faulty or nonconforming work, delays or problems to the COR and the Contracting Officer. In addition, the TM is to submit a monthly report concerning performance of services rendered under this contract to the COR. Any changes that the Contractor deems may affect contract, price, terms, or conditions shall be referred to the Contracting Officer for action.

2.5 Program/Project Manager (PM)

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.

2.6 Government Technical Point of Contact (TPOC)

One or more individuals designated to assist in administering specific projects and surveillance of the contractor’s technical performance under the Contract. A Government TPOC cannot, in any manner, alter the scope of the Contract, make commitments, or authorize any changes on the Government's behalf.

2.7 Contractor Representatives

The Program Manager is ultimately responsible for monitoring the performance for this contract.

2.8 Property Administrator

An authorized representative of the Contracting Officer appointed in accordance with agency procedures responsible for administering the contract requirements and obligations relating to Government property in possession of a Contractor.

2.9 Other Key Government Personnel

This may include internal and external Agency performance monitors, inspectors, technical experts, workforce service division and center directorate level security personnel, requirements office, or others (i.e. users) who provide information that helps the COR monitor contractor performance.

3.0 Methods of Quality Assurance 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 ACO, 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 is in compliance 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 Quality Control/Quality Assurance ( QC/QA) actions to successfully meet the terms of the contract. Various methods exist to monitor performance. The below listed methods of surveillance shall be used in the administration of this QASP.

3.1 Customer Feedback

Customer feedback may be obtained either from the results of formal customer satisfaction surveys or from random customer complaints/suggestions. Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR. The COR shall maintain a summary log of all formally received customer complaints as well as a copy of each complaint in a documentation file. The COR shall also keep the tabulated results of all customer satisfaction surveys on file.

NOTE: The customer always has the option to communicate complaints to the COR as opposed to the contractor. The COR will accept the customer complaints and will investigate using the Quality Assurance Monitoring Form – Customer Complaint Record identified in Appendix 3.

3.2 Periodic Inspection

These services are monitored weekly, monthly, quarterly, semiannually, annually, etc. Periodic types of activities are perfect for periodic inspection because not only are they infrequent, but there is normally a predetermined, specified time frame within which the tasks must be accomplished. Therefore, you know exactly when to conduct the evaluations. Periodic inspections automatically become 100 percent evaluations or "100 percent checks." Inspections should be divided and scheduled by frequency: annual, semiannual, quarterly, monthly, weekly, and as required. Sometimes services are required for which the time or frequency cannot be predicted, such as accident investigations, one-time special tasking by higher headquarters, etc. These would be labeled "as required inspections." Others are known and predictable such as the quarterly status report or the monthly travel report currently included in some DISA service contracts.

3.3 Random Monitoring/Sampling

This is usually the most appropriate method for recurring tasks. With random sampling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained. Computer programs may be available to assist in establishing sampling procedures.

3.4 Management Information Systems

Information will be accumulated through JIRA which is a database managed by the Government and will be evaluated by the TM and TPOC to determine Contractor quality of services.

3.5 Observation of Task Outputs

The TM and TPOC will view and inspect the outputs of Development Tasks as opposed to the act of actually producing the outputs.

3.6 Observation of Performance

The COR will observe the performance of Sustainment Tasks instead of the product or outcome that results.

3.7 Trend Analysis

The COR will observe data over time to see differences in cost control, schedule adherence, quality of deliverables, and staff retention via analysis of the changes in each metric.

3.8 100% Inspection This level of inspection shall be accomplished by inspecting each and every deliverable to the fullest extent practicable. 100% inspection is preferred for infrequent, low quantity deliverables.

4.0 Performance Requirements Summary (PSR)

The related Surveillance metrics and performance requirement levels are detailed in Appendix 1.

4.1 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 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 performance surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The AQL performance Standard Table should be used to form the foundation of the COR’s inspection checklist.

5.0 Documenting Performance

In addition to providing monthly reports to the Contracting Officer, 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 Contracting Officer at termination or completion of the contract or order.

5.1 Acceptable Performance

The Government shall document positive performance. A Performance Assessment Report (PAR) template is attached (Appendix 4). Any report may become part of the supporting documentation for Contractor Performance Assessment Reporting System (CPARS) entries, or other actions. Government acceptance of services permits the contractor to invoice for the service fee.

5.2 Unacceptable Performance

Unacceptable contractor performance can be identified by customer complaints (Appendix 3) or upon schedule surveillance evaluations. When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. The COR shall document the discussion and place it in the COR file and provide a copy to the KO.

When the COR determines formal written communication is required, the COR shall prepare a Corrective Action Report (CAR). The CAR is forwarded to the KO for dissemination to the contractor. A CAR template is attached to this QASP (Appendix 2).

The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective action plan to the KO and COR. The Government may withhold payment for services until corrective action is taken. The Government shall review the contractor's corrective action plan to determine acceptability. Upon Government acceptance of the corrected services the contractor will be permitted to invoice for the service fee.

Any CAR may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment, CPARS or other actions deemed necessary by the KO.

6.0 Acceptable Quality Level (AQL)

See Appendix 1 Surveillance Matrix.

7.0 Evaluation Method

The COR will document the time of verbal notification to the contractor. The COR will document the official time and date of notification on the Maintenance Call Record. The COR will review self-diagnostic systems logs, conduct a comparison with actual maintenance performance and otherwise verify and validate contractor performance. The contractor shall enter in the record the official time the system is restored to full operational status. The COR will confirm the date and time of problem resolution in the record.

8.0 Combating Human Trafficking and Reporting

The Government has a zero-tolerance policy regarding trafficking in persons. The Contractor, subcontractor, and contractor employees shall not engage in trafficking in persons. IAW DFARS PGI 222.17, the COR shall pursue, as appropriate, the following method(s) of monitoring the contractor’s performance regarding trafficking in persons such that non-compliances with FAR clause 52.222-50 are brought to the immediate attention of the Contracting Officer.

8.1 Communication and Training

The Government will request and review meeting, training, or signature records as proof of Contractor to employee notification. Furthermore, the Government will keep the lines of communication open with the contractor. At the Post Award conference, the Government will remind the contractor of their contractual responsibilities to notify the Government if the Contractor receives notification of any alleged violations to this policy or if actions have been taken against the Contractor employees, subcontractors, or subcontractor employees pursuant to the clause. When appropriate, the Government will encourage the Contractor to complete Human Trafficking Awareness Training provided on the DoD CTIP Website, https://ctip.defense.gov/. The Contractor shall periodically access the Department of State’s Trafficking in Person (TIP) website for updates and to view the latest reports.

9.0 Performance Rating

In evaluating the quality of contractor’s performance, the following performance ratings may be used (same as CPAR ratings).

Performance Rating Criteria

10.0 Appendices

Appendix 1 – Surveillance Matrix

2) Monthly charged rates are no more than 5% of proposed and/or negotiated rates on an average for all LCATs

3) Cost Reports and Projections provided shall be accurate 90% of the time

2) Contractor shall deliver requirement in accordance with the Completion schedule 90% of the time.

2) Contractor shall provide technical support during product reviews and make recommendations and/or provide innovations for corrective action for the Fires program.

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