A01_QASP_CAC_OCONUS_Services.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

Two-Factor Authorization Walter Reed Army Institute of Research (WRAIR)/Information Management Division (IMD)

1. Vision

The WRAIR is the largest biomedical research facility administered by the U.S. Department of Defense (DoD). The WRAIR aims to conduct biomedical research that is responsive to Department of Defense and US Army requirements and delivers life-saving products including knowledge, technology and medical material that sustain the combat effectiveness of the Warfighter.

WRAIR has developed two modern Centers of Excellence-Infectious Disease Research and Military Psychiatry and Neuroscience Research. World-renowned scientists with expertise in comprehensive Soldier fitness, brain injury, and sleep management make up the Center for Military Psychiatry and Neuroscience Research. The Center for Military Infectious Disease Research combines expertise in the development of vaccines and drugs for prevention and treatment of such diseases as malaria, HIV/AIDS, dengue fever, wound infections, leishmaniasis, enteric diseases and others.

2. Mission

Walter Reed Army Institute of Research strives to be the premier DoD biomedical research organization. With headquarters in Silver Spring, Maryland, our laboratories are also hosted in our subordinate command locations in Thailand, Georgia, and Kenya.

IMD provides secure, reliable, and integrated technology solutions, in a cost-effective manner, to facilitate the WRAIR mission. To meet this mission IMD:

• Promotes and facilitates the effective integration of technology into the basic mission of WRAIR through planning, programming, training, consulting, and other support activities

• Develops, enhances, and manage WRAIR's networks to provide high speed, transparent, and highly functional connectivity among all information resources

• Develops and maintains highly effective, reliable, secure, and innovative information systems to support instructional, administrative and research functions

• Facilitates the collection, storage, security and integrity of electronic data while ensuring appropriate access

• Promotes new uses of information technology through the support for exploratory and innovative applications

• Provides leadership for effective strategic and tactical planning in the use of technology

• Provide fast & reliable access to all information systems

3 Purpose

3.1. 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:

3.1.1. What will be monitored

3.1.2. How monitoring will take place

3.1.3. Who will conduct the monitoring

3.1.4. How monitoring efforts and results will be documented

3.2. 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.

3.3. 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.

3.4. 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 provide 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 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 and document the final assessment of the contractor's performance in the governments past performance tracking system.

Assigned KO: This section is to be completed at time of award

Organization or Agency: To be completed at time of award

Telephone:

Email:

5.2 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 many any contractual commitments or to authorize any contractual change on the Government's behalf.

Assigned COR: This section is to be completed at time of award

Organization or Agency:

Telephone:

Email:

5.3 Other Key Government Personnel

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

The designated technical quality assurance personnel are:

Name: This section is to be completed at time of award

Telephone:

Email:

5.4 Contractor Representatives

The following employees of the contractor serve as the contractor's Program Manager and Task Manager for this contract. (This section is to be completed at time of award)

5.4.1. Program Manager

Name:

Telephone:

Email:

5.4.2. Task Manager – This section is to be completed at time of award

5.4.3. Other Key Contract Personnel – This section is to be completed at time of award

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 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 QC/QA actions to successfully meet the terms of the contract.

6.2 Surveillance Matrix

6.2.1. The Surveillance Matrix Table 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.

6.2.3. 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 matrix 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.

Performance Rating

Criteria

Exceptional Performance meets contractual requirements and exceeds many to the Government’s benefit. The element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good Performance meets contractual requirements and exceeds some to the

Government’s benefit. The element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

Satisfactory Performance meets contractual requirements. The element being assessed contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Marginal Performance does not meet some contractual requirements. The element being assessed reflects a serious problem for which the contractor has not yet identified corrective actions.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The element being assessed contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

Table 1 - Surveillance Matrix

Performance Requirement Performance Target Method of

Surveillance Method of Inspection

Must be able to logon to domain workstations and laptops running Windows 7 and 8.x using a Smart Card and a PIN

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

System Administrators shall be able to access remotely domain servers running

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

Windows 2008, and 2012 using a Smart Card and PIN

Remote users shall be able to authenticate to the Virtual Private Network gateway using a Smart Card and PIN and securely gain access to the organization internal resources

Meets performance standard 100% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

End users shall be able to unlock their PIN, update and renew their Smart Cards using a Self-Service Web Portal

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

The end users shall be able to use their Smart Card for Physical Access

Meets performance standard 95% of Time

Customer Feedback 100% Surveillance by

WRAIR POC/COR

Operators shall be able to centrally manage the solution and the Smart Card lifecycle using Web Interface

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

The solution shall include one Hardware Security Modules.

HSMs are high security electronic safes for cryptographic keys that shall protect these using Hardware protection certified FIPS 140-2 Level 2 or 3

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

Employees shall be able to digitally sign emails and documents

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

Operators shall be able to print and encode the smart cards in one step

Meets performance standard 95% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

Domain workstations and laptops shall authenticate to Wireless networks using a digital Certificate

Meets performance standard 100% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

The contractor shall comply with all Army regulations

Meets performance standard 100% of Time

Periodic Inspection 100% Surveillance by

WRAIR POC/COR

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

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

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 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)

16. CONTRACTOR REPRESENTATIVE REMARKS