Attachment_2_-_QASP_JTE_Prog_Office_Support.pdf

Joint Test and Evaluation (JT&E) Program

Office Support

Quality Assurance Surveillance Plan (QASP)

Version 1.0

ATTACHMENT 2

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JT&E Program Office Support QASP i

TABLE OF CONTENTS

1.0 INTRODUCTION

1.1 PURPOSE

1.2 PERFORMANCE MANAGEMENT APPROACH

1.3 PERFORMANCE MANAGEMENT STRATEGY

2.0 ROLES AND RESPONSIBILITIES

2.1 PROGRAM MANAGER

2.2 CONTRACTING OFFICER

2.3 CONTRACTING OFFICER’S REPRESENTATIVE

2.4 CONTRACTOR REPRESENTATIVES

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

4.0 PERFORMANCE REQUIREMENTS AND METHOD OF SURVEILLANCE

5.0 CONTRACT SURVEILLANCE

6.0 SURVEILLANCE MATRIX

7.0 QUALITY ASSURANCE REPORTING

8.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

9.0 FAILURE TO PERFORM

LIST OF ATTACHMENTS

ATTACHEMENT I. SURVEILLANCE MATRIX

ATTACHMENT II. QA MONITORING FORM

ATTACHMENT III. CUSTOMER COMPLAINT RECORD

ATTACHMENT IV. PERFORMANCE ASSESSMENT REPORT

ATTACHMENT V. CORRECTIVE ACTION REPORT

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JT&E Program Office Support QASP 1

JOINT TEST AND EVALUATION (JT&E) PROGRAM OFFICE SUPPORT

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance-based Performance Work Statement (PWS) for the Joint Test and Evaluation

(JT&E) Program Office Support Contracts. This performance-based plan sets forth the procedures and guidelines that will be used in evaluating the Contractor’s performance.

1.1 PURPOSE

a. The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and resources to be employed. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards/quality levels identified in the PWS and in the Contractor’s Quality Control Plan

(QCP), and to ensure that the Government pays only for the level of services received.

b. This QASP defines the roles and responsibilities of all members of the integrated project team, identifies the performance objectives, defines the methodologies used to monitor and evaluate the Contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance (QA) monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

a. The performance-based PWS structures the acquisition around “what” service is required as opposed to “how” the Contractor should perform the work. This QASP will define the performance management approach taken by the JT&E Program to monitor, manage, and take appropriate action on the Contractor’s performance against expected outcomes or performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether expected outcomes for required services are being achieved adequately by the Contractor.

b. Performance management also represents a significant shift from the more traditional QA concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (Federal, State, and local) and compelling business situations such as safety and health. An outcome focus provides the Contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved at the desired levels of performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

a. The Contractor’s internal quality control (QC) system will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The Contractor will utilize its internal QC system to assess and report their performance to the designated Government representative.

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b. The Government representative will monitor performance and review performance reports furnished by the Contractor to determine how the Contractor is performing against communicated performance objectives. The Government will make decisions based on performance measurement metric data and notify the Contractor of those decisions. The

Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2.0 ROLES AND RESPONSIBILITIES

2.1 PROGRAM MANAGER

The Program Manager provides primary program oversight, nominates the Contracting Officer’s

Representative (COR), ensures the COR is trained before performing any COR duties, and supports the COR’s performance assessment activities. While the Program Manager may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, he is not empowered to make any contractual commitments or contract changes on the

Government’s behalf.

Assigned Program Manager: Mr. J.H. Thompson

Organization or Agency: Director, Operational Test and Evaluation (DOT&E)

Telephone: 571-372-3810

E-Mail: james.h.thompson26.civ@mail.mil

2.2 CONTRACTING OFFICER

The Contracting Officer (KO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the COR and the Contractor. The KO will designate two full-time CORs as the

Government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the Contractor’s performance, and must be identified and designated by the KO.

Assigned KO: Ms. Deannda Sontag

Organization or Agency: Engineering Research and Development Center (ERDC)

Telephone: 601-634-4842

E-Mail: Deannda.S.Sontag@usace.army.mil

2.3 CONTRACTING OFFICER’S REPRESENTATIVE

The COR is responsible for providing continuous technical oversight of the Contractor’s performance. The COR uses the QASP to conduct the oversight and surveillance process. The

COR shall keep a QA 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 that 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 authorize any contract change on the Government’s behalf.

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2.4 CONTRACTOR REPRESENTATIVES

(NOTE: Complete this section after contract award.)

The following Contractor employees serve as the Contractor’s Program Manager and Task

Manager for this contract.

Program Manager:

Telephone:

E-Mail:

Task Manager:

Other Key Contractor Personnel: (NOTE: Delete these lines if not applicable.)

Title:

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

The Contractor shall provide services in accordance with the PWS. The performance standards are established in the PWS paragraph that covers the specific category of work. The acceptable level of performance is set in the acceptable quality level (AQL) related to that paragraph.

4.0 PERFORMANCE REQUIREMENTS AND METHOD OF SURVEILLANCE

a. 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 Contractor

Performance Assessment Reporting System (CPARS) should be used to form the foundation of the COR’s inspection checklist. The Surveillance Matrix provided in attachment I will be used to evaluate the quality of the Contractor’s performance, the Performance Assessment

Report provided in attachment IV will be used to document overall Contractor performance, and the Corrective Action Report in attachment V to document any corrective actions required.

b. In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate the Contractor’s performance. The primary methods of surveillance are reports and customer input and/or feedback. The Government will use appointed representatives, as well as reports and input from users and/or customers, as sources of comments on the Contractor’s performance.

c. The Contractor is expected to establish and maintain professional communication between its employees and internal customers. The primary objective of professional communication between employees and internal customers is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints. Performance management drives the Contractor to be customer-focused through initially addressing customer complaints and investigating the issues and/or problems submitted. The AQL for Contractor performance, provided in attachment I, are structured to allow the Contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

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NOTE: The customer always has the option to communicate complaints to the COR as opposed to the Contractor. The COR will accept the customer’s complaints and investigate using the

Customer Complaint Record provided in attachment III.

5.0 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 Program Manager, KO, and Contractor, which enables positive, open, and timely communications. The foundation of these relationships 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.

6.0 SURVEILLANCE MATRIX

a. Attachment I 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.

b. The Government performs surveillance, using this QASP, to determine the quality of the

Contractor’s performance as it relates to the performance element standards. In evaluating the quality of the Contractor’s performance, the performance ratings provided in attachment I will be used.

7.0 QUALITY ASSURANCE REPORTING

a. The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and measured by the required performance metrics in attachment I.

b. The Government’s QA monitoring, accomplished by the COR (and others as designated), will be reported using the monitoring forms in attachments II and III. The forms, when completed, will document the COR’s understanding of the Contractor’s performance under the contract to ensure that the PWS requirements are being met. The COR will retain a copy of all completed QA monitoring forms.

8.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

a. The Government shall use the observation methods cited to determine whether the AQLs have been met. The Government’s evaluation is then translated into the specific negative incentives that may cause an unsatisfactory rating and become a deciding factor in awarding future contracts or task orders.

b. At the end of six months, the COR will prepare a written report for the KO summarizing the overall results of the QA monitoring of the Contractor’s performance. This written report will consist of the QA Monitoring Form (attachment II) and will become part of the QA documentation.

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c. The KO may require the Contractor’s Project Manager, or a designated alternate, to meet with the KO and other Government personnel as deemed necessary to discuss performance evaluations. The COR will define a frequency of in-depth reviews with the Contractor;

however, if the need arises, the Contractor will meet with the KO as often as required or per the Contractor’s request. The agenda of the reviews may include discussions on:

Monthly performance measured by the metrics and trends

Issues and concerns of both parties

Projected outlook for upcoming months and progress against expected trends

Recommendations made by the COR based on Contractor information

Issues arising from independent reviews and inspections

d. In addition to QA monitoring, the COR will use the information contained in the

Contractor’s required submittals to assess the Contractor’s level of performance for each objective measured in this QASP (detailed in the Surveillance Matrix [attachment I]). The

COR must coordinate and communicate with the Contractor to resolve issues and concerns of marginal or unacceptable performance. The Contractor will discuss with the KO and/or COR satisfaction ratings of “less than acceptable.” For such cases, the Contractor should highlight its perspective on factors driving internal customer satisfaction and present plans to adjust service levels to bring the satisfaction rating up to an acceptable level.

e. The KO and/or COR and the Contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification.

9.0 FAILURE TO PERFORM

The Contractor may receive “unsatisfactory” ratings, or even termination, based on failure to perform. The following criteria apply for determining appropriate action:

a. Notifications. Consistent with the Federal Acquisition Regulation (FAR), Part 49, the KO will notify the service provider of failure to meet standards through QA monitoring forms, cure notices, or show cause notices, and shall inform the service provider Project Manager or designated alternate of such notices.

b. Termination. If the KO determines that the Contractor has failed to perform to the extent that a termination for default is justified, the KO may issue a notice of termination consistent with the FAR, Part 49, when it is in the Government’s best interest.

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ATTACHMENT I. SURVEILLANCE MATRIX

The Contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Attachment I. Surveillance Matrix

Statements Standards/AQLs Inspections Ratings

3.3.1 The Contractor shall

provide technical support and test and evaluation (T&E) expertise

Deliverables

A001 Status Reports

A003 Technical

Report – Study/

Services

A009 Presentation

Material

1. Deliverables are made in accordance with the schedule in the PWS.

AQL: Deliverables submitted on or before due date 95% of the time when within Contractor control.

2. Regulatory compliance

AQL: 100% personnel security levels reported to the COR upon contract award and as required; 100% personnel security levels and training requirements maintained throughout the contract period.

3. Deliverables are made in accordance with the JT&E Program Handbook.

AQL: 95% satisfaction in assessing the conformance to contract requirements, specifications, and standards of quality workmanship (for example, commonly accepted technical and professional standards).

Standard(s):

Inspection applies to all standards

3.3.2 Financial

Analysis

The Contractor shall provide financial analysis support

A009 Presentation

Material

4. Compliant with Department of

Defense (DOD) financial management standards and best practices.

AQL: 95% satisfaction in assessing the conformance to contract requirements, specifications, and standards of quality workmanship (for example, knowledge of financial management policies and procedures, accounting practices, knowledge of the Joint Travel

Regulations (JTR)/Joint Federal Travel

Regulations (JFTR) requirements.

What:

Financial analysis support

How: 100% review of deliverables

Who:

Government

Representative

Standard(s):

Inspection

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3.3.3 Support Service

Management

The Contractor shall provide property management support

A009 Presentation

Material

5. Compliant with established policies, prescribed procedures, and assigned responsibilities for material and facility management standards.

AQL: 95% conformance to contract requirements, specifications, and standards of quality workmanship (for example, commonly accepted property management, accountability, professional, environmental, or safety and health standards).

What: Material management support

How: 100% review of deliverables

Who:

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3.3.4 Information

Technology

The Contractor shall provide Information

Technology (IT) support

7. Compliant with Defense Information

Systems Agency (DISA) and United

States Cyber Command

(USCYBERCOM) Information

Assurance Vulnerability Management requirements.

AQL: 95% satisfaction in assessing the conformance to contract requirements, specifications, and standards of quality workmanship.

8. Manage connection to external networks to include Non-Secure Internet

Protocol Router Network (NIPRNET), Secret Internet Protocol Router Network

(SIPRNET), and the public switched telephone network (PSTN).

AQL: 98% operational facility data network - NIPRNET circuit utilization

90% between 0700 and 1800 (local time); SIPRNET circuit utilization 90% between 0700 and 1800 (local time).

9. Provide desktop/software support services for routine life cycle replacement of customer devices, complete installation within three months of receipt of equipment, two months for new customer devices, and install customer devices at the rate of two customer devices per business day.

Workstation and network documentation will be updated reflecting new user information, changes, and deletions.

AQL: 95% compliance with standards

10. Operate and maintain Unclassified and Secret video-teleconference (VTC) suite (schedule, facilitate, and maintain

VTC connection).

AQL: 98% fully operational VTC suite

11. Provide for the accountability of communications security (COMSEC) equipment and material up to the level of

Top Secret.

AQL: 100% accountability of all

COMSEC equipment and materials;

semi-annual 100% inventory of

COMSEC equipment and materials.

What:

Information

Technology

Support

How: 100% review of deliverables meets the JT&E

Program

Handbook

(chapter 2) and the project master plan

(PMP)

Who:

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13. Provide local touch labor

(installation, configuration, troubleshooting, and repair).

AQL: Within two working days of service request.

3.3.5 Administrative

Services

The Contractor shall provide administrative services support

A009 Presentation

Material

STD: Deliverables are made in accordance with the schedule in the

PWS.

AQL: Deliverables submitted on or before due date 95% of the time when within Contractor control.

STD: Compliant with DOD administrative standards and best practices.

AQL: 95% satisfaction in assessing the conformance to contract requirements, specifications, and standards of quality workmanship (for example, knowledge of grammar, spelling, and punctuation and knowledge of personal computers and software to perform non-routine functions and other administrative standards).

What:

Administrative

Services

Support

How: 100% review of deliverables meets JT&E

Program

Handbook

(chapter 3)

Who:

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ATTACHMENT II. QA MONITORING FORM

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ATTACHMENT III. 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

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JT&E Program Office Support QASP 16

ATTACHMENT IV. PERFORMANCE ASSESSMENT REPORT

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)

6. CONTRACTOR REPRESENTATIVE REMARKS

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ATTACHMENT V. CORRECTIVE ACTION REPORT

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. CORRESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

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