Attachment_4_-_QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

DEPARTMENT OF THE ARMY (HQDA)

CONTINUITY OF OPERATIONS (COOP) SUPPORT

Date Prepared: April 30, 2018

1. OVERVIEW

1.1. Purpose. The purpose of this plan is to identify the methods and procedures the government will use to ensure it receives the services/products under this contract as identified in the Performance Work Statement (PWS).

1.2. Intent. The intent of this plan is to hold the contractor accountable for quality control and to encourage the contractor to take appropriate steps to control and improve quality. The contractor is responsible to develop an efficient methodology to ensure they meet and/or exceed the required thresholds of service as outlined in this acquisition. The government intends to perform surveillance on this contract in accordance with this Quality Assurance Surveillance Plan (QASP), but reserves the right to monitor the contract in any manner necessary, at any times necessary, and at all places necessary to ensure that the rendered services conform to contract requirements. The government reserves the right to perform quality assurance at the subcontract level and perform quality assurance at the contractor's place of business, if applicable. Non-conforming services discovered with subcontractors will be addressed with the prime contractor for resolution.

2. DESCRIPTION OF SERVICES

2.1. Scope of Work. Support HQDA with its COOP policy, plans, operations and training in accordance with AR 500-3, DOD Directive 3020.26, and Federal Continuity Directives One and Two to ensure HQDA Command and Control throughout the “all hazards” threat spectrum of evolving, attack-related, terrorist-related, and catastrophic natural post- Cold War threats.

2.1.1. The essence of COOP is an information technology based command, control and communications (C3) system that provides for informed decision making, status monitoring and communication ability linked to the Army Commands (ACOM), Army Service Component Commands (ASCC), and Direct Reporting Units (DRU). COOP also requires a predictive awareness and rapid, clear communications to organizations at all levels of pending threats and hazards. Command and control (C2) functions are performed through an arrangement of personnel, equipment, communications, facilities, and procedures employed by a commander in planning, directing, coordinating, and controlling forces and operations in the accomplishment of the mission (Joint Publication 1-02). All Continuity functions require an integrated C2 system for effective employment. Therefore, continuity functions must have effective command and control processes and supporting systems to achieve mission success and interface with all levels of the National Military Command System (NMCS) and its information technology equipment. As a result, this task is focused on effectively developing, operating, maintaining, and improving the continuity C2 processes for the Headquarters, Department of the Army (HQDA) staff in support of the SECARMY’s and CSA’s COOP program and systems.

2.2. Contract. The COOP Support contract is CPFF. Inspection of Services: 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.

2.3. Government Furnished Equipment. The government will furnish work space, parking privileges, space for exercises, office automation equipment, access to fax, email, and printers, space to store classified material and any other requirements to support contract personnel. The government will also provide access to people, plans, data and other information deemed important to accomplishing contract tasks. Designated personnel will be authorized to use GSA vehicles for contract tasks as directed by the HQDA COOP Program Manager or his representative and in coordination with the relocation site(s) support organization, i.e., Commander, Raven Rock Mountain Complex (RRMC).

Designated personnel will be authorized to fly on Government Aircraft in coordination with relocation sites.

All employees must sign a non-disclosure agreement due to their access to classified information and facilities supporting this contract.

3. ROLES AND RESPONSIBILITIES.

3.1. Government Personnel:

Contracting Officer (KO) - A person duly appointed with the authority to enter into, administer and terminate contracts on behalf of the government. The KO is the only person who can legally commit the government and only the KO, as the government’s agent, can modify the contract/order. The KO is the final authority for determining the adequacy of the contractor’s performance. KO decisions arising under or relating to the contact are final.

Contracting Officer’s Representative (COR) – An individual designated in writing by the KO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of contractor’s performance, accept services). The COR is not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the government; such authority rests solely with the KO.

3.2. Contractor Personnel:

Disaster Recovery Administrator Provides program management oversight and accountable for all activities in support of the Headquarters, Department of the Army (HQDA) COOP Program office. Provide guidance and management oversight of team responsible for ensuring that a viable COOP capability exists allowing HQDA organizations to accomplish their mission essential functions (MEF) under all circumstances from any of three established relocation facilities. Specific tasks are divided into three categories: COOP analytical support, Emergency Relocation Facility (ERF) Management, and Information Technology (IT) readiness.

COOP Analytical Support Provide direct support to the Army COOP Program manager in his management of the Program. Tasks focus on management of the COOP budget and liaising with HQDA COOP POCs on both the execution of the HQDA COOP Plan and the execution of their organization’s COOP responsibilities. Specific tasks include:

· Training ERG personnel on COOP execution and conducting ERF orientations

· Development of HQDA COOP Metrics to measure our COOP capability across each ERF

· Assist in reviewing National and OSD COOP policies and their implications on HQDA

· Assist in the planning of HQDA COOP Exercises

· Assist in the development of the HQDA COOP OPLAN and associated revisions

· Developing the HQDA COOP Pandemic Influenza (PI) COOP Plan

· Functional Lead on teleworking initiative within G-33

· Functional Lead for execution of all COOP exercises including organizing all logistical support at the ERFs and arranging transportation to support HQDA ERG personnel.

· Assist with managing the execution of the COOP Budget

· Assist with planning and Programming the COOP Budget

· Procuring, at the Program Manager’s direction, materials and supplies to support the program; research cost to ensure the government is getting the best value possible

· Developing, maintaining and improving the Eroster

· Conduct monthly Alert and Notification Exercises

Information Technology (IT) and Communications Readiness In concert with appropriate Army IT and information management agencies, ensure the operational readiness of all offices and workspaces, and IT/Communications hardware and systems in direct support of the HQDA ERG at each relocation site. Specified activities include:

· Advising the COOP Program Manager and Chief, Force Protection Division on IT-related issues/taskings impacting the ERG

· Consolidating and meeting the IT requirements of the HQDA ERG. This entails compiling, cataloguing, and assessing each organization’s MEF and the IT requirements to accomplish that MEF. Determine cost effective ways to meet all agencies’ requirements.

· Facilitating COOP IT Working Group and COOP Configuration Management meetings in coordination with CIO/G6, NETCOM, and HQDA IT Service Providers

· Providing Tier 1 and Tier 2 desktop support to HQDA AOC personnel

· Providing Tier 1 and Tier 2 VTC support to AOC users at RRMC

· Providing network administration for all AOC workstations and servers located at RRMC

· Maintaining tape archival system at RRMC

· Providing oversight management of HQDA COOP IT support staff at the ERFs

· Repairing and maintaining workstation and server hardware

· Coordinating with host organization and ERS IT providers supporting each ERF

· Assist with establishing Service Level Agreements (SLAs) and Technical Agreements where applicable; monitor compliance with established agreements

· Assist with establishing POM requirements to support IT/communications life cycle replacement plan(s)

4. CONTRACT QUALITY REQUIREMENTS

4.1. Quality Control Program. The contractor's Quality Control Program requirements are defined in paragraph 8 Performance Standards of the PWS. The contractor shall develop, maintain, enforce and document a Quality Control Plan (QCP) which complies with the requirements of this contract and outlines how they will ensure the government will receive all the services required by the contract at the specified quality level.

4.2. Government Quality Assurance. The government will perform Quality Assurance oversight of the contractor and contractor’s QCP IAW with this QASP to ensure acceptable levels of contract performance are achieved and that the contractor is performing acceptable levels of Quality Control to ensure fully acceptable services are provided.

5. GOVERNMENT SURVIELLANCE

5.1. Methods of Surveillance include but are not limited to:

· 100% Inspection - This is an inspection method whereby all outputs are monitored. This method provides the best indication of contractor performance and the most documented basis for determining contract payment actions. However, it requires extensive COR resources, and therefore, is not practical for most service requirements. 100 percent inspection is preferred when the PWS requirement is so critical that nonperformance would pose a direct risk to the safety of personnel or property, or when the work occurs infrequently and the output population is small.

· Random Sampling - When a service is performed relatively frequently and a statistically valid sample can be selected for audit. The most appropriate method for frequently recurring tasks. Random Sampling is a means of evaluation by observing or inspecting some part (a sample), but not all, of a population or lot of the contract requirements to assist the government with determining whether standards set forth in the contract have been met. This tool is not the Contracting Officer’s only option nor is the tool usage mandatory. When performing random sampling, an updated version of Military Standard 105E Tables/ ANSI/ASQC Z1.4 shall be normally used to determine the sample size and the acceptance and rejection numbers.

· Periodic Sampling - This method, sometimes called "planned inspection," consists of the evaluation of tasks selected on other than a 100 percent or random basis. It may be appropriate for tasks that occur infrequently, and where 100 percent inspection is neither required nor practical. A predetermined plan for inspecting part of the work is established using subjective judgment and analysis of agency resources to decide what work to inspect and how frequently to inspect it.

· Customer Feedback – Not necessarily a valid method of surveillance but a good indicator for areas surveillance should be conducted or intensified. The COR may design a customer survey questionnaire to be used as an essential part of a well publicized customer complaint program. In time of resource constraints, the use of customer surveys provides an effective and efficient means of monitoring contractor performance. Customer surveys should only supplement other surveillance efforts and be analyzed by surveillance personnel trained in validating customer complaints. Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance. The COR must investigate each customer complaint and validate the accuracy before any action will be taken.

5.2. Monthly Surveillance Schedule. The COR will develop a monthly schedule of surveillance activities based on the Performance Standards as outlined in the Performance Requirements Summary (PRS)(PRS will be an attachment to this QASP) as well as any other critical contractual requirements determined to be higher risk requiring oversight. The surveillance outlined in the monthly schedule will be as detailed and in-depth as necessary to provide the government with the objective quality evidence required to support acceptance of the services provided by the contractor. The schedule will provide planned periodic surveillance during all required hours of the contractor’s operation. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized government personnel. The schedule will identify the method of surveillance, the date of inspection, place of inspection, activity to be monitored, and who will conduct the surveillance (dates and times can be altered without a formal change to the schedule as long as all inspections are performed). The DA Form 5475-R (COR/ACOR Surveillance Schedule) http://armypubs.army.mil/eforms/pdf/A5475.PDF may be tailored to be used for this purpose. The monthly schedule will be completed no later than seven calendar days prior to the beginning of the period it covers and a copy forwarded to the KO for information and review.

5.3. Inspection instructions/checklists. The COR will develop inspection instructions/checklists for all planned inspections which may require special instructions on how to perform the inspection, what observations should be made with specific details of what to look for to identify acceptable performance. The Surveillance Activity Checklists, DA Form 5476 http://armypubs.army.mil/eforms/pdf/A5476.PDF

5.4. Documentation of Inspections. All inspections/observations will be documented and will include as a minimum date and time, who performed the inspection, what was inspected, to what standard and the results. Successful or exceptional performance will be documented as well as deficiencies in contractor performance. Documentation will be maintained for future reference, audit, proof of inspection and past performance documentation. The Tally Checklist DA Form 5481 http://armypubs.army.mil/eforms/pdf/A5481.PDF may be tailored to be used for this purpose.

6. Non-Conforming Performance. The COR will notify the contractor, in person, each time an unacceptable observation has been recorded and ask the contractor to correct the problem or re-accomplish the service. The COR will record the contract requirement, the specific deficiency to the requirement, the date and time it was discovered, and have the contractor initial the entry. The contractor will be given a time line after notification to correct the deficiency in accordance with requirements of the contract. Deficiencies that cannot be corrected within the identified time line will be reported to the Contracting Officer. Again the Tally Checklist DA Form 5481 http://armypubs.army.mil/eforms/pdf/A5481.PDF may be used for this purpose.

6.1. Customer Feedback. For customer feedback or complaints it is recommended that the Customer Complaint Record DA Form 5477 http://armypubs.army.mil/eforms/pdf/A5477.PDF be used. However customer feedback can be in any form, verbal or written but no matter the format the COR will maintain a record of the feedback positive or negative.

a. If immediate response to a complaint is required, the COR will provide the response to the requester as soon as practical.

b. The COR will conduct an investigation to determine the validity of any negative comments received.

c. If the negative comment is determined not to be valid, if possible, the COR will inform customer of the reason(s) as soon as practical.

d. For validated negative comments that are true contractual non-conformances see paragraph 6. If this non-conformance is a more serious (systemic in nature) deficiency or recurring deficiency that could indicate a trend the COR should see paragraph 6.2.

e. The COR will follow up with the customer of the corrective action taken by the contractor, if applicable.

6.2. Contract Deficiency Reports. The COR will report more serious (systemic in nature) deficiencies or recurring deficiencies that could indicate a trend by using the DA Form 5479-R, Contract Discrepancy Report http://armypubs.army.mil/eforms/pdf/A5479.PDF. The Contract Discrepancy Report will state the Contract Requirement, the specific contract reference and the specific violation (s) to the requirement. The COR will forward copies of Contract Discrepancy Reports to the KO within one working day. The KO will notify the contractor and request corrective action to the specific non-conformance, identification of the root cause and corrective action for the root cause with a required suspense date. The KO may require the contractor to re-perform any services that do not meet contract requirements at no additional cost to the government. The contractor will return a copy of the completed and signed DA Form 5479-R along with their Corrective Action Plan (CAP) to the KO for review, approval and inclusion in the contract/order file. The KO should include the COR in the review of the CAP and re-inspection of services that were found deficient to ensure the CAP included adequate root cause analysis, corrective action for the root cause and that it was accomplished in the timeframe agreed upon. The KO and COR will not consider the CDR closed until all deficiencies have been corrected and all agreed upon actions of the CAP have been completed. Contractor’s failure to follow through and complete corrective actions will be reported immediately to the KO for further action. (Note: if the COR has to repeatedly perform re-inspection there could be a government re-inspection cost which could be recovered from the contractor). The COR will also follow-up after the contractor has completed the corrective action to ensure that the contractor’s corrective action was sufficient to preclude recurrence.

7. Data Analysis. COR shall perform and document analysis of available data monthly and make adjustments to surveillance schedule as required based on results of analysis. Analysis shall be used to look for and document trends in performance which may indicate shifts in performance risk that could result in increased or reduced surveillance. Data can be based on government observations or contractor observations. Negative trends noted using government observations could result in issuing contractor a Contract Deficiency Report (CDR). Trends noted using contractor data should never result in a CDR unless the contractor is not addressing the negative trend. Documentation of data analysis will be in the Monthly COR Activity Report.

8. Acceptance of Services. When all services have been deemed acceptable and there is documented objective quality evidence to support acceptable performance the COR will accept the services provided and authorize payment upon satisfactory completion of the work. This is done by approving the contractor’s invoice in Wide Area Workflow https://wawf.eb.mil/.

9. Monthly COR Activity Report. The COR will submit a brief monthly activity report to the KO which will include the next month’s surveillance schedule, summary of inspections performed with results, summary of customer complaints with analysis, summary of contract discrepancies, results of data analysis, recommended adjustments to surveillance, invoices accepted and any other pertinent contract activities.

10. Contractor Manpower Reporting (CMR). The COR shall fill in required information and verify contactor has complied with the required contractor manpower reporting and document any observations. Reporting is for the 12 month period ending Sept. 30th of each FY and reporting is due by the contractor by 31 Oct of each FY. Registration and manual can be found at https://cmra.army.mil.

11. Quality Assurance Surveillance File: The official COR Quality Assurance Surveillance File will be maintained in the on-line COR Management Tool https://cor.army.mil per ACC PAM 70-1. The Quality Assurance, or COR Surveillance file shall contain the following as applicable:

a. Copy of the COR designation letter from the KO, any changes to that letter, and any termination letters.

b. Training Certifications for COR and refresher training.

c. Copy of the contract and all contract modifications.

d. Copy of the applicable Quality Assurance Surveillance Plan (QASP) with attached schedule and checklist.

e. Copy of the contractor’s Quality Control Plan (QCP)

f. All correspondence initiated by authorized representatives (contractor or government) concerning performance of the contract.

g. Names, position titles and contact information of all key personnel assigned to this contract both government and contractor.

h. Monthly surveillance schedules.

i. Surveillance Checklists

j. Records of all inspections performed and the results.

k. Customer Feedback.

l. Memoranda for record of minutes of any meeting, telephone conversations and discussions with the contractor or others pertaining to the contract or contract performance.

m. Documentation pertaining to acceptance of services, reports or data

12. Contractor Performance Assessment Reporting System (CPARS) Documented surveillance data IAW this QASP will be used as objective data to support CPARS ratings. The inclusion of detailed documented inspection results provides objectivity to CPARS reporting. CPARS will be accomplished annually or at the end of a Task Order whichever occurs first. https://www.cpars.gov/

13. QASP Changes. The QASP is a living document and, as such, may be changed as needed. However, the KO must approve changes. The COR will submit recommended changes to the KO for approval.

ATTACHMENT 1

PREFORMANCE REQUIREMENTS SUMMARY

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.

Organized in a logical manner Free of grammatical errors

· Meet all requirements set forth in the PWS

· Be written in a clear and logical manner

· Identify source searched

· Provide recommended strategies for HQDA

Equipment will be maintained at a 95% readiness level.

All Help/Service Tickets will be initially addressed within one hour of report and resolved in a timely manner.

All facility and equipment maintenance issues will be documented and all reports will

· Be written in a clear and logical manner

· Identify source searched

· Provide estimated time of repair/completion

· Provide recommended strategies for HQDA for non-serviceable equipment

Failure to achieve this performance standard may be reflected in Contractor’s performance evaluation (as verified by the TM). This shall be in addition to any reduction assessed for failure to provide on-time deliverables

If deliverable is determined to be unacceptable to the TM and cannot be resolved to the satisfaction of the Government, results will be reflected in Contractor’s performance evaluation.

If alternate sites (s) or problem resolution are determined to be unacceptable to the COR and cannot be resolved to the satisfaction of the Government, results will be reflected in Contractor’s performance evaluation.

ATTACHMENT 2

COR SURVEILLANCE SCHEDULE

ATTACHMENT 3

SURVEILLANCE ACTIVITY CHECKLIST

PARAGRAPH