ATTACHMENT N thru T Updated.pdf

ATTACHMENT N: ELECTRONIC DATA INTERCHANGE GUIDELINES

Table of Contents

VA FSC Electronic Commerce Division

• Role in VA EDI solution

• Group contact information

VA DLC EDI Technical Team

• Group contact information

EDI Transaction Sets in Use (as of contract effective date)

• X.12 810 Invoice

• X.12 850 Purchase Order

• X.12 855 Purchase Order Acknowledgment

• X.12 860 Purchase Order Change Request

• X.12 865 Purchase Order Change Acknowledgement

• X.12 997 Functional Acknowledgement

• Transaction Maps/Source

Implementation/Testing Procedures

• Implementation Sequence

• Implementation Timeline

• Testing Procedures

Expectations Regarding Technical Issues

• Importance of Being Responsive

• Escalation Pathway

Possible EDI Technical Upgrades

• X.12 v.5010 Migration

NOTE: Information contained in this document are only guidelines and are subject to change at any time based upon the needs of the government. These guidelines are for informational purposes only.

VA FSC Electronic Commerce Division

Acting as the DLC’s intermediary affiliate, the FSC Electronic Commerce Division (ECD) primarily manages the vendors’ physical and technical connections to the VA for the EDI solution. The FSC ECD team will:

1. Provide the X.12 mapping documents for all of the EDI transactions used in the solution.

2. Provide translation services which ensure that all outbound business transactions performed under the Hearing Aid Contract are mapped into the appropriate X.12 transactions, segments, and data elements in the appropriate format and that all inbound business transactions performed under the Hearing Aid Contract are mapped from X.12 into the appropriate proprietary format(s) used by the DLC applications.

3. Set up the appropriate transaction framework to communicate (send/receive) EDI transmissions, e.g., identifiers, mailboxes, etc.

4. Serve as the primary point of contact (POC) for all transmissions, issues or concerns related to EDI transmissions, and other communication issues specific to the EDI solution.

5. Monitor acknowledgements from vendors, including the 997 Functional Acknowledgement as well as transaction-specific acknowledgements (855/865), issue reminders when acknowledgements are overdue, etc.

6. Re-transmit transactions that have failed for some reason: communication problem, technical issue, etc. The FSC ECD is the primary POC for transmission failures which result in the need for re-transmission.

7. Serve as the primary POC for EDI implementation/testing with new vendors (see Implementation/Testing Procedures below).

8. Partner with vendor to expand EDI services subject to approval from the VA DLC EDI Technical team.

• Group contact information Email: FSCEDIFinancialTeam@va.gov Phone: 512.460.5311

VA DLC EDI Technical Team

• Role in VA EDI solution The DLC EDI Technical Team is primarily responsible for the X.12 interface to the business application(s), e.g., the Remote Order Entry System (ROES) and the Laboratory Workload System (LWS), which generate purchase orders on behalf of the DLC. The DLC EDI Team will:

1. Address business/application related questions or concerns, including data content and format (as defined prior to X.12 translation).

mailto:FSCEDIFinancialTeam@va.gov

2. Manage EDI enhancements to accommodate new business needs generated by DLC or the vendor community, involving the FSC ECD team as needed.

3. Provide orientation to the business applications as needed to understand the EDI solution.

4. Provide backup for re-transmission of transactions that have failed for some technical reason.

5. Serve as the secondary POC for EDI implementation/testing with new vendors (see Implementation/Testing Procedures below).

• Group contact information Email: dalc.editrk@va.gov Phone: 303.273.6260

EDI Transaction Sets in Use (as of March 28, 2019)

• X.12 810 Invoice, v.4010 or v.5010

• X.12 850 Purchase Order, v.4010 or v.5010

• X.12 855 Purchase Order Acknowledgement, v.4010 or v.5010

• X.12 860 Purchase Order Change Request-Buyer Initiated, v.4010 or v.5010

• X.12 865 Purchase Order Change Acknowledgement, v.4010 or v.5010

• X.12 997 Functional Acknowledgement, v.4010 or v.5010

• Transaction Maps/Source:

1. FSC ECD team is the only source for the VA EDI transaction maps.

2. Since products purchased under this Hearing Aid contract come from multiple suppliers, each vendor must adhere to VA-specific maps.

3. Questions regarding X.12 maps will be referred to the FSC ECD Team while questions related to data content may be referred to the DLC EDI Technical Team.

Implementation/Testing Procedures

• Implementation Sequence Historically, transactions have been implemented in the following sequence:

1. 997, Functional Acknowledgement

2. 850, Purchase Order/855, Purchase Order Acknowledgement

3. 860, Purchase Order Change Request/865, Purchase Order Change

Acknowledgement

4. 810 Invoice

5. It may be possible and desirable to combine implementation of both the 850 and 860 if the vendor is interested in pursuing that alternative. This implementation sequence variance must be discussed with the FSC ECD and DLC EDI Technical teams.

mailto:dalc.editrk@va.gov

6. Other implementation sequences can be entertained at the vendor’s request, but these changes must be presented with appropriate justification of the need and the vendor’s ability to manage the implementation.

• Implementation Timeline All new vendors awarded under the Hearing Aid Contract must be compliant with the EDI requirements within 6 months of the contract effective date, which means that all 6 EDI transactions must be “in production” within 6 months. (In this context, a new vendor is one which has not previously been awarded a Hearing Aid contract.) In order to accomplish this requirement, the vendor must contact both the VA FSC ECD and VA DLC EDI Technical teams soon after award to discuss a vendor-specific implementation timeline and the testing procedures (see below).

• Testing Procedures Basic communication protocols must first be established and tested between the vendor and the FSC.

850/860 Transactions

1. When the vendor is ready to test receipt of the 850 (and/or 860), they will need to contact both the FSC ECD and DLC EDI Technical teams.

2. Once contacted, these teams will work together to produce a small test batch of electronic purchase orders and transmit them to the vendor partner.

3. The DLC EDI Technical team will release a list of test PO’s to the vendor and FSC

ECD prior to transmission to the FSC.

4. The FSC will translate the purchase orders/PO changes and transmit them to the vendor labeled or notated as test transactions on a mutually agreed upon schedule.

5. The vendor will acknowledge to the FSC the 850/860 test transmission(s) with the corresponding 855/865 transactions in a timely fashion (24 hours).

6. The vendor will work with the FSC ECD and DLC EDI Technical teams to resolve testing issues. The VA will try to accommodate vendor implementation requests if possible; however, the VA must adopt a consistent and stable implementation in order to serve multiple vendors under this contract.

7. More than one test batch can be generated as needed to ensure that implementation of the EDI transaction is complete and accurate and that all issues or questions are resolved.

8. The DLC EDI Technical team and/or the contracting officer (CO) may contact the vendor’s EDI POCs if they believe the implementation timeline requirement (6 months) is in jeopardy of slipping behind schedule.

810 Transactions

1. When the vendor is ready to test generation of their 810 transactions, they will need to contact both the FSC ECD and DLC EDI Technical teams to arrange a test transmission.

2. When directed by the FSC ECD the vendor will transmit the test batch of invoices/credit memos to the FSC on a mutually agreed upon schedule. The test batch will be labeled or notated as test transactions.

3. The FSC will acknowledge to the vendor the 810 test transmission(s) with the 997 functional acknowledgements in a timely fashion (24 hours).

4. The FSC ECD will process the test transactions: this includes EDI batch management, translation, and transmission to the DLC if possible. (Errs in FSC processing could prevent transmission to the DLC.)

5. The FSC ECD will work with the vendor should issues/questions arise which prevent the test transactions from being fully processed. The FSC ECD may return specific rejects to the vendor which must be resolved in a reasonable timeframe.

6. The FSC will contact the DLC and transmit the test transactions to the DLC based upon a mutually agreed upon schedule.

7. The DLC will process the test transactions: this includes batch management, editing each transaction according to established business rules, and generation of either a payment or a reject for each transaction.

8. The DLC will work with the vendor should issues/questions arise which prevent the test transactions from being fully processed. The DLC may return specific rejects to the vendor via email.

9. More than one test batch can be generated as needed to ensure that implementation of the EDI transaction is complete and accurate and that all issues or questions are resolved.

10. The DLC EDI Technical team and or the DLC CO may contact the vendor’s EDI POCs if they believe the implementation timeline requirement (6 months) is in jeopardy of slipping behind schedule.

Expectations regarding Technical Issues

• Importance of Being Responsive

1. The VA EDI solution aims to create a very consistent and stable electronic environment in which the business transactions inherent in this contract are to be transmitted and processed to a successful endpoint based upon the business requirements and expectations.

2. There is an explicit expectation that the vendor will be responsive to the VA regarding these EDI requirements. The vendor will remain cognizant of the 6 month implementation timeline and will contact the FSC ECD and DLC EDI Technical teams regarding testing activities.

3. There is also an implicit expectation that the vendor will be responsive to the FSC ECD and DLC EDI Technical teams throughout the life of this Hearing Aid Contract.

If problems/issues arise, the vendor will need to communicate with the VA and cannot afford to let production issues go unresolved. The VA will make every attempt to address any issues that arise from internal VA production problems in a timely fashion and expects the vendors to similarly address their issues that arise from their internal production problems in a timely fashion.

4. All transmissions must be acknowledged with the 997 in a timely fashion.

5. 850/860 transmissions need to be acknowledged with the appropriate transaction

(855/865) within 24 hours of receipt.

• Escalation Pathway

1. Issues of common concern will be managed through two-way communication that employs both email and telephone (voice mail).

2. Please provide appropriate EDI points of contact to the VA when asked or when contacting the VA about EDI requirements/implementation/testing. When communicating about a specific issue, please include both FSC ECD and DLC EDI Technical teams as well as any POCs within the vendor organization that require information about the issue.

3. Please respond promptly to communications (email, voicemail) from the VA regarding EDI issues, e.g., production problems, transmission problems, etc.

Responses are generally expected within 24 – 48 hours depending upon the day of week and whether Holidays occur in this timeframe.

4. If the VA does not believe they have received a timely response the issue will be escalated according to the following path:

o VA Technical POCs to Vendor Technical POCs o VA Technical POCs to Vendor Business POCs o VA Contracting POCs to Vendor Business POCs

5. Unresolved problems eventually become issues of concern to the government’s contracting officer and could result in consequences that affect the vendor’s contract or status.

NOTE: Information contained in this document are only guidelines and are subject to change at any time based upon the needs of the Government. These guidelines are for informational purposes only.

ATTACHMENT O: INVOICING REQUIREMENT FOR BATTERY DESIGNATION

Invoices that require a “battery type” must use the following VA Designation, for the particular battery, on the invoice in order to process. Invoices that do not use one of the following will not process through the EDI invoice requirements. If a battery is not specified below, please contact the contracting officer for a designation code.

VA DESIGNATION BATTERY TYPE (Description)

ALK1604 Alkaline, size 1604, 9 volts

ALKAA Alkaline, size AA, 1.5 volts

ALKAAA Alkaline, size AAA, 1.5 volts

ALKAAAA Alkaline, size AAAA, 1.5 volts

ALKC Alkaline, size C, 1.5 volts

ALKD Alkaline, size D, 1.5 volts

ALKN Alkaline, size N, 1.5 volts CR123A LITHIUM Recharge Lithium 3 V 400mAh

CR2-3 VOLT Rechargeable Lithium 3 V 800 mAh

CR2025 Rechargeable Lithium 3 V 163 mAh

L1/3N Lithium, size 1/3N, 3 volts

L2032 Lithium, size 2032, 3 volts

L2450 Lithium, size 2450, 3 volts S357 Silver, size 357, 1.4 volts

ZA10MF Zinc Air, mercury free, size 10, 1.4 volts

ZA13MF Zinc Air, mercury free, size 13, 1.4 volts ZA312MF Zinc Air, mercury free, size 312, 1.4 volts

ZA675MF Zinc Air, mercury fee, size 675, 1.4 volts

ATTACHMENT P:

SMALL BUSINESS SUBCONTRACTING PLAN

(Model Outline* – Template Revised 1/26/2017)

SUBCONTRACTING PLAN PERIOD:

Individual plans should cover the entire period of performance, and commercial plans should coincide with the company’s fiscal year. In the event your company's fiscal year is for a period that will end before the contract periods of any federal contracts you hold which include the requirement to have a small business subcontracting plan, you will be required to submit a new subcontracting plan for approval thirty (30) days prior to expiration of the existing subcontracting plan. In the event an acceptable plan cannot be negotiated prior to expiration of the existing subcontracting plan, your contract(s) may be terminated.

DATE SUBMITTED:

NAME OF PLANHOLDER:

SUBSIDIARIES INCLUDED:

ADDRESS:

ITEM/SERVICE TYPE:

1. TYPE OF PLAN

Select only one of the following (a, b, or c), listing the total estimated dollar value of all planned subcontracting (to all types of business concerns, both large and small). Per 13 CFR 125.3(a)(1)(iii), the following categories should not be included in the total subcontracting spend base in #1, the proposed goals in #2, nor in the categories of spend listed in #3:

internally generated costs such as salaries and wages; employee insurance; other employee benefits; payments for petty cash; depreciation; interest; income taxes; property taxes; lease payments; bank fees; fines, claims, and dues; Original Equipment Manufacturer relationships during warranty periods (negotiated up front with product); utilities such as electricity, water, sewer, and other services purchased from a municipality or solely authorized by the municipality to provide those services in a particular geographical region; and philanthropic contributions.

Utility companies may be eligible for additional exclusions unique to their industry, which may be approved by the contracting officer on a case-by-case basis.

a) Individual Plan (This Contract Only) Contract

#/Solicitation # Total value of projected subcontracts (both large and small businesses) Total Contract Value $

b) Commercial Division-wide Plan Total value of projected subcontracts (both large and small businesses) $ Total projected sales $ (Subcontracts Represent % of Total Annual Sales)

c) Commercial Company-wide Plan Total value of projected subcontracts (both large and small businesses) $ Total projected sales $ (Subcontracts Represent % of Total Annual Sales)

* This template is a suggested model for use when formulating a subcontracting plan pursuant to the requirements at FAR 52.219-9(d). While this model plan has been designed to be consistent with FAR 52.219-9, other formats may be acceptable. However, failure to include the essential information as set forth in this model may be cause for either a delay in acceptance or the rejection of an offer where the clause is applicable. Further, the use of this model is not intended to waive other requirements that may be applicable under FAR 52.219-9 or that may appear in the Government’s solicitation.

"SUBCONTRACT," as used in 52.219-9, refers to your external company spend, meaning any agreement (other than one involving an employer-employee relationship) entered into by a federal government prime contractor or subcontractor calling for supplies or services required for performance of the contract or subcontract.

State separate dollar and percentage goals, expressed in terms of percentages of the total available subcontracting dollars listed in the previous section in #1. Commercial plans must complete 2a below with 1- year goals, and individual plans must complete 2b below, proposing two, separate 5-year goals.

Complete only 2a OR 2b, as applicable. Percentage goals should be rounded to one decimal place (X.x%).

2a. GOALS FOR COMMERCIAL PLANS (1-Year Goals)

a) Total estimated dollar value and percent of planned subcontracting with small businesses (SB) (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns:

$ and %

b) Total estimated dollar value and percent of planned subcontracting with veteran-owned small businesses (VO): $ and %

c) Total estimated dollar value and percent of planned subcontracting with service-disabled veteran- owned small businesses (SDVO) (Note: This is a subset of veteran-owned): $ and

d) Total estimated dollar value and percent of planned subcontracting with small disadvantaged businesses (SDB) (including ANCs and Indian tribes): $ and %

e) Total estimated dollar value and percent of planned subcontracting with women-owned small businesses (WO): $ and %

f) Total estimated dollar value and percent of planned subcontracting with HUBZone small businesses (HUB): $ and %

2b. GOALS FOR INDIVIDUAL PLANS (Two, Five-Year Goals)

a) Total estimated dollar value and percent of planned subcontracting with small businesses (SB) (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns:

Total Contract: $ & %

b) Total estimated dollar value and percent of planned subcontracting with veteran-owned small businesses (VO):

Total Contract: $ & %

c) Total estimated dollar value and percent of planned subcontracting with service-disabled veteran- owned small businesses (SDVO) (Note: This is a subset of veteran-owned):

Total Contract: $ & %

d) Total estimated dollar value and percent of planned subcontracting with small disadvantaged businesses (SDB) (including ANCs and Indian tribes):

Total Contract: $ & %

e) Total estimated dollar value and percent of planned subcontracting with women-owned small businesses (WO):

Total Contract: $ & %

f) Total estimated dollar value and percent of planned subcontracting with HUBZone small businesses (HUB):

Total Contract: $ & %

3. PRODUCTS AND/OR SERVICES

The types of products and/or services to be subcontracted are:

LB:

SB:

VO:

SDVO:

SDB:

WO:

HUB: ______

4. GOAL DEVELOPMENT

The following method was used in developing the subcontracting goals:

5. IDENTIFYING POTENTIAL SOURCES

The following methods were used to identify potential sources for solicitation purposes (See FAR 52.219- 9(d)(5) for examples of methods that may be used.):

6. INDIRECT COSTS

Indirect costs_____have_____have not been included in the dollar and percentage subcontracting goals stated above. (Check one.)

If "have been" is checked (and you are proposing an individual plan), explain the method used in determining the proportionate share of indirect costs to be incurred with small business (including Alaska Native Corporations and Indian tribes), veteran-owned small business, service-disabled veteran-owned small business, small disadvantaged business (including ANCs and Indian tribes), women-owned small business, and HUBZone small business concerns.

Note: Commercial planholders who choose to include indirect costs will not need to provide the aforementioned explanation because the costs will be applied at 100%.

7. PROGRAM ADMINISTRATOR

The following individual will administer the subcontracting program:

NAME:

TITLE:

ADDRESS:

TELEPHONE:

EMAIL:

This individual's specific duties, as they relate to the firm's subcontracting program, are as follows:

8. EQUITABLE OPPORTUNITY

The following good faith efforts (internal and external) will be taken to assure that small business, veteran- owned small business, service-disabled veteran-owned small business, small disadvantaged business, women-owned small business, and HUBZone small business concerns will have an equitable opportunity to compete for subcontracts:

9. FLOW-DOWN CLAUSE

The offeror agrees that the FAR clause of this contract entitled “Utilization of Small Business Concerns” (52.219-8) will be included in all subcontracts that offer further subcontracting opportunities, and that the Offeror will require all subcontractors (except small business concerns) that receive subcontracts in excess of $700,000 ($1.5 million for construction of any public facility) with further subcontracting possibilities to adopt a subcontracting plan that complies with the requirements of this clause.

NOTE: See exceptions listed in FAR 52.219-9(j).

10. REPORTING & COOPERATION

The offeror agrees to

(i) Cooperate in any studies or surveys as may be required;

(ii) Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan;

(iii) After November 30, 2017, include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite-quantity contracts intended for use by multiple agencies;

(iv) Submit the Individual Subcontract Report (ISR) and/or the Summary Subcontract Report (SSR), in accordance with paragraph (l) of this clause using the Electronic Subcontracting Reporting System (eSRS) at http://www.esrs.gov. The reports shall provide information on subcontract awards to small business concerns (including ANCs and Indian tribes that are not small businesses), veteran- owned small business concerns, service-disabled veteran-owned small business concerns, HUBZone small business concerns, small disadvantaged business concerns (including ANCs and Indian tribes that have not been certified by SBA as small disadvantaged businesses), women- owned small business concerns, and for NASA only, Historically Black Colleges and Universities and Minority Institutions. Reporting shall be in accordance with this clause, or as provided in agency regulations;

(v) Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS;

(vi) Provide its prime contract number, its DUNS number, and the e-mail address of the Offeror’s official responsible for acknowledging receipt of or rejecting the ISRs, to all first-tier subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their ISRs; and

(vii) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the subcontractor’s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans.

11. RECORDKEEPING

The following is a description of the types of records that will be maintained concerning procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of the offeror’s efforts to locate small business, veteran-owned small business, http://www.esrs.gov/ service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns and award subcontracts to them. The records shall include at least the following (on a plant-wide or company-wide basis, unless otherwise indicated):

(viii) Source lists (e.g., SAM), guides, and other data that identify small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns.

(ix) Organizations contacted in an attempt to locate sources that are small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, or women-owned small business concerns.

(x) Records on each subcontract solicitation resulting in an award of more than $150,000, indicating—

(A) Whether small business concerns were solicited and, if not, why not;

(B) Whether veteran-owned small business concerns were solicited and, if not, why not;

(C) Whether service-disabled veteran-owned small business concerns were solicited and, if not, why not;

(D) Whether HUBZone small business concerns were solicited and, if not, why not;

(E) Whether small disadvantaged business concerns were solicited and, if not, why not;

(F) Whether women-owned small business concerns were solicited and, if not, why not; and

(G) If applicable, the reason award was not made to a small business concern.

(xi) Records of any outreach efforts to contact—

(A) Trade associations;

(B) Business development organizations;

(C) Conferences and trade fairs to locate small, HUBZone small, small disadvantaged, service-disabled veteran-owned, and women-owned small business sources; and

(D) Veterans service organizations.

(xii) Records of internal guidance and encouragement provided to buyers through–

(A) Workshops, seminars, training, etc.; and

(B) Monitoring performance to evaluate compliance with the program’s requirements.

(xiii) On a contract-by-contract basis, records to support award data submitted by the offeror to the Government, including the name, address, and business size of each subcontractor. Contractors having commercial plans need not comply with this requirement.

12 & 13. UTILIZATION OF SMALL BUSINESS CONCERNS USED IN BID/PROPOSAL

4. The offeror agrees to make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the small business concerns that it used in preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing and submitting the bid or proposal.

Responding to a request for a quote does not constitute use in preparing a bid or proposal. The Offeror used a small business concern in preparing the bid or proposal if–

(i) The Offeror identifies the small business concern as a subcontractor in the bid or proposal or associated small business subcontracting plan, to furnish certain supplies or perform a portion of the subcontract; or

(ii) The Offeror used the small business concern’s pricing or cost information or technical expertise in preparing the bid or proposal, where there is written evidence of an intent or understanding that the small business concern will be awarded a subcontract for the related work if the Offeror is awarded the contract.

5. The Contractor agrees to provide the Contracting Officer with a written explanation if the Contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as described in (12) above.

This written explanation must be submitted to the Contracting Officer within 30 days of contract completion.

14. SUBCONTRACTOR DISCUSSIONS WITH CO

The Contractor agrees not to prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor.

15. PROMPT PAYMENT OF SMALL BUSINESS SUBCONTRACTORS

The Contractor agrees to pay its small business subcontractors on time and in accordance with the terms and conditions of the underlying subcontract, and notify the contracting officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor (see FAR 52.242-5).

*Signed: Date Signed: _______

Typed Name: ______________ Title: ____________

*Please note that at this time we cannot accept any form of electronic or digital signatures. We require that your e-mailed plan submission be a scanned copy of a wet signature.

Plan Approval Signature (Government Official) Typed Name of Government Approver Date Approved

COMMERCIAL PLANS: SUMMARY OF GOALS

This page is for commercial plans ONLY.

Entries below should match your responses in #1 and #2a at the beginning of the template.

Round percentages to one decimal place (X.x%) and dollar figures to the nearest whole dollar.

Prior Year Goals Prior Year Current Goals Achievements*

1. Total Subcontracting Dollars $ $ $ (both large & small businesses)

2a. Small Business Dollars $ $ $

SB Percent of Line 1 % % %

2b. Small Veteran-owned Dollars

VO Percent of Line 1 % % %

2c. Service-Disabled Veteran-

Owned Dollars $ $ $ SDVO Percent of Line 1 % % %

2d. Small Disadvantaged Dollars

SDB Percent of Line 1 % % %

2e. Small Women-owned Dollars

WO Percent of Line 1 % % %

2f. HUBZone Small Business Dollars

HUB Percent of Line 1 % % %

* If total prior year contract achievements are not available, use actual figures and estimate/prorate balance. Achievements based on Government’s Fiscal Year while Goals are based on Company

QASP | Customized (Prescription) Hearing Aid Devices and Repair Services

Attachment Q 36C791224Q0005

Department of Veteran Affairs

Quality Assurance Surveillance Plan For

Customized (Prescription) Hearing Aid Devices and Repair Services

Contract Number:___________________________

Contractor:_______________________________________

Date Version Editor/Author Notes

1.0 Initial Version

Contents

1. INTRODUCTION

1.1 PURPOSE

1.2 PERFORMANCE MANAGEMENT APPROACH

1.3 PERFORMANCE MANAGEMENT STRATEGIES

2. ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

2.2 Contracting Officer Representative

2.3 Other Key Government Personnel

2.4 Contractor Representative(s)

3. IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

3.1 General Areas to be Monitored during Contract Performance

Quality of Services Provided

Timeliness of Performance / Adherence to Schedule

Cost Control

Business Relations

Regulatory Compliance

3.2 Performance Standards

3.3 Contract Monitoring

4. Methods of Quality Assurance (QA) Surveillance

4.1 Customer Feedback

4.2 Verification of Documentation Provided by Contractor

4.3 Periodic Inspection

4.4 Random Monitoring

4.5 Acceptable Quality Levels

4.6 Process for Missed Targets

5. Quality Assurance Documentation

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

5.2.1

6. Analysis of Quality Assurance

6.1 Determining Performance

6.1.1 Performance Documentation

6.2 Reporting

6.3 Reviews and Resolution

6.3.2

6.3.3

6.4 CPARS Annual Assessment

7. QASP ANNUAL ASSESSMENT

8. SUMMARY

9. LIST OF APPENDIX

Appendix Q1: PERFORMANCE REQUIREMENT SUMMARY

APPEMDIX Q2: Quality Assurance Monitoring Form

APPENDIX Q3: QUALITY ASSURANCE MONITORING FORM – CUSTOMER

COMPLAINT INVESTIGATION

APPENDIX Q4: Submittals Table Checklist

APPENDIX Q5: Surveillance Activity Checklist

Appendix Q6: CONTRACT DISCREPANCY REPORT

APPENDIX Q7: PM/COR Monthly Report to Contracting Officer

APPENDIX Q8: QASP PERIODIC MAINTENANCE, REVIEW AND ACCEPTANCE

1. INTRODUCTION

This IDIQ level quality assurance surveillance plan (QASP) sets forth procedures and guidelines the Department of Veteran Affairs, Commodities Services and Acquisition Services (CSAS) and Prosthetics will use in ensuring the required performance standards and supplies are achieved by the contractor.

Authority to issue this QASP is provided under Federal Acquisition Regulation (FAR) Clause 52.212-4(a) Alt I Inspection/Acceptance, and FAR 52.246-4 Inspection of Services which provided for inspections and acceptance of the articles, services, and documentation called for in the contract to be accomplished by the contracting officer or a duly appointed representative.

1.1 PURPOSE

The purpose of the QASP is to describe the systematic methods used to monitor the IDIQ performance and the identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in Attachment Q1.

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

This QASP is based on the premise the Government desires to maintain a quality standard in timely receipt of ordered devices, customer service operations and repairing of defective devices and that a service contract to provide the service is the best means of achieving that objective.

1.2 PERFORMANCE MANAGEMENT APPROACH

The QASP will define the performance management approach taken by CSAS to monitor contractor’s performance to ensure performance standards identified in Attachment are achieved.

Performance Management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether acceptable performance under the IDIQ is being achieved by the contractor.

1.3 PERFORMANCE MANAGEMENT STRATEGIES

The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against the performance standards shown in attachment.

The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own quality control (QC) program which can be commercial standard practices. QC is work output, not workers, and therefore includes all work performed under this IDIQ regardless of whether the work is performed by contractor employees, teaming partners, or subcontractors.

The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program approved at the beginning of the contract provides the measures needed to lead the contractor to success.

The Contractor shall provide a general Quality Control Plan (QCP) with the technical proposal.

The contractor is responsible for ensuring services are performed in accordance with PWS requirements. The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The QCP shall outline how performance issues will be remedied or addressed (i.e. performance improvement plans, suspensions, reprimands and/or terminations).

Once the quality control plan is approved, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program. This QASP is a “living document” and the Government may review and revise it on a regular basis.

The Government will coordinate changes with the contractor through contract modification.

Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing the surveillance activities. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2. ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

The contracting officer (CO) is responsible for monitoring IDIQ compliance and administration and for resolving any differences between observations documented by the program office contracting officer’s representative (COR) and the contractor. The CO will designate a COR as the government authority for performance management.

Assigned CO:__________________________________________________________________

2.2 Contracting Officer Representative

The contracting officer’s representative (COR) is designated in writing by the CO to act as his or her authorized representative to assist in administering the IDIQ. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the government’s behalf. Any changes that the contractor deems may affect price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance.

Assigned

COR:__________________________________________________________________

2.3 Other Key Government Personnel

Contracting Specialist(s), Contracting Officer Representative (COR), and Program Manager (PM) will provide contractual guidance and requirements when needed or appropriate. Any unforeseen or potential conflicts or problems can be addressed with the individuals listed but for any contractual changes, the Contracting Officer is the ONLY authority to make any change to the contract. If applicable, this QASP will be revised to include relevant POC information.

Assigned PM:__________________________________________________________________

2.4 Contractor Representative(s)

The Contractor has the responsibility for complying fully with the terms and conditions of the contract, participating as a member of the multi-functional team in the post-award management phase, maintaining and implementing a Quality Control Plan that complements the Performance Plan insuring that non-conforming contract services are identified and corrected. The Contractor will perform for the Government services that conform to the contract requirements and recommend changes to the contract that will provide more effective operations or eliminate unnecessary costs. The Contractor will be responsible for the execution of both the contractual and technical aspects of the contract performance.

The following employee(s) of the contractor shall serve as the contractor’s program manager(s) for this contract.

Primary: ____________________________________________________________________

Alternate: ___________________________________________________________________

3. IDENTIFICATION OF REQUIRED PERFORMANCE

STANDARDS/QUALITY LEVELS

The required IDIQ performance standards and/or quality levels are included in Attachment Q1, “Performance Requirements Summary.”

3.1 General Areas to be Monitored during Contract Performance The following Performance Based Service Contracting (PBSC) items are identified within the PWS to be applicable on a wide basis and are to be monitored under this QASP.

See the Performance Requirements Summary Attachment and Section

Quality of Services Provided o Compliance with Contract Requirements o Technical Excellence

Timeliness of Performance / Adherence to Schedule o Responsiveness to Customer requests o Completion of Repair Services o Reliability

Cost Control o Demonstration of Daily Operational Efficiencies o Incorporation of Innovative Practices Resulting in Cost Savings o Effectiveness in Forecasting, Managing & Controlling Contract Cost/Price o Ability to Keep Within the Total Estimated Cost or Fixed Prices o Accuracy, Completeness & Timeliness of Invoicing

Business Relations o Customer-focus o Management Effectiveness o Flexibility o Timeliness of Notification and Mitigation of Problems

Effectiveness of Contractor’s Recommended Contractor solutions Effectiveness of Execution of Problem Resolution Contractor solution

Regulatory Compliance o Contract IT security o Contract clauses o Contract reporting requirements o Quality assurance surveillance plan o Industry-related requirements, safety/environmental requirements, and standard and unique contract-specific requirements o FDA o Utilization of Small Business:

Maximum practicable opportunity Compliance with terms and conditions

Section II of this QASP provides further technical guidance and lists the specific operational plans as Contractor Associated with this Services contract.

3.2 Performance Standards

Performance Standards outlined in this QASP shall be used to determine the level of contractor performance in the elements defined. The Performance Work Statement identifies Government objectives and performance standards for each task contracted. The Government will use these standards to assess Contractor performance against these objectives to ensure performance is, at a minimum, satisfactory. The VA surveillance will measure contractor performance in meeting the standards using the following ratings (definitions provided in FAR 42.1503 (h)(4)):

Unsatisfactory, Marginal, Satisfactory, Very Good, or Exceptional.

The COR will use the performance standards to determine contractor performance rating and will compare contractor performance to the performance threshold of Table A: Performance Standard Measures. The standards, measures and ratings will be used in the assessment process for the Contractor Performance Assessment Report (CPARS).

3.3 Contract Monitoring

It is the intention of both parties to conduct joint reviews prior to the expiration of the contract to determine and evaluate that services are being performed in accordance to contract terms, to include invoicing and payment are being handled in accordance to contract terms. The parties will jointly determine if this agreement is satisfactory to both parties in the terms of services provided and consideration received. This review may include but not limited to:

Analyze all billings.

Analyze all payments.

Analyze cost administrative issues.

Veteran beneficiary satisfaction Quality of Service Other documentation related to services received.

Performance Standard Measures – Refer to Appendix Q1 below.

4. Methods of Quality Assurance (QA) Surveillance Various methods exist to monitor performance. Reviews and reports will be conducted in compliance with VA Privacy and Information Security Standards. The PM or COR shall use surveillance methods listed below in administration of the QASP.

In addition to specific instructions that may be mentioned, the appropriate and standardized form that is to be used for documentation of QA surveillance is the Surveillance Activity Checklist, Appendix Q5.

4.1 Customer Feedback – Customer feedback may be obtained either from the results of formal customer satisfaction surveys or from random customer complaints. 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 PM.

The PM shall maintain a summary log of all formally received customer complaints as well as a copy of each complaint in a documentation file. The PM shall also keep the tabulated results of all customer satisfaction surveys on file and shall enter the summary results into the Surveillance Activity Checklist.

4.2 Verification of Documentation Provided by Contractor - This level of inspection shall be accomplished by monitoring and documentation. Each month, the PM, or if Contractor designated the appropriate Technical Monitor, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

4.3 Periodic Inspection - Periodic inspections shall be conducted if and when specified in individual task orders. For the potential tasks that have been identified Contractor far and included in this QASP, the appropriate Technical Monitor typically performs the periodic inspection on a monthly basis.

4.4 Random Monitoring - Random monitoring shall be conducted if and when specified in individual task orders. For the potential tasks that have been identified Contractor far and included in this QASP, the random monitoring shall be performed by the PM or by the appropriate designated Technical Monitor.

The Inspection and Acceptance clauses (or other applicable clauses) become the basis for any actions that the Contracting Officer may deem appropriate when performance requirements are not being met or the quality is of an unsatisfactory level.

4.5 Acceptable Quality Levels - The acceptable quality levels (AQLs) included in Attachment Q1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

4.6 Process for Missed Targets

Process for justification/explanation of missed targets:

Contracting Officer will notify the Contractor in writing of failure to meet target/metric/performance standard.

Contractor must submit a written appeal to the CO within 10 business days of receipt of notification of failure to meet the standard. The appeal must contain the following:

o An explanation for the failure to meet the standard.

o A performance improvement plan (PIP) o A date for completion of the performance improvement plan, and for regaining satisfactory target goals.

If standards are not met, the Contracting Officer may take appropriate steps to remedy the

Contractor’s failure to meet the terms and conditions of the contract.

5. Quality Assurance Documentation

5.1 The Performance Management Feedback Loop The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring techniques shown in Attachment Q3

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments Q2 and Q3. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results service and quality levels are being achieved.

5.2.1 The COR will retain a copy of all completed QA surveillance forms in COR File as well as upload to Electronic Contracting Officer (eCOR) file.

6. Analysis of Quality Assurance

6.1 Determining Performance

Government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

6.1.1 Performance Documentation

The COR will, in addition to providing documentation to the Contracting Officer, 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, including the originals of all Surveillance Activity Checklists. All such records will be retained for the life of this contract. The COR shall forward these records to the Contracting Officer at termination or completion of the contract.

Contractor performance on this contract will be documented in the manner described below:

o Acceptable performance. The Government will document performance that meets or exceeds minimum expectations. A Performance Report will be used for this documentation effort and is to be used whenever the COR performs monitoring/surveillance (i.e. inspections, visits, etc.) on the contract. A template for this Report can be found at Appendix Q5. All Performance Report documentation will be placed in the COR file. It is important to note that these Performance Reports can become part of supporting documentation for appropriate actions taken under this contract.

o Unacceptable performance. When unacceptable performance is observed, in addition to completing a Performance Report, the COR will complete a, Contract Discrepancy Report (CDR). An example of this form can be found at Appendix Q6. This form serves as the official written notification to the CONTRACTOR of an observed contract discrepancy. (Note: Only under unique circumstances will verbal communication be used to initially inform the CONTRACTOR of a potential contract discrepancy. However, in those cases, the COR will follow-up with written notification of the finding as Contractor on as possible, coordinate it through the CO, and provide to the CONTRACTOR.) As part of the CDR process:

o The CONTRACTOR shall acknowledge receipt of the CDR in writing.

o The CONTRACTOR will prepare a corrective action plan to document how the CONTRACTOR shall correct the unacceptable performance and avoid recurrence.

o The CDR will clearly indicate a due date by which the CONTRACTOR has to present this corrective action plan to the COR.

The Government will review the CONTRACTOR’s corrective action plan to determine acceptability.

Summary of Methodology & Purpose for Performance Documentation. The reports & forms referenced in this QASP are designed to collectively serve as a traceable documented history of CONTRACTOR performance. These will align Contractor support recordkeeping requirements mandated by the VA Contracting Officer’s Representative Training (CORT) tool, as well as annual performance assessments mandated by Contractor Performance Assessment Reporting System (CPARS).

Specifically:

o Performance Report (Appendix Q5) -- Used by the COR whenever performing contract monitoring/surveillance on the contract. Both negative and positive aspects of the CONTRACTOR’s performance are documented. The information recorded in Performance Reports can serve as a significant Contractor source of documented CONTRACTOR performance. This information can subsequently be used in developing the COR Monthly Report to the Contracting Officer.

6.2 Reporting

At the end of each month, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance.