Att 7 - LT-CRDS QASP Draft.doc

Quality Assurance Surveillance Plan for

Defense Health Agency (DHA) – Capability Document Support for Developmental Capabilities/Programs

1. Introduction and Attachments

The DHA provides medical care for the DoD’s 9.6 million eligible beneficiaries through the defense health program, which includes contracted health care networks and military treatment facilities. TRICARE provides comprehensive, quality and accessible health care to members of the Uniformed Services: Army, Navy, Air Force, Marine Corps, Coast Guard and the Commissioned Corps of the U.S. Public Health Service and the National Oceanic and Atmospheric Administration. By law and/or agreement, benefits may be extended to members of NATO States and their dependents. The contractor shall support DHA’s Capability & Architecture Management Division (CAMD), Requirements Office and assist in the development of joint capability documents with coordination from DHA’s Component Acquisition Executive (CAE). This support is a critical need considering DHA views joint requirements as a top enterprise priority and currently does not have a Joint Requirements office.

In support of these requirements, the contractor shall provide Capability Document Support for Developmental Capabilities/Programs supporting the writing of full spectrum healthcare requirements support and the development of joint capability documents in the performance of activities within J5 CAMD, Requirements Office. The main requirements are as follows:

· Articulating and define the process for developing capability documents for developmental capabilities/programs in coordination with Service Combat Developers, Combatant Commands (CCMD’s), and the Office of the Joint Staff Surgeon (OJSS).

· Improving upon the process for developing capability documents for developmental capabilities/programs in coordination with Service Combat Developers, CCMD’s, and OJSS.

· Drafting, reviewing, and staff capability documents for developmental capabilities/programs in coordination with Services and CCMD’s.

· Provide project management support to DHA J5 CAMD Requirements Office for developmental capability documents.

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) for CAE- -21-C-0023. This contract type will be firm fixed price and is for performance-based services in accordance with the Acquisition Strategy, approved 13 May 2023. This plan sets forth the procedures and guidelines the Government will use in ensuring the required performance levels are achieved by the contractor. The Performance Requirements Summary is linked to the PWS and provides the standards, the acceptable quality levels (AQLs) and methods of surveillance in more detail. Moreover, if the contractor’s performance requires improvement or a discrepancy is noted between the performance standard and the required service, the Government will issue a customer complaint record and a corrective action report respectively. These forms will document the Government’s assessment of the contractor’s performance and the contractor will begin remediating any deficiencies. This QASP also provides the methodologies that Government will use to assess and monitor the contractor’s performance in combination with the primary surveillance methods mentioned above. This plan also summarizes the roles and responsibilities of the stakeholders in this acquisition and budget support effort.

List of Attachments:

Attachment (1) - Performance Requirements Summary Attachment (2) - Performance Assessment

Attachment (3) - Customer Complaint Record Attachment (4) - Corrective Action Report

1.1 Purpose

The purpose of the QASP is to describe the systematic methods used to monitor performance and to 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/AQLs.

This QASP defines the roles and responsibilities of all stakeholders to this effort, identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor's performance, describes quality assurance (QA) documentation requirements, and describes the analysis of QA monitoring results.

This QASP is not part of the contract and is not intended to duplicate the contractor's Quality Control Plan (QCP). This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance. In addition, the QASP recognizes that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor. The QASP assists the parties to ensure early identification and resolution of performance issues to minimize impact on performance.

In summary, this QASP explains the following:

· What will be monitored?

· How monitoring will take place?

· Who will be conducting the monitoring?

· How monitoring efforts and results will be documented?

1.2 Authority

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

1.3 Performance Management Approach

The PWS structures the acquisition around "what" service or quality level is required, as opposed to "how" the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by the Government to monitor and manage the contractor's performance to ensure the expected outcomes or performance objectives communicated in the PWS 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 expected outcomes for the project are being achieved by the contractor.

Performance management represents a significant shift from the more traditional QA concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, as long as the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A "results" 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 and/or the desired performance levels are being met.

1.4 Performance Management Strategy

The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor's own QCP. The QCP defines the work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The contractor's QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS as well as the evaluation methodology criteria as outlined in the attached Performance Requirements Summary, Attachment (1) and in the annual contractor performance assessment reporting system (CPARS). This QASP enables the Government to take advantage of the contractor's QCP.

The Government representatives 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 determination based on performance measurement metric data and notify the contractor of those decisions in accordance with Attachment (2) and, if applicable Attachment (4). The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively and document those changes in a corrective action plan.

2. Government Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities. Their roles and responsibilities are described as follows:

2.1 Contracting Officer (CO) – The CO is responsible for monitoring contract compliance, contract administration, and resolving any differences between the observations documented by the Contracting Officer's Representative (COR) and the contractor. The CO is responsible for receiving the specifications regarding inspection, testing, and other contract quality requirements essential to ensure integrity of the services from the technical office. The CO will include in the solicitation and contract the appropriate requirements for the contractor's control of the quality for the services to be acquired. The CO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

Assigned Contracting Officer: Vicki L. Whiteman

Organization or Agency: Defense Health Agency

Telephone: 703-681-2067

Email: vicki.l.whiteman.civ@health.mil Assigned Senior Contract Specialist: Cherish D. Young

Organization or Agency: Defense Health Agency

Telephone: 703-681-7270/571-356-0212 Email: cherish.d.young2.civ@health.mil

2.2 Contracting Officer’s Representative (COR) - The COR is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensured proper Government surveillance of the contractor's performance. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor's work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract. 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 PWS, as well as in Attachment (1) to this plan. The COR is responsible for reporting early identification of performance problems to the CO utilizing the forms attached here to as Attachments (2) through (4).

The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government's behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action.

Assigned COR: Mr. Neil DeAbreu

Telephone: 703-681-3956

Email: neil.a.deabreu.civ@mail.mil

d. Other Key Government Personnel –

3. Contractor Representatives

The following individual will represent the contractor: Name: TBD

Title: TBD

Telephone: TBD Email: TBD

4. Identification of Required Performance Standards/Acceptable Quality Levels

The performance standards/AQLs are included in the PWS under Part 7, and in Attachment (1). Additionally, the contractor will be rated continuously throughout the effort on the same performance requirements contained in the annual CPARS evaluation: 1) Technical,

2) Schedule/Timeliness; and 3) Management and Business Relations.

5. Methodologies to Monitor Performance

5.1 Surveillance Methods

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the Government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

· Random monitoring, which shall be performed by the COR designated inspector

· Periodic Inspection - COR performs the periodic inspection on a monthly basis

· 100% inspection- each month the COR shall review the generated documentation and enter summary results in the Performance Assessment, Attachment (2)

5.2 Customer Feedback

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication 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 and internally addressing customer complaints and investigating the issues and/or problems but the security restrictions of this project mean that all customer complaints from the stakeholders will come through the COR.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint and must be forwarded to the COR. The Customer Complaint Record, Attachment (3) shall be used to address complaints. The COR will accept and investigate those customer complaints.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

5.3 Acceptable Quality Levels

The AQLs included in Attachment (1) for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative impacts for performance shortfalls to the contractor via the continuation of services through contract options and past performance ratings through CPARS evaluations.

5.4 Ratings

The following represent the ratings that are given to the contractor performance against the performance requirements outlined in Attachment (1) in the performance assessment reports, Attachment (2):

which corrective actions taken by the contractor were effective To justify a Very Good rating, identify a significant event and state how it was a benefit to the Government. There should have been no significant weaknesses identified.

beyond the requirements of the contract/order.

deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

contractor of the contractual deficiencies (e.g., management, quality, safety

6. Quality Assurance Documentation

6.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed and assessed in the PWS and the Performance Requirements Summary, Attachment (1).

6.2 Monitoring Forms

The Government's QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments (2), (3) and (4). The forms, when completed, will document the Government's assessment of the contractor's performance when improvement is required under the contract to ensure that the required results are being achieved.

7. Analysis of Quality Assurance Assessment

7.1 Determining Performance

The Government shall use the monitoring methods cited in section 5.1 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. Failure to meet the AQL may result in a negative past performance rating or a contract option not being exercised.

7.2 Reporting

At the end of each month, the COR may prepare a written report for the CO, summarizing the overall results of the QA surveillance of the contractor's performance. This written report, which includes the contractor's submitted monthly report and the completed QA reporting forms attached hereto, will become part of the QA documentation. It will enable the Government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including technical, schedule/timeliness, and management and business relations objectives. In addition to the monthly contractor performance submissions, the COR will prepare an annual formal written evaluation in the CPAR format.

7.3 Reviews and Resolution

The COR will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR as often as required or per the contractor's request. The agenda of the reviews may include:

· Monthly performance assessment data and trend analysis

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

· Recommendations for improved efficiency and/or effectiveness

· Issues arising from the performance monitoring processes

The COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

The COR and 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 at the convenience of the CO.

The COR will assess contractor performance in accordance with the terms and conditions of the contract. Other-than-satisfactory assessments (i.e., Exceptional, Very Good, Satisfactory, Marginal, and Unsatisfactory) must include comments to explain the assessment.

Prepared by: Neil DeAbreu

Signature Acquisition Program Manager

Attachment (1) - Performance Requirements Summary

Performance Objective

(The Service required—usually a shall statement from Part 5)

DEVIATION FROM STANDARD”)

Method of Surveillance

Performance Requirements Summary (PRS) # 1.

1. The contractor shall define the process for developing capability documents for developmental capabilities/programs in coordination with Service Combat Developers, Combatant Commands (COCOMS), and the Office of the Joint Staff Surgeon (OJSS).

2. Annual CPARS evaluations

PRS # 2

The contractor shall improve the process for developing capability documents for developmental capabilities/programs in coordination with Service Combat

Developers, COCOMS, and OJSS.

PRS # 3

The contractor shall draft and staff capability documents for developmental capabilities/programs in coordination with Services and COCOMs.

PRS # 4

The contractor shall draft and staff capability documents for developmental capabilities/programs in coordination with Services and

COCOMs.

100 Percent Inspection.

Performance Objective

(The Service required—usually a shall statement from Part 5)

DEVIATION FROM STANDARD”)

Method of Surveillance

PRS # 5

The contractor shall adhere to the additional management requirements.

Attachment (2) - CORs’ Performance Assessment Report

*(Note: A monthly surveillance shall be completed by the 5th duty day, and filed in the contract file. Surveillance reports may be requested periodically or as needed by the Contracting Officer.)

Attachment (3) - Customer Complaint Record

Attachment (4) - Corrective Action Report