Attachment 3 - QASP.pdf

Solicitation: 75N992-24-Q-00001 Attachment 3

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Advanced Research Projects Agency for Health – ARPA-H

Career Lifecycle Management Support Service

1. Requirement

ARPA-H is actively seeking the expertise and assistance support of a firm specializing in professional and management development training. The agency has a critical need for a tailored program that encompasses a wide spectrum of services aimed at enhancing organizational effectiveness and talent acquisition. The scope of services should encompass employee professional development, career management, career alignment, personalized professional training, leadership coaching, and outplacement services.

The selected Contractor will play a pivotal role in shaping ARPA-H's landscape, drawing on their experience in collaborating with other ARPAs and startup agencies. Past success in designing and implementing employee career journeys, robust leadership development initiatives, skilled in the art of handling of employees with mid-career professional development and fostering a culture of continuous learning will be of paramount importance.

ARPA-H's overarching objective is to engineer and standardize innovative organizational structures that yield heightened administrative efficiencies. To achieve this, the chosen Contractor will guide both individuals and teams through a comprehensive career lifecycle support framework. This framework will encompass various elements, including personalized coaching, systematic resolution of career-related obstacles, resume development, and expert assistance during career transitions.

2. Purpose

This Quality Assurance Surveillance Plan is a government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

a. What will be monitored

b. How monitoring will take place

c. Who will conduct the monitoring

d. How monitoring efforts and results will be documented

This QASP does not detail how the contractor accomplishes the work. The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government’s surveillance of the contractor’s performance to assure that it meets contract standards. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract, nor is it intended to duplicate the contractor’s quality control plan. This QASP is a "living document" and the Government may review and revise it on a regular basis. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

3. Authority

Authority for issuance of The QASP is developed to comply with FAR Subparts 37-6, Performance-Based Acquisition, and 46-4, Government Contract Quality Assurance. In addition, FAR Subpart 46.103, Contracting Officer Responsibilities, states that agencies shall develop quality assurance surveillance plans when acquiring services. This acceptance is to be executed by the contracting officer or a duly authorized representative.

4. Roles and Responsibilities The following personnel shall oversee and coordinate surveillance activities:

Contracting Officer (CO), Stas Blaushild Stas.Baushild@ARPA-H.GOV

The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The CO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Final assessment of the contractor’s performance.

Contracting Officer’s Representative (COR), Kristine Hodges

The COR is responsible for providing continuous technical oversight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the CO. The COR is required to provide an annual performance assessment to the CO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

Note: In case when there is no COR assigned to the contract the above responsibilities shall be assumed by the CO.

Contractor Representatives

The following employees of the contractor serve as the contractor’s Program Manager and Task Manager for this contract.

Program Manager – TBD

Contract Manager – TBD

5. Performance Requirements and Method of Surveillance mailto:Stas.Baushild@ARPA-H.GOV

5.1. Performance Standards

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards. The table below identifies the Critical Performance Elements and the respective Performance Standards and Acceptable Quality Levels (AQLs) which the Government will use to determine contractor performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The Performance Requirement Summary (PRS) should be used to form the foundation of the COR’s inspection checklist.

Table 5.1 Performance Requirements Summary

Performance Objective Standard Performance Threshold Method of Surveillance

Task 1: Employee Development and Career Management

Onboarding Career Assessment

Complete assessment for all newly onboarded employees

100% completion Review of assessment records

Individual Career Counseling and Roadmaps

Provide personalized roadmaps to all employees

All eligible employees receive personalized roadmaps

Documented roadmaps and counseling sessions

Developmental Strengths and Needs Assessment

Identify strengths and needs for each participating employee

Comprehensive assessment of strengths and needs

Regular assessment reports and follow-up actions

Mid-Point Assessment and Stakeholder Survey

Conduct mid-point assessment and gather stakeholder feedback

Mid-point assessment and stakeholder survey completed

Review of assessment results and stakeholder feedback

Closeout Session and Self- Guided Activities

Conduct closeout session and facilitate self-guided activities

Successful completion of closeout session

Observation of closeout session and follow-up actions

Task 2: Career Alignment

Career Alignment Proposals Deliver alignment proposals to ARPA-H leadership

Timely delivery of alignment proposals Review of proposal submissions

Personalized Development Plans

Create development plans for employees aligned with ARPA-H goals

All eligible employees have personalized plans

Documentation of development plans and progress

Task 3: Customized Training

Customized Training Curricula

Propose training curricula for specific roles

Timely submission of training curricula proposals

Review of proposed curricula

Training Delivery and Evaluation

Successfully deliver and assess training sessions

High participant engagement and positive feedback

Participant feedback and session assessments

Task 4: Leadership Coaching

Leadership Coaching Framework

Deliver comprehensive coaching framework

Submission of comprehensive framework

Review of framework and approval from ARPA-H

Leadership Coaching Sessions

Conduct effective one-on-one coaching sessions

Positive feedback from coached leaders

Participant feedback and session assessments

Task 5: Outplacement Services

Outplacement Services Framework

Develop comprehensive outplacement framework

Submission of detailed outplacement framework

Review of framework and approval from ARPA-H

Individual Outplacement Support

Provide effective support for departing employees

Successful assistance provided to all departing employees

Documentation of support services and employee feedback

Task 6: Program and Contract Management

Designation of Program and Contract Management

Assign qualified personnel for program and contract management

Timely designation of qualified individuals

Review of personnel qualifications and assignment

Project Plan and Communication Setup

Develop and maintain a comprehensive project plan

Detailed project plan submitted and maintained

Review of project plan and communication strategy

Performance Monitoring and Issue Resolution

Oversee contract performance and address deviations

Timely resolution of performance issues

Review of performance reports and issue resolution

5.2. Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance.

Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

The Government reserves the right to perform inspections and surveillance to evaluate the Contractor's compliance to the contract terms and performance of the requirements in the PWS.

The Government will make every effort to ensure that the surveillance methods described below are conducted in an objective, fair, and consistent manner.

5.2.1. Periodic Surveillance. This action occurs when the COR or other Government official observes a deficiency. Examples include evidence from accidents, incidents, or delays.

Regardless of where in the line-of-duty the COR observes contractual procedures not being followed, he/she has an obligation to document and repo1t the deficiency to the Contracting Officer.

5.2.2. Customer Complaint Surveillance. This action is instituted when the COR receives a complaint from a stakeholder (stakeholder organizations include: EHRIS Directorate). The COR will obtain the complaint in writing and then conduct an investigation to determine its validity. If the complaint is deemed valid, the COR will immediately notify the contracting Officer for action. The COR will notify both the Contract Manager and the complainant of the Government's response to their complaint.

5.2.3. Regardless of the surveillance method, the COR will always contact the contractor's manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with assistance from the TRs and Other Key Government Personnel, will be responsible for monitoring the contractor's performance in meeting a specific performance standard/AQL.

5.2.4. Surveillance results may be used as the basis for actions (to include payment deductions) against the contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the CO’s actions.

5.3. Performance Rating Definitions

Contractor performance will be rated using the Contractor Performance Assessment Reporting System (CPARS) in accordance with FAR 42.1503. Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. Use the rating scale in the ratings table below to determine a positive, neutral, or negative outcome. Use the notes to properly complete CPARS rating documentation.

Table 5.3- Performance Rating Definitions Performance

Rating Criteria Notes

Excellent / Outstanding

Performance meets contractual requirements and exceeds many to the government’s benefits.

The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly effective.

To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

Very Good

Performance meets contractual requirements and exceeds some to the government benefits. The Contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

To justify a Very Good rating, identify a significant even and state how it was a benefit to the Government. There should be no significant weaknesses identified.

Satisfactory

Performance meets contractual requirements.

The contractual performance contains some minor problems for which corrective actions taken by the contractor were satisfactory.

To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract/order. There should be NO significant weaknesses identified. A fundamental principle of assigning ratings is that contractors will not be evaluated with a rating lower than Satisfactory solely for not performing beyond the requirements of the contract/order.

Marginal

Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear marginally effective or were not fully implemented.

To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

Unsatisfactory

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

To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).

6. Performance Reporting

6.1. Acceptable Performance. The Government will document positive performance. The most common format used for this action will be via CPARs. Any repo1t may become a part of the supporting documentation for fixed fee payments, award fee payments, or other actions.

6.2. Unacceptable Performance. When unacceptable performance occurs, the COR will inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR will document the discussion and place it in the COR file.

6.2.1. When the COR determines formal written communication is required, the COR will prepare a Contract Discrepancy Report (CDR), and present it to the contractor's manager or on-site representative. A CDR template is attached to this QASP.

6.2.2. The contractor shall be required to acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt 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.

6.2.3 Any CDR will become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment when applicable.

The Government will use any completed CDR as part of an overall evaluation of Contractor performance when determining present or future contractual actions.

7. Frequency of Measurement

7.1. During contract/order performance, the COR will take periodic measurements and analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

7.2. The COR will interact with the contractor at least monthly and meet annually to assess performance and will provide a written assessment.

8. Attachments

1. Attachment 1 Customer Complaint Form (CCR)

2. Attachment 2 Contract Discrepancy Report (CDR)

3. Attachment 3 Corrective Action Report (CAR)

CUSTOMER COMPLAINT RECORD (CCR)

DATE/TIME OF

COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION BUILDING

NUMBER

INDIVIDUAL PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

CONTRACT DISCREPANCY REPORT (CDR)

1. CONTRACT/TASK ORDER

NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE 5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM

REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX

WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR CONCUR

REPRESENTATIVE

NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-

CONCURRENCE OF COR CITED DEFICIENCY

III. A CT ION CORRE CTE D

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

CORRECTIVE ACTION REPORT (CAR)

1. CONTRACTOR 2. CONTRACT NUMBER 3. TYPE OF SERVICES

4. FUNCTIONAL AREA 5. SUSPENSE DATE 6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE