Attachment_7-HAF_Workflow_Team_Management-_QASP.DOCX

AIR FORCE MEDICAL SUPPORT AGENCY (AFMSA)

Quality Assurance Surveillance Program (QASP)

FOR

HAF Workflow Team Management Air Force Surgeon General’s Executive Service

FALLS CHURCH, VA

14 APRIL 2016

QASP

TABLE OF CONTENTS:

1.0 Mission 3

2.0 Authority 4

3.0 Roles and Responsibilities 4

4.0 Contractor’s Quality Control Plan (QCP) 6

5.0 Performance Requirements and Method (s) of Surveillance 6

6.0 Surveillance Documentation 8

7.0 Acceptance of Services 9

8.0 Contract Management 9

9.0 Coordination and Approval 10

Appendices:

1. Services Summary (SS) and Method of Surveillance 12

2. Corrective Action Report (CAR) 15

3. Customer Complaint Record 17

4. Performance Assessment Report (PAR) 18

5. COR Services Summary Monthly Surveillance Report 20

5a. Performance Ratings used for COR Services 24 Summary Surveillance Report

6. COR File Table of Contents 25

QASP

1.0 Mission SCOPE

The United States Air Force (USAF) Surgeon General’s Executive Service (SGE) Office at the Defense Health Headquarters, (DHHQ) Falls Church, Va requires support services for publication management in conjunction with the Workflow Management functions of the Executive Services for the U.S. Air Force Surgeon General. The Workflow Management Team (WMT) supports the Headquarters Office of the Air Force Surgeon General (HQ USAF/SG) in receiving, tasking, prioritizing, tracking, staffing and archiving all correspondence delivered to and signed by the Secretary of the Air Force (SecAF), Chief of Staff of the Air Force (CSAF), AF/SG, Air Force Deputy Surgeon General (AF/DSG), and Director of Staff (DS). The WMT also manages all correspondence for quality; ensuring content standards are adhered to, and set appropriate suspense dates for inquiries received from agencies outside the SG Office to include Members of Congress, Secretary of Defense, Joint Staff, Major Commands (MAJCOM), Field Operating Agencies (FOA), Direct Reporting Units (DRU) and agencies within the National Capital Region (NCR).

This QASP is a government-developed document used to determine if the Contractor’s performance meets the performance standards outlined in the contract. The QASP establishes procedures on how to conduct surveillance/inspection processes to ensure successful Performance Work Statement (PWS) performance. It provides a systematic method for continuous oversight process to determine conformity with the technical requirements of the contract. The QASP establishes:

· What will be monitored?

· How monitoring will take place.

· Who will conduct monitoring?

· How monitoring efforts and results are documented.

The Contractor is responsible for implementing and delivering performance that meets contract objectives using its Quality Control Plan (QCP). The QASP provides the structure for the government’s surveillance of the Contractor’s performance to assure that it meets contract requirements. It is the government’s responsibility to be objective, fair and consistent in evaluating Contractor performance. The Contracting Officer (CO) shall also ensure that the Contractor receives impartial, fair, and equitable treatment under this contract and determines the final assessment of Contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the Contractor’s 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.

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.

The QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

2.0 Authority

Authority for issuance of this QASP is provided under Part 37.604 and 46.4 of the Federal Acquisition Regulation (FAR), Inspection of Services clauses (also reference 52.212-4 Contract Terms & Conditions—Commercial Items Paragraph (a) Inspection/Acceptance), which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the Contracting Officer (CO) or a duly authorized representative.

3.0 Roles and Responsibilities

Multi-Functional Team Roles and Responsibilities (MFT). The purpose of the MFT team is to create an environment that shapes and effectively executes acquisitions within their purview. The emphasis is on teamwork, trust, common sense and agility. These stakeholders are responsible for the acquisition throughout the life of the requirement, instituted under the authority of the senior leadership; every representative within the multi-functional team brings to the team their unique level of expertise. The following personnel comprise the MFT and shall oversee and coordinate surveillance activities.

Government Representatives:

Contracting Officer (CO) – 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 and shall determine the final assessment of the Contractor’s performance. The CO shall designate a primary and alternate COR prior to contract award. Upon request, the CO shall provide an assessment on COR performance to the COR Supervisor. The CO is the only person with the authority to make interpretations of and changes to the contract.

Specific duties of the CO include:

· Delegating authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract.

· Informing the Contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

· Periodically assessing the COR’s performance.

· Managing Contractor performance surveillance data.

· Ensuring the MFT reviews this QASP annually (at a minimum) for recommended changes.

· Providing contract-specific training (to include refresher training) administered by CO or CO’s designee to all appointed CORs.

Contracting Officer Representative (COR) Supervisor– the COR Supervisor nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR’s surveillance activities.

Contracting Officer’s Representative (COR) - The COR is responsible for providing continuous program and technical oversight of the Contractor’s performance. While the COR may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the government’s behalf. The COR is responsible for reporting early identification of performance problems to the CO and may use the applicable appendix items for documenting Contractor performance.

Specific duties of the COR include:

· Evaluating and documenting the Contractor’s performance in accordance with the procedures set forth in the QASP.

· Recommending any changes necessary to the contract, PWS, QASP, or other items to provide operations that are more effective or eliminate unnecessary costs.

· Keeping a COR file that accurately documents the Contractor’s actual performance (i.e. COR surveillance reports).

· Utilizing COR file data (i.e. performance and COR surveillance reports) to assist the CO in the preparation of the CPARS reports.

· Receiving required training before performing any COR duties (IAW MP5301.602-2(d)).

· To notify the CO immediately regarding Contractor non-compliance with FAR 52.222-50, “Combating Trafficking in Persons.”

· The Contractor shall comply with FAR 52.222-50, Combating Trafficking in Persons. Additional information about Trafficking in Persons can be found at the site for the Department of State’s Office to Monitor and Combat Trafficking in Persons: http://www.state.gov/j/tip

· In accordance with the Defense Contingency COR Handbook section on Combating Trafficking in Persons, the COR must inform the PCO if the Contractor/Subcontractor and/or Contractor/Subcontractor personnel fail to comply with the requirements of FAR 52.222.50.

· The PCO must convey the information to DoD Combat Trafficking in Persons (CTIP) Law Enforcement and Support / Office of Under Secretary of Defense (OUSD) Personnel and Readiness (P&R) Defense Human Resources Activity (DHRA).

Quality Assurance Program Coordinator (QAPC) - The QAPC is responsible for developing, managing, and implementing the Quality Assurance Program. The QAPC provides the QAPC Led Training & may provide refresher training, as needed.

Contractor Representatives:

Contractor – Complies fully with the terms and conditions of the contract and ensures non-conforming contract services are identified and corrected.

Specific duties of the Contractor include:

· Participating as a member of the MFT in the post-award management phase.

· Maintaining and implementing their commercial quality procedures that ensure contract requirements are met.

· Ensuring that the QCP is revised when necessary to prevent recurrence of non-conforming contract services.

· Tendering to the government for acceptance, only those services that conform to contract requirements.

· Recommending any changes to the contract that will provide operations that are more effective or eliminate unnecessary costs.

4.0 Contractor’s Quality Control Plan (QCP)

Patient Administration Support and updates as needed, is provided in accordance with the terms and conditions of the contract. The Contractor’s QCP compliments this QASP and is located in the contract file.

The Contractor shall submit a QCP at time of proposal. The Contractor shall develop and maintain an effective quality control plan to ensure services are performed in accordance with this PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s QCP is the means by which he assures himself that his work complies with the requirement of the contract. The Contractor is responsible for contract management and quality control, not the Government. The QCP will be delivered via e-mail to the CO for the COR’s acceptance. The COR will provide a written notice of any changes to be made to QCP or notice of acceptance in writing to the Contractor. The Contractor shall submit any updates to the QCP within five (5) business days after the first review by the COR. Any updates to the QCP will be reviewed by the COR for acceptance in writing.

5.0 Performance Requirements and Method(s) of Surveillance

5.1 Contract Surveillance

The goal of the QASP is to ensure that Contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the CO and the Contractor, which enables positive, open and timely communications. The COR uses the methods contained in this QASP to ensure the Contractor complies 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 quality control/quality assurance actions to meet the terms of the contract.

Incentives. Performance that continually exceeds the performance objectives as outlined in the PWS may result in reduced surveillance and favorable Contractor Performance Assessment Reports (CPAR). Performance that does not meet the performance objectives as outlined in the PWS may result in re-performance of the defective service in accordance with the Inspection of Services clause, negative CPAR reporting and/or increased surveillance.

Non-Service Summary (SS) Items. Quality performance is expected on all contract requirements by the Contractor and is not limited to just SS items. All Non-SS items may be inspected by the COR.

5.2 Surveillance Summary

The Services Summary (SS) and Method of Surveillance (Appendix 1) is the list of performance objectives and thresholds that must be performed by the Contractor. This summary details the method(s) of surveillance the COR will use to validate and inspect these performance objectives. Inspection of each objective will be documented in the COR file.

Performance objectives define the desired outcomes. Performance thresholds define the level of service required under the contract to meet the performance objective. The Government performs surveillance, using this QASP, to determine the quality of the Contractor’s performance as it relates to the performance thresholds. The PWS and QASP should be used to form the foundation of the COR’s inspection.

Method(s) of Surveillance:

100% Inspection: The COR will inspect and evaluate the Contractor’s performance each time it is performed. The result of the Contractor’s overall performance is then evaluated to determine acceptability of the service provided.

Customer Feedback The COR is the point of contact and must collect all customer complaints. The Customer Complaint Record below will be used for this purpose. All complaints and any resulting resolution of such complaints must be documented with the information required on the customer complaint form. Customer complaint forms become a permanent part of the COR file.

6.0 Surveillance Documentation

6.1 Corrective Action Report (CAR) (Appendix 2)

Corrective Action reporting is divided into two categories, which are as follows: minor and major.

Minor: A minor discrepancy is a departure from established standards having little bearing on the service provided. Some examples would be data deliverables with minor grammatical or spelling errors or insufficient copies of documents. When the COR identifies a minor discrepancy, the COR shall document the discrepancy and verbally contact the designated Contractor representatives, but is not required to notify the CO. However, if the same minor discrepancy is identified more than once, it may be an indication that a major discrepancy is occurring or has occurred because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the CO in writing, which may include e-mail.

Major: If at any time the COR identifies a condition as having a significant adverse effect on the quality of the service, such as those listed within, the COR shall document their findings and notify the CO immediately in writing. E-mail is acceptable. Major discrepancies will be reported by the COR to the designated Contractor representative in writing; however, copies of written correspondence will be coordinated with the CO prior to issuance to the contactor representative. Some examples are Contractor failure to meet a performance objective, failure to provide adequate corrective action to preclude recurrence of government-identified findings, failure to provide corrective action to deficiencies identified by the COR within a prescribed suspense period or failure to adhere to security regulations that results in a security incident.

6.2 Customer Complaint Record (Appendix 3)

The COR shall ensure complaint procedures and forms are made available to all customers (See Attachment 3 of this QASP). Any personnel that observe questionable or incomplete services or services not performed, or performed improperly, should immediately contact the COR. The COR shall receive, document, and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the complainant and explain why the complaint was invalid. The COR shall fully document the resolution for each complaint on the Customer Complaint Record. Complaints will be tracked and if the performance threshold is exceeded, the COR shall notify the CO in writing. The CO will notify the Contractor and appropriate action can be taken.

6.3 Performance Assessment Report (PAR) (Appendix 4)

PARs will be used to report all minor discrepancies and will be generated by the COR and sent to the Contractor for corrective action. Contractor will be given ten (10) business days to correct PARs unless they have requested an extension. If three (3) minor discrepancies are found, combine them and process a CAR.

6.4 COR Services Summary Monthly Surveillance Report (Appendix 5)

The communication of expected outcomes begins the performance management feedback loop. Performance standards are expressed in the PWS and are assessed using the methods of surveillance shown in the SS surveillance. This report shall be submitted to the Contracting Officer (CO) (via CORT Tool) and uploaded into the CORT Tool no later than the 1th calendar day of each month. The CO may agree to print this report from the CORT Tool each month in lieu of a separate submittal.

7.0 Acceptance of Services

Before acceptance of product(s) or service(s) and/or approval of an invoice, the COR shall prepare a COR Services Summary Surveillance Report (Appendix 5) in accordance with the QASP and FAR 52.212-4 (Contract Terms and Conditions – Commercial Items), Inspection and Acceptance Clause or FAR 52.246-4 Inspection of Services—Fixed Price (or -5 for Cost Reimbursement/-6 T&M & LH, etc.). The report can be tailored to meet the surveillance needs for the requirement but as a minimum, it must contain the Services Summary with Performance Ratings & explanation(s) for any PWS requirement rated above or below “Satisfactory” (See Attachment 1 to Appendix 5 for definitions of Performance Ratings). The report shall identify both positive and negative performance. The report shall be signed and dated by the COR & CO and uploaded to the CORT Tool.

The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract. The COR will certify receipt of Contractor services via the Wide Area Workflow (WAWF) website. Certification of services shall be accomplished no later than fourteen (14) calendar days after receipt of the invoice. To avoid payment of interest penalties, if the invoice is unacceptable, it should be rejected in WAWF within the first fourteen (14) calendar days after receipt of the invoice, and the CO should be notified immediately.

8.0 Contract Management

The MFT shall conduct periodic progress meetings to review the Contractor’s performance. At these meetings, the CO will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor shall immediately notify the CO and/or COR of any work being performed that the Contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues (i.e. CPARS, customer complaint reports, etc.).

The MFT shall also provide any recommended changes to the QASP to the CO at the progress meetings or on an annual basis (at a minimum).

Initial Contract Performance Review: This evaluation shall take place within thirty (30) calendar days after the Contractor assumes full performance responsibilities (i.e. after completion of transition/mobilization) to ensure the Contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract.

Initial Contract Performance Review Criteria

· Technical. Assess the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, safety, or health standards).

· Schedule. Assess the timeliness of the Contractor against contract requirements; task orders, milestones, delivery schedule, administrative requirements, and sample negative and positive turnaround times (e.g., efforts that contribute to or affect the schedule variance).

· Management/Performance. Assess the integration and coordination of all activity needed to execute the contract, specifically the completeness and quality of problem identification, corrective action plans, the Contractor’s history of reasonable and cooperative behavior, customer satisfaction and management of subcontracts including progress on small business subcontracting goals.

· Staffing. Assess the Contractor’s performance in selecting, retaining, supporting and replacing when necessary, personnel.

COR Contract File: A contract file must be established and maintained by the COR. The COR shall maintain the file in a computer data base system using the Contractor Officer Representative Tracking (CORT) Tool. Until notified otherwise, the COR shall also maintain a hard copy (paper) file. The COR will create a profile, complete the required training, and upload their certificates into the CORT Tool and then self-nominate by selecting their supervisor who will approve this action. Final approval, in CORT, is accomplished by the CO. Upon Approval, the CORT Tool will be used to track CORs, contract documents, reports and all other documentation maintained in the hard copy COR file. The contents of the COR Contract file are shown at Appendix 6.

9.0 Coordination & Approval: The multi-functional team member signatures below indicate their coordination and acceptance/approval of the QASP for Patient Administration Support. These signatures indicate coordination on the plan at the time of development and will remain in effect until the plan is changed.

QASP COORDINATION:

Superintendent, SGE Services Office of the AF/SG

CO TO BE DETERMINED

Contracting Officer Date

773 ESS/PKA

QASP APPROVAL:

Scott Cox Date Quality Assurance Program Coordinator (QAPC)

APPENDIX 1 – Services Summary (SS) and Method of Surveillance

Appendix 2 – Corrective Action Report

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

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

8. CONTRACTING OFFICER’S REPRESENTATIVE (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

Appendix 3 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 – Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

Appendix 5 – Table out of the PWS “COR Services Summary Matrix”

CONTRACT/TASK ORDER #: TO BE DETERMINED

SERVICE: HAF Workflow Team Management

SURVEY PERIOD: ____________________

SERVICE or STANDARD (For Non-Service Summary Items found not meeting standards):

PREPARED BY: ____________________________________ DATE: _________________

Sue G. Atkins, MSgt, USAF

CONTRACTING OFFICER: ___________________________DATE:_________________

773 ESS/PKA

Appendix 5.a “Performance Ratings used for COR Services Summary Monthly Surveillance Report” The evaluation ratings are as follows:

Excellent/Outstanding – Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with no problems and the Contractor actions were highly effective.

Very Good - Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance was accomplished with few minor problems for which corrective actions taken by the Contractor were effective.

Satisfactory - Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the Contractor were satisfactory.

Marginal - Performance does not meet 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 only marginally effective or were not fully implemented.

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

Appendix 6

CONTRACTING OFFICER'S ANNUAL COR FILE INSPECTION CHECKLIST (to be accomplished in the anniversary month of appointment) AND COR CONTRACT FILE INDEX Page 1 of 2

Date File Review Accomplished

Contract Exp:

SDO

COR SUP

COR

Alt COR

CONTRACTING OFFICER’S ANNUAL COR FILE INSPECTION CHECKLIST

CONTRACT NUMBER

COMMENTS:

DATE

COR

CO or Contract Administrator

Contracting person performing inspection

QAPC

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