Section_J,_ATTACHMENT_4_Contract_Administration_Plan_(CAP)_with_3_Enclosures.docx

ATTACHMENT 4

CONTRACT ADMINISTRATION PLAN (CAP)

Note: This document is for Government use only and does not intend to excuse the awardee from performing the duties and requirements of the contract.

1. Definitions.

1.1 Administrative Contracting Officer (ACO). To the extent that the Procuring Contracting Officer (PCO) has delegated contract administration, the Government official responsible for administering the contract.

1.2 Alternate Contracting Officer’s Representative (ACOR). In the absence of the Contracting Officer’s Representative (COR), the Government official appointed in writing by the PCO/ACO who functions as the technical representative of the PCO/ACO for a specific contract, for a specified period of time.

1.3 Bureau of Medicine and Surgery (BUMED). The Department of the Navy command responsible for all Navy health and dental contracting initiatives.

1.4 Commanding Officer. The medical department officer that has ultimate responsibility for the operation of a Military Treatment Facility (MTF).

1.5 Contracting Officer’s Representative (COR). The Government official appointed in writing by the PCO/ACO who functions as the technical representative of the PCO/ACO.

1.6 Contractor. The offeror identified in block 15A of the Standard Form 33 or block 7 of the Standard Form 26 and its health care workers who are providing services under the contract.

1.7 Health Care Program Analyst. The Naval Medical Logistics Command (NMLC) contract administration advisory resource for the COR/Technical Assistant (TA)/supervisor.

1.8 Military Treatment Facility (MTF). A Department of Defense (DoD) hospital or medical center that may require services under this contract. The abbreviation, “MTF” includes all the Branch Medical Clinics, Medical Administrative Units, Branch Medical Annexes and other subordinate clinical activities specified in this contract. The abbreviation, “MTF” also refers to any military treatment facility within the scope of this contract.

1.9 Naval Medical Logistics Command (NMLC). The Department of the Navy command responsible for implementation of the Bureau of Medicine and Surgery health care contracting initiatives.

1.10. Procuring Contracting Officer (PCO). The Government official within NMLC authorized by warrant to enter into this contract for the Government.

1.11 Supervisor. The Government official whose duty it is to provide day-to-day direction to, and oversight of, contractor personnel, including supervisory functions such as time and attendance.

1.12. Technical Assistant (TA). The MTF representative who may be assigned by the COR to provide technical or administrative assistance to the COR. TAs may be assigned to assist and support the COR but will not be given the authority to provide any technical direction or clarification directly to the Contractor.

2. Responsibilities.

2.1 The Navy's ASSISTANT CHIEF FOR HEALTH CARE OPERATIONS, BUREAU OF MEDICINE AND SURGERY (BUMED Code M3) as Program Manager will:

2.1.1 Establish medical contract policy guidance.

2.1.2 Provide overall direction for the planning, development, and operation of all Navy MTFs.

2.1.3 Monitor the progress and achievement of medical contract within the Navy’s health care delivery system.

2.1.4 Serve as subject matter expert for all technical aspects of medical contracting efforts.

2.2 The PCO, ACQUISITION AND ANALYTICS DIRECTORATE (Code 05), Naval Medical Logistics Command will:

2.2.1 Perform all required pre-award actions including providing information or answering questions that arise during the solicitation period.

2.2.2 Review the Contract Administration Plan (CAP). The PCO will furnish sample COR and TA nomination letters to the MTF in accordance with NAVSUPINST 4205.3 series.

2.2.3 Verify that the individual(s) nominated to act as COR have had the required training and the necessary experience. If the PCO determines that a nominee does not meet experience and training requirements, the PCO will request that the MTF nominate another individual.

2.2.4 Review the CAP prior to incorporation into the solicitation/contract. This review will ensure that all contract administration functions are assigned, suit the specific circumstances of the contract and give due consideration to the type of contract, the place of performance, period of performance, and inspection and acceptance criteria stated in the solicitation/contract.

2.2.5 Include the COR duties contained in this master CAP in the resultant solicitation/contract. Additional duties will be separately delineated within the contract, as appropriate.

2.2.6 Designate the paying office in the contract.

2.2.7 Appoint the COR and ACOR at the time of award of the basic contract.

2.2.8 Coordinate with the ACO to arrange and conduct the post-award conference, if required. Invite necessary attendees. Ensure that the requirements of the contract and the COR’s duties are thoroughly discussed and understood. Ensure that all personnel involved understand current DoD Standards of Conduct policies.

2.2.9 Maintain a list of all CORs under their authority.

2.2.10 Maintain a log of total hours for each Contract Line Item Number (CLIN) to guarantee quantities are not exceeded. Notify the ACO, Health Care Program Analyst (NMLC ACQUISITION AND ANALYTICS DIRECTORATE Code 05) and the MTF when 75% of the quantity of any CLIN has been reached.

NOTE: All parties are specifically reminded that only the Contracting Officer has the authority to modify the terms of the contract. Therefore, in no event will any understanding, agreement, modification, change order, or other matter deviating from the terms of the basic contract between the Contractor and any other person be effective or binding on the Government. When/if, in the opinion of the Contractor, any direction affecting the terms of the basic contract has been given by the COR or any other person, the Contractor shall promptly notify the PCO/ACO.

2.3 The ACO, ACQUISITION AND ANALYTICS DIRECTORATE (Code 05), Naval Medical Logistics Command will:

2.3.1 Perform all required post-award actions including providing information or answering questions that arise as a result of Freedom of Information Act (FOIA) inquiries.

2.3.2 Review the Contract Administration Plan (CAP). The ACO will furnish sample COR and TA nomination letters to the MTF in accordance with NAVSUPINST 4205.3 series.

2.3.3 Verify that the individual(s) nominated to act as COR have had the required training and the necessary experience. If the ACO determines that a nominee does not meet experience and training requirements, the ACO will request that the MTF nominate another individual.

2.3.4 Review the CAP prior to incorporation into the contract. This review will ensure that all contract administration functions are assigned, suit the specific circumstances of the contract and give due consideration to the type of contract, the place of performance, period of performance, and inspection and acceptance criteria stated in the contract.

2.3.5 Appoint the COR and ACOR should any be nominated after the award of the basic contract.

2.3.6 Perform all contract administration duties of an ACO. Regular meetings between the PCO/ACO, the COR or the MTF Commanding Officer (or representative) will be held to discuss the status of and the performance under individual contract. The format and frequency of these meetings will depend upon the size and complexity of the contract.

2.3.7 Evaluate reports of Contractor non-compliance and take appropriate action within 30 days of receipt. Copies of any correspondence regarding the results of such analyses will be provided to the MTF and the COR simultaneously with the action taken. Immediately sign and return acknowledgement of CDR’s to the COR, including a final ACO acknowledgement and recommendation to the COR on how to proceed.

2.3.8 Arrange the post-award conference, if required. Invite necessary attendees. Ensure that the requirements of the contract and the COR’s duties are thoroughly discussed and understood. Ensure that all personnel involved understand current DoD Standards of Conduct policies.

2.3.9 Oversee the performance of CORs under the contract. Prompt action will be taken when COR (or alternate) is not performing properly.

2.3.10 Maintain the official contract file including modifications (and all back-up documentation).

2.3.11 Maintain the accuracy of this Master CAP throughout the life of these contract.

2.3.12 Maintain a list of all CORs under their authority. Periodically review the files and performance of these CORs in accordance with NAVSUPINST 4205.3 series and local policies.

2.3.13 Review the existing annual Contractor performance reports prior to negotiating under this contract. Enter data into the Contractor Performance Assessment Reporting System (CPARS).

2.3.14 Maintain a log of total hours for each Contract Line Item Number (CLIN) to guarantee quantities are not exceeded. Notify the PCO, Health Care Program Analyst (NMLC Code 05) and the MTF when 75% of the quantity of any CLIN has been reached.

NOTE: All parties are specifically reminded that only the Contracting Officer has the authority to modify the terms of the contract. Therefore, in no event will any understanding, agreement, modification, change order, or other matter deviating from the terms of the basic contract between the Contractor and any other person be effective or binding on the Government. When/if, in the opinion of the Contractor, any direction affecting the terms of the basic contract has been given by the COR or any other person, the Contractor shall promptly notify the PCO/ACO.

2.4 The HEALTH CARE PROGRAM ANALYST, ACQUISITION AND ANALYTICS DIRECTORATE (Code 05), Naval Medical Logistics Command will:

2.4.1 Submit a completed and signed CAP Documentation Form with answers to questions that pertain to this acquisition.

2.4.2 Act as the health care contracting technical manager for BUMED. Ensure consistency among health care contract, providing coordination and technical liaison between MTFs, BUMED, CORs, and the PCO/ACO.

2.4.3 Coordinate/develop the procurement technical requirements including a statement of work; draft input to Sections B, H, L and M; potential sources for the procurement and other related documents required for the acquisition.

2.4.4 Monitor and manage reports of Contractor non-compliance, evaluate reports submitted by the individual CORs, and recommend PCO/ACO disposition on all noted discrepancies.

2.4.5 Perform health care trend analyses and provide feedback to the PCO/ACO and CORs.

2.4.6 Provide any other technical assistance to the MTF, PCO/ACO, CORs, and other customers.

2.4.7 Through coordination with the ACO, participate in periodic COR meetings and inspections to discuss status and performance under the contract emphasizing problem identification, problem solving and contract familiarity.

2.4.8 Ensure that the MTF, PCO/ACO, CORs, and BUMED are appropriately informed of related health care issues.

2.4.9 Provide periodic statistical and financial reports to BUMED.

2.5. The COMMANDING OFFICER OF THE MTF will:

2.5.1 Budget and provide funding for the contract.

2.5.2 Nominate (to the PCO/ACO) individual(s) to be appointed as COR (by name, title, organizational code and telephone number). This individual(s) will also be the contract quality assurance monitor and lead technical advisor to the ACO and will be responsible for the technical interface needed during contract performance. An ACOR can be nominated to act in the absence of the COR, when needed, or to provide additional expertise.

NOTE: COR duties cannot be delegated. The COR will be accountable for the actions of ACORS or TAs.

NOTE: Nomination of new CORs as a result of reassignment, termination of employment, etc., will be made in accordance with the procedures outlined herein.

2.5.3 Ensure all individuals nominated as COR or ACOR have the necessary qualifications to satisfactorily perform the required duties and hold a position of responsibility commensurate with the complexity of the contract. All CORs will have graduated from a Naval Supply System Command (NAVSUP) approved/BUMED provided medical COR training course prior to their appointment.

2.5.4 Upon receipt of the contract from the PCO/ACO, forward copies of documents to staff having administrative responsibilities for these contract.

2.5.5 Support and supervise the COR in the performance of their duties. If the Commanding Officer determines that assigned duties are not being performed in a satisfactory manner, immediate corrective action will be taken (including the recommendation to replace the COR if required). The PCO/ACO will be promptly notified of all actions taken. The MTF should consider COR performance in rating all individuals assigned COR functions.

2.5.6 Notify the PCO/ACO in writing of any organizational or personnel changes affecting the CAP.

2.5.7 Ensure that appropriate timely action is taken on all contract related correspondence received from either the PCO/ACO or COR. This includes the timely submission (to the PCO/ACO) of any requests for changes to the statement of work, deviations or waivers. An Independent Government Cost Estimate of the impact on contract price and the availability of additional funding (if required) must accompany all requests for changes to the statement of work/contract. The Contractor’s price quote and the rationale for requesting the change shall accompany any changes proposed by the Contractor. The Contractor’s price quote serves as a budgetary estimate of the cost impact. The MTF will also provide input as to technical acceptability of proposed contract language changes.

2.5.8 The MTF Commanding Officer may appoint a TA to assist the COR in executing routine contract administration, monitoring and, surveillance duties. The appointment of all TAs must be in writing and must include the TA's responsibilities and limitations. A copy of this appointment letter will be provided to the PCO/ACO. Before appointment, the MTF will assure that all TAs have the appropriate training and experience.

2.6 The CONTRACTING OFFICER'S REPRESENTATIVE (COR) will:

2.6.1 Attend both the pre-proposal and post-award conferences, if held.

2.6.2 Attend periodic meetings (as necessary) among the ACO, MTF and Contractor(s) to discuss the performance under the contract.

2.6.3 Avoid issuing any instructions that would constitute a change to the contract. The COR and Contractor shall not enter into any understanding, agreement, modification, or change order deviating from the terms of the contract which shall be effective or binding on the Government. If in the opinion of the Contractor, an effort outside the scope of the contract is requested, the Contractor shall promptly notify the ACO in writing. The Contractor shall not act unless the PCO or ACO has issued a written change to the contract. The COR will include, on all correspondence to the Contractor, a declination of authority statement as follows:

“I have neither the authority nor the intent to change the terms or conditions of this contract. This contract can only be changed by a written modification issued by the Contracting Officer. If you believe that I am requesting an effort outside the scope of this contract, promptly notify the Contracting Officer. Additionally, this shall not be construed as an authorization for new work or additional work not already contained in the contract.”

2.6.4 Perform as the technical interface between the Government and the Contractor(s) for this contract. The COR will provide technical advice or clarification regarding the statement of work; milestones to be met within the general terms of the contract or specific subtasks of the contract. The COR is the point of contact through whom the Contractor can relay technical questions and problems to the Contracting Officer. The Contractor may also contact the Contracting Officer directly.

2.6.5 Coordinate/facilitate complete and timely credentials submissions between the MTF and the Contractor using the applicable Medical Staff Services Provider (MSSP) staff at the MTF. The COR will provide technical advice or clarification regarding the statement of work, milestones to be met within the general terms of the contract or specific subtasks of the contract, maintain a method for tracking expiring credentials, and maintain shift schedules. The COR will inspect the credentials of each contract employee prior to submission to the PAC.

2.6.6 Monitor Contractor performance and progress under the contract. If potentially inefficient or wasteful methods are being used, the COR will take reasonable and timely action to alert the Contractor and the ACO. Furthermore, the COR will promptly advise the ACO of any observed continuous and/or substantial deficiencies in the Contractor's performance or other noncompliance with the terms or conditions of the contract. Enclosure (1) is the surveillance plan to be used by the COR to monitor Contractor performance. Deviation from this surveillance plan is only permitted with the prospective approval of the ACO.

2.6.7 In accordance with procedures given in Enclosure 1, Surveillance Plan, promptly issue Contract Discrepancy Reports (CDRs) (Enclosure (2)) to the Contractor to document discrepant performance. The COR will always obtain the Contractor's response/rebuttal to the CDR, evaluate, with the affected Department Head/OIC, the acceptability of the response and promptly forward the CDR, Contractor response/rebuttal, and their recommendation to the NMLC ACO and Health Care Program Analyst.

2.6.8 Monitor and verify services provided in accordance with Section B of the contract. Keep accurate records of Contractor performance and compare these records with the Wide Area Work Flow (WAWF) invoice or time sheet submitted by the Contractor. The COR will always use this information as a tool when evaluating Contractor invoices.

2.6.9 Inspect and/or accept the services as the official Government representative.

2.6.10 Use appropriate, contract-specific sampling methods for contract surveillance.

2.6.11 Completely understand contract invoicing requirements. The COR will process all WAWF Invoices in a timely manner to ensure that prompt payment due dates are met.

2.6.12 Immediately alert the ACO of any unusual performance problems. If a corrective action plan is approved by the Contracting Officer, the COR will monitor the implementation and effectiveness of that corrective action plan. In uncertain situations, the COR will always seek advice from the ACO, as prudent, before acting.

2.6.13 Continually monitor the quantity of services provided under each CLIN. Advise the PCO/ACO if it appears that service quantities may be exhausted before the end of the performance period, or if quantities of unused hours for services have been ordered but will not be received by the end of the performance period.

2.6.14 Perform administrative duties including all files that support the actions performed as a COR. The COR will respond to all contract correspondence in a timely manner. Contract files will include a conforming copy of the contract, all modifications, a conforming copy of the Contractor’s Technical Proposal (Management Planning and Market Research), all surveillance reports, each CDR (including the Contractor’s response/rebuttal), any contract-related correspondence, a contract log or COR diary, all telephone conversation and email records, meeting minutes, reports from Government subject matter experts, and Independent Government Cost Estimates.

2.6.15 Take the necessary steps to ensure that Government property furnished to the Contractor is provided in a timely manner and in proper condition for use. The COR will maintain both inventory and disposition records for all Government furnished property. This inventory/disposition file is coordinated with the ACO. The COR will ensure that the Contractor returns all Government furnished property or that Government furnished material has been reasonably consumed in the performance of work.

2.6.16 Read and comply with all applicable Standards of Conduct and Conflict of Interest instructions and procedures including annual financial interest filings.

2.6.17 The COR shall monitor the contractor’s compliance with HIPAA and the protection of Privacy Act Information.

2.6.18 Ensure that the Contractor receives copies of all regulations and/or directives considered appropriate to the services being provided.

2.6.19 Submit information detailing the Contractor's performance to the ACO. A statement indicating performance has been satisfactory along with your request to continue performance would be required prior to the issuance of any Logical Follow On. An annual report on the Contractor's performance will be required 30 days after the end of each performance period. A final report will be sent to the ACO within 60 days after completion of the contract. The final report will contain a conclusive statement describing the Contractor's overall performance and an evaluation on the accountability of Government property furnished to the Contractor. Enclosure (3) contains the format for the reports.

2.6.20 Perform other duties, particular to the contract, as may be incorporated into the contract document or as required by the Contracting Officer.

2.7. TECHNICAL ASSISTANT (TA). All requirements for TA duties are reported directly to the COR. At the direction of the COR, the TA will:

2.7.1 Perform surveillance and identify Contractor deficiencies.

2.7.2 The TA shall monitor the contractor’s compliance with HIPAA and the protection of Privacy Act Information.

2.7.3 Review contract deliverables, recommending acceptance/rejection, and providing the COR with the documentation to support all recommendations.

2.7.4 Assist the COR in the preparation of the final Contractor performance report using the format and procedures prescribed by the Contracting Officer.

2.7.5 Identify Contractor non-compliance with reporting requirements.

2.7.6 Evaluate Contractor proposals, identifying potential problem areas.

2.7.7 Provide (a) timely input for technical clarifications to the statement of work, (b) technical direction for the Contractor, and (c) recommendations for CAPs.

2.7.8 Provide detailed written reports of any trip, meeting, correspondence, telephone conversation, email or, anecdotal conversation after any contact between the TA and the Contractor.

CAP Enclosures:

Enclosure 1 - Surveillance Plan Enclosure 2 - Contract Discrepancy Report Enclosure 3 - Report on Contract Performance

CAP Enclosure 1

SURVEILLANCE PLAN

1. INTRODUCTION

1.1 Purpose. This surveillance plan has been developed to aid the Contracting Officer’s Representative (COR) in providing effective and systematic surveillance of all aspects of this contract.

1.2 Objective. To ensure that the Contractor is complying with the specifications of the contract by providing quality health care services to eligible beneficiaries.

1.3 Scope. This plan applies to the Medical contract services. This is a personal services contract. Contract performance will be monitored chiefly through prospective supervision by Navy personnel. Some elements of performance will be monitored by the COR through retrospective surveillance.

2. RESPONSIBILITIES

2.1 The Administrative Contracting Officer (ACO) at NMLC is responsible for negotiating all modifications to contract terms, conditions or amounts.

2.2 The Health Care Program Analyst at NMLC serves as the technical agent for coordinating issues among the ACO, the MTF and the COR. The Health Care Program Analyst reviews the COR’s contract surveillance and provides feedback to the COR and recommendations to the ACO. The Health Care Program Analyst provides technical support to the COR and the ACO in preparing modifications. The Health Care Program Analyst also tabulates statistical data.

2.3 The MTF commanding officer is responsible for establishing and maintaining a system for reviewing and approving correspondence submitted by the COR to NMLC.

2.4 The COR is responsible for assuring Contractor performance through audit, documentation and liaison with the ACO. The COR will ensure that copies of all Contractor correspondence and MTF COR responses are provided to the ACO. The COR must observe the following cautions and limitations:

2.4.1 Do not request or direct the Contractor to do anything that is not expressly stated in the contract.

2.4.2 Do not attempt to control Contractor efforts except as specifically authorized in the contract.

2.4.3 Do not make suggestions or comments that the Contractor could construe as authority to proceed on work not specified in the contract.

2.4.4 Do not request changes that add work or objectives not within the scope of the contract. Seek the advice of the ACO.

2.4.5 Do not accidentally generate a basis for a Contractor claim. Communicate with the Contractor in a timely manner.

2.4.6 Exercise diligence in monitoring and documenting the Contractor’s performance. When in doubt about any aspect of the contract specifications or the Contractor’s performance, seek the advice of the ACO or the NMLC Health Care Program Analyst.

2.4.7 Bring to the attention of the ACO any extraordinary action on the part of the Contractor, i.e., any performance outside the scope of the contract.

2.5 The Government supervisory personnel specified in the contract are responsible for providing day-to-day supervision and control of contract personnel. This includes provision of technical guidance, direction, and approval of tasks performed to satisfy requirements of the contract.

3. INSPECTION METHODS. Several methods serve as means for inspecting Contractor performance. Some methods are more appropriate than others are. The COR may use any or all of these inspection methods. Inspection, along with documentation, is vital to ensuring Contractor compliance with contract requirements.

3.1 100% Inspection. This method of surveillance is time consuming, expensive and unrealistic for services performed frequently. However, it is appropriate in critical areas where health and safety are involved and each occurrence of a particular requirement must be examined to determine compliance.

3.2 Surveillance Checklists. Checklists are used for services performed on an infrequent but predictable schedule (e.g., monthly, quarterly, annually, etc.) Any scheduled service that is provided on less than a daily basis can be considered for inclusion on a checklist.

3.3 Random Sampling. Sampling can be an unbiased, comprehensive evaluation of the Contractor’s performance while efficiently using limited inspection time. The basis for doing random sampling is MIL-STD-105D, “Sampling Procedures and Tables for Inspection by Attributes”. It is based on the statistical concept that an evaluation of randomly chosen occurrences may allow the evaluator to draw conclusions (acceptable/not acceptable) about the universe of occurrences.

3.4 Validated Customer Complaints. Validated customer complaints are the customer’s method of documenting problems. The COR will coordinate efforts to acquire, document and validate these complaints. Customer complaints are not used to reject a service, but can be used as further evidence of unsatisfactory performance (e.g. if random sampling shows the specific service is unsatisfactory). When other surveillance continues to show unsatisfactory performance, validated customer complaints can indicate a need to increase surveillance. The COR must have a written validation process for all customer complaints (much like the CDR process). Only validated customer complaints should be forwarded to the ACO for action. Customer complaints cannot be used in conjunction with other surveillance methods (i.e., partial random sampling plus certain customer complaints) because their occurrences are not truly random.

4. TIME FRAMES FOR MONITORING PERFORMANCE REQUIREMENTS. There are several different time frames for monitoring performance requirements of the contract. Depending upon the specific performance requirement, the COR will monitor activities on a one-time basis, a per occurrence basis, or an ongoing basis.

4.1 One-time Activities. This performance requirement is generally monitored for initial or start-up activities, such as submission and verification of the credentials files.

4.2 Per Occurrence Activities. This activity is one that is monitored at each occurrence. It is often an activity could place a patient at unnecessary risk for which the COR will investigate. Examples of these would include medication errors, impaired providers, or any incidents that resulted in disciplinary action against a Contractor employee.

4.3 Ongoing Activities. This performance requirement is one that must be continually monitored throughout the life of the contract because the requirement itself is ongoing. Examples include a requirement for shift coverage, schedule submissions, meeting attendance, maintenance of personnel qualifications and, documentation of annual training.

5. DOCUMENTATION.

5.1 The need to document each contact between the COR and the Contractor cannot be overemphasized. CORs should understand the procedures that are described in FAR Part 33.2. CORs should remember that the documentation prepared by the COR will be the primary evidence presented by the Government in any litigation, with the Government bearing the burden of proof. This documentation must be thorough, accurate and complete.

5.2 It is important to maintain a record of all other contacts between the COR and the Contractor which reflect normal clinic operations or the services required in the contract. Examples may include schedule submissions, feedback on Contractor credentialing actions, etc. These examples may or may not be a part of routine surveillance, but the COR’s ability to reconstruct events will be important if the Government rejects the quality or timeliness of contract services.

5.3 Documentation may include Contract Discrepancy Reports (CDRs), meeting minutes, annotations on surveillance checklists, letters, email, telephone conversation records, memoranda, etc. Results of inspections identifying unsatisfactory Contractor performance must be given to the Contractor for review, comment, and corrective action as appropriate.

5.4 All performance related inspection documentation is an integral part of the contract file and must be stored and maintained accordingly. The COR should maintain a reading file of all correspondence and pertinent documentation.

6. INVOICING PROCEDURES

6.1 At the end of each bi-weekly period of contract performance, the contractor shall present the COR with an invoice via Wide Area Work Flow. The COR will inspect the invoice to ensure that it accurately reflects the amount of service provided by the contractor, but will not accept (sign) the invoice if there are any substantial inaccuracies.

6.2 The COR will coordinate with the supervisor of each clinical area represented on the invoice to determine the accuracy of the service totals included on the invoice. Additional tools which may be available to the COR to confirm invoice amounts are contract employee time clock cards and sign-in/sign-out sheets. Time which is not in some way confirmed through coordination with the applicable supervisor, documented by time clock, documented by time sheet, or confirmed through some other appropriate method available to the COR will not be considered to have been provided.

6.3 If the COR identifies any discrepancies with the invoice, the COR will reject the invoice per WAWF procedures to include reason for rejection. The contractor shall re-invoice so that it can be certified correctly.

6.4 CORs may NOT note changes directly on the contractor’s invoice, as it will be rejected by DFAS as improper.

6.5 Failure of the contractor to submit invoices in a timely manner, significant or recurring discrepancies on submitted invoices, or failure of the contractor to submit a revised invoice for a billing period, will be brought to the attention of the ACO and the NMLC Health Care Program Analyst.

7. CONTRACT DISCREPANCY REPORTS (CDRs)

7.1 The COR will recognize that CDRs become official records within the contract file and that they have serious implications for overall contract management and relationships. CDRs should not be the first and only choice for communicating contract issues with the contractor and should be implemented in accordance with the procedures given below within this Surveillance Plan.

7.2 For serious contract performance deficiencies, or when less formal communications fail to resolve minor performance deficiencies, the COR will issue a CDR to the Contractor.

7.3 The COR will ensure that all inspection data is attached to the CDR. The Contractor cannot be expected to respond to performance deficiencies that are not clearly and specifically identified. A cover memorandum on the CDR should specify that the Contractor has three working days, or other appropriate deadline, to respond in writing to the COR. At the time the CDR is issued to the Contractor, the COR will provide a copy of the CDR to the ACO and to the Health Care Program Analyst.

7.4 Upon return of the CDR package from the Contractor, the COR will review the Contractor’s comments and give careful, objective consideration to the facts and mitigating circumstances documented in the response. The COR will then make a final written determination and recommendation to the ACO on the acceptability of Contractor performance and note it on the CDR. The COR will state why the Contractor’s response does or does not have merit. The COR will prepare the determination, recommendation, and other statements as appropriate along with actions being requested of the ACO and as much additional documentation as required to support their conclusions and recommendations.

7.5 The COR will provide the above documentation along with actions being requested of the ACO and as much additional documentation as required to support their conclusions and recommendations to (1) the Contractor, (2) the ACO, and (3) the Health Care Program Analyst.

7.6 The ACO and Health Care Program Analyst will review CDRs and will advise the COR of the need for any further documentation.

8. COR SURVEILLANCE REQUIREMENTS

8.1 Submission of Credentials. The COR will inspect the credentials of each contract employee.

8.1.1 The contractor will submit Credentials Record (CR) and qualifications packages (for non-credentialed/non-licensed personnel) in accordance with requirements of the contract and BUMEDINST 6010.30 (latest revision).

8.1.2 CR and Qualifications Packages: The COR will review each submitted package for completeness and compliance with contract qualification requirements. Complete and correct CR packages will be forwarded to the Medical Staff Services Provider (MSSP) for formal credentialing action. The COR will return an incomplete or incorrect package to the contractor if a prepaid envelope was submitted along with the package. Otherwise, the COR will destroy an incomplete or incorrect package and notify the contractor that submission of complete and correct package is required. The MSSP or COR will inform the contractor upon approval of a package.

8.2 Orientation. In coordination with the supervisors for whom services are being provided, the COR will coordinate the availability of appropriate orientation sessions and will track and maintain records of orientation completed by contractor personnel. The COR will ensure that all orientation is completed within the timeframes specified in the contract and notify the contractor of deficiencies.

8.3 Maintenance of Credentials.

8.3.1 The COR will maintain a method for tracking expiring credentials, such as a database or spreadsheet. The method chosen should include at least the guidelines in this paragraph, as best implemented in accordance with MTF policy. Not less than once per month, the COR will review the tracking file and identify any credentials due to expire within 2 months. The COR will notify the contractor of those expiring credentials and will advise the contractor that the affected individual will not be permitted on the staffing schedule or to provide service under the contract following expiration of credentials.

8.3.2 The COR will maintain a record of contractor personnel compliance with health certification requirements of the contract. The COR will notify the contractor of expired health certifications.

8.4 The COR will inspect the Contractor submitted schedule for those positions for which coverage is required. The COR will compare the schedule to the contract requirements, note deficiencies, and inform the contractor of those deficiencies. The contractor shall be required to submit an updated schedule.

8.5 Full-time versus part-time staff. The COR will ensure that the contractor utilizes only full-time individuals when required by the contract. The COR will also ensure that the contractor does not utilize part-time personnel in excess of any restrictions imposed thereon by the contract. The COR will coordinate with the respective supervisors to monitor these requirements.

8.6 Contract Discrepancy Reports (CDRs). The COR’s responsibilities for documentation of contractor performance problems using the CDR (provided by Enclosure 2) are given in paragraph 2.5.7 of the Contract Administration Plan. The COR will maintain close communication with the supervisor(s) of contractor personnel as they will be most aware of day-to-day performance issues which may arise. CDRs will be completed by the COR, not the supervisor. A CDR will be completed by the COR in accordance with the Contract Administration Plan whenever there exist unresolved COR surveillance deficiencies or unresolved supervisory issues. Remember that the CDR is presented to the contractor firm’s designated representative, not the contractor employee who failed to perform in accordance with the contract. That is not to say that a CDR must be completed every time there is a deviation from contract requirements. The COR or supervisor is better served by attempting to solve performance problems at the lowest level possible and in the least threatening manner possible., not by producing a CDR for every minor infraction. It is best to seek cooperative resolution, and then resort to formal documentation via a CDR if resolution cannot be reached. This approach is not intended as a license to avoid documentation of performance problems; if a problem cannot be expeditiously resolved cooperatively, the CDR process should be invoked. The CDR form is designed to produce a record of both Government and contractor positions. There is no requirement that this form be reduced to hard copy; an electronic copy attached to emails transmitted between representatives is acceptable.

9. SUPERVISOR RESPONSIBILITES

9.1 The supervisor is the individual Government employee who is responsible for providing the day-to-day direction and control of the activities of the personal services health care worker. The supervisor(s) of contract personnel will read and retain a copy of the contract under which the supervisor is receiving services. The supervisor will recognize that the contract protects the interests of both the Government and the contractor/contract personnel and that the contract prescribes duties and responsibilities for both parties.

9.2 This is a personal services contract and provides the supervisor with the ability to direct and control the day-to-day activities of the contract personnel. However, the supervisor will be cognizant of the overall scope of the contract and the particular duties defined by the contract as being within that scope. The supervisor will ensure that duties assigned to contract personnel are consistent with the duties prescribed by the contract.

9.3 The supervisor will be cognizant of their responsibilities for supervision of contract personnel which may differ from their responsibilities regarding supervision of government personnel. This includes assignment of specific work hours; the contract may impose this responsibility on the supervisor or it may reserve work scheduling as a function for the contractor. The same may apply to the administration of leave for contract personnel. The contract will provide specific information regarding these functions and the supervisor will become familiar with these provisions.

9.4 Under this contract where the supervisor is responsible for administering leave, it must be noted that contract personnel do not fall under the government personnel system and that their leave balances will not be maintained by a third party. Leave balances must be maintained by the supervisor. It is recommended that the supervisor coordinate with the COR to develop and maintain an effective system (likely a spreadsheet file) to track contractor leave. Further, it is essential that a system be developed between the supervisor and the contract personnel to ensure each is aware of the current balance so to avoid disputes regarding leave amounts accrued and used.

9.5 Regardless of whether the supervisor is responsible for administering leave for contract personnel, it is essential that the supervisor track the amount (hours) of service received from contract personnel. Coordination with the COR on this point is essential. The COR is responsible for certifying contractor invoices as being correct, i.e., representing the actual services received by the government. As the COR will not have day-to-day visibility on each contract site, contract individual, shifts worked, etc., it is absolutely essential that supervisors keep meticulous records of services received and establish a convenient means to transmit accurate, complete records to the COR for use in certifying invoices.

9.6 In general, and always keeping in mind the specific requirements and limitations prescribed by the contract, the supervisor is best served by supervising the contract personnel in the same manner as they supervise the government personnel on their staff. That is, the supervisor should not impose on contractor personnel burdens or privileges which are contrary to those imposed on other staff performing the same function, always, again, keeping in mind the requirements of the contract. When in the slightest doubt regarding this general guidance, the supervisor will contact the COR for specific guidance and interpretation.

9.7 The supervisor’s responsibility for supervision of contractor personnel extends to the normal feedback that should be provided to any employee regarding the quality of their performance. Contractor employees should be informed when they have performed well, or performed poorly (failed to meet contract requirements). Counseling sessions regarding both good performance and poor performance must be documented by the supervisor; this documentation, both positive and negative, creates a critical trail that will be used for future award decisions. When counseling sessions for poor performance do not have a positive effect on contractor employee performance, the supervisor must contact the COR. A copy of all counseling sessions must be provided to the COR.

9.8 The supervisor should schedule regular meetings with the COR to discuss contract progress and performance. Performance problems are always most easily handled with early recognition and a consistent corrective action system. Between regularly scheduled meetings, the supervisor should contact the COR immediately upon recognition of contract performance issues. The supervisor should attempt to handle normal day-to-day individual duty performance issues through the normal supervisory methods, but contact the COR when these individual performance issues continue without resolution or when there is a pattern of non-performance across the contract personnel.

CAP Enclosure 2

CONTRACT DISCREPANCY REPORT

COR Findings:

COR (sign and date):

Contractor Response:

Contractor Project Manager (sign and date):

COR Determination/Recommendation:

COR (sign and date):

Contracting Officer Acknowledgement and Recommendation (sign and date):

CAP Enclosure 3

COR QUESTIONNAIRE

Reporting Period: __________________ Contract Number: __________________

QUALITY

VACANCIES

CDRs ISSUED

(vacancy, HCW issue, requirements lapse, invoicing, other) Did contractor resolve / still outstanding?

Purpose: This form provides COR feedback to be used for contract performance assessment reporting and technical evaluations to select future contractors.

Question #1: ONLY REQUIRED AT END OF POP: Does the contractor ensure that maintenance requirements (license, registration, BLS, etc.) are kept current? Yes / No

Question #1a: If no, how frequently did requirements lapse? Click here to enter text.

PACKAGES

(not qualified, missing documents, other) Did contractor resolve timely?

TERMINATIONS

(number of FTEs) Reason (Vacancy, no longer needed, requirement change, other)

SCHEDULE

Question #2: What was the overall fill rate? Click here to enter text.

NEW STARTS

BUSINESS RELATIONSHIP

Question #3: Does the contractor conduct business in a professional and courteous manner? Yes / No Question #3a: If no, describe the issues. Click here to enter text.

Question #4: Other comments on business relationship: Click here to enter text.

OVERALL

Question #5: How would you describe the overall performance by the contractor? Choose an item.

Question #6: Would you consider having the contractor work for you again in the future? Choose an item.

Question #7: Additional remarks on overall performance: Click here to enter text.