PWS AADCR CLIE - CPA.pdf

Prepared by Katharine T. McCauley Page 1

Federal Aviation Administration

Office of Aerospace Medicine (AAM)

Aerospace Medical Certification Division (AMCD)

AAM Airman Disability Case Review (AADCR)

Contract Legal Instrument Examiner &

Contract Program Analyst

Performance Work Statement

October 5, 2022

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Table of Contents

1.0 Overview

2.0 Scope of Work

2.1 Services

2.2 CLIE and CPA Responsibilities

2.3 CLIE and CPA Tasks

2.4 Period of Performance (PoP)

2.5 Working Hours

The

2.6 General Requirements

3.0 Government Furnished Equipment (GFE)

3.1 Obtaining Replacement of Government‐Furnished Equipment

4.0 Contractor Furnished Property

5.0 Security

5.1 Safeguarding Airmen Sensitive but Unclassified (SBU) Information:

6.0 Qualifications

7.0 Contract Deliverables

8.0 Travel

9.0 Over and Above (O&A)

10.0 Quality Assurance

10.1 Objective

10.2 Surveillance Expectations

11.0 General Information

11.1 Definitions/Acronyms

11.2 References

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1.0 Overview

The Federal Aviation Administration (FAA) Office of Aerospace Medicine (AAM) Aerospace in collaboration with its Regional Offices and the Aerospace Medical Certification Division (AMCD) diligently strives to ensure the safety of the flying public. This involves the medical certification of commercial airman and other limited cases such as Air Traffic Controllers (ATCs) and Military personal with dual certification at designated intervals along with requirements for those airman to notify the AMCD when health risks arise that may affect their current certification.

AAM has directed a review of airman medical certifications which have been identified as having potential risks to the flying public through the AAM Airman Disability Case Review (AADCR) Project. At this time, there have been approximately 10,000 cases forwarded between the Veterans Administration (VA) with concerns that former Airman and/or Aviation Medical Examiners (AME) have incorrectly identified medical issues, and as a result the FAA AMCD may have erroneously evaluated and granted Medical Certifications.

The AADCR project requires support of Contract Legal Instrument Examiners (CLIE) and Contract Program Analysts (CPA) to analyze referred airman disability cases and provide recommendations based on their professional expertise and applicable medical flight standards, guidance, and procedures.

2.0 Scope of Work

The intent of the AADCR Project is to obtain non-personal, professional services of CLIEs and CPAs to review airman medical certifications in accordance with this Performance Work Statement (PWS). The Contractor must provide all labor, facilities (including utilities and Internet Access), materials & supplies with the exception of those outlined in the PWS Section 3.0 - Government Furnished Equipment (GFE). The Contractor must meet all the qualification requirements in Section 6.0 - Qualifications, and ensure it is capable of providing the necessary services and deliverables to support the AADCR Project.

2.1 Services

The FAA requires the support of CLIEs and CPAs to provide independent reviews of airman records determined by the VA or by AMEs as potentially having fraudulent, or misinformed statements that led to the improper issuance of airman medical certifications.

The CLIEs and CPAs must review each of the assigned airman medical certification records, to include the associated application and all pertinent medical documentation.

The CLIEs and CPAs must process each case review in accordance with (IAW) the following:

Code of Federal Regulations (14 C.F.R.§ Part 67), AAM-300 Quality Management System (QMS), Guide for Aviation Medical Examiners (AMEs), Aeromedical Reference Manual “RefMan,” and Other provided pertinent documentation

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Case reviews may require the use of the Document Imaging Workflow System1 (DIWS), or other systems required under the AADCR project and the current AADCR Standard Operating Procedure (SOP) as noted in Section 11.2 – References. The CLIEs and CPAs must review and document findings as required in the AAM Special Projects AADCR Master Spreadsheet/Dashboard, Complete Letter of Investigations (LOI), Enforcement Investigative Reports (EIR), utilize relevant Government systems, and when required deliver findings in a briefing or written summary.

The analysis provided be the CLIEs and CPAs must align with applicable federal regulations and AMCD policies and procedures as outlined in current QMS practices. The CLIEs and CPAs must thoroughly identify any aero-medically significant errors and document concerns for the AAM Deputy Regional Flight Surgeon and/or other FAA Medical Officers.

2.2 CLIE and CPA Responsibilities

The CLIEs and CPAs must ensure the highest level of professional performance is applied to the analysis of each case by demonstrating:

Ability to efficiently navigate the airman medical certification process Skill implementing and evaluating the airman medical certification procedures as applied to all applications and those assigned under AADCR SOPS Knowledge of the principles of aviation medicine and its application for the purpose of medical certification of airman identified by the AADCR Application of seasoned professional judgment and medical standards prescribed by

Federal Aviation Regulations (FAR) and AMCD guidance documents Responsibility for the physical custody and maintenance of airman medical records to guarantee both legal and medical confidentiality of all airman cases submitted for review. This includes microfilm and electronic medical records along with various pathological entities of medicine and represent the largest collection of medical data concerning civilian Airman

Safeguarding personal information identifiers (PII) from disclosure outside of secure channels

Knowledge, experience, and understanding of medical terminology as it applies to the airman medical certification process

Effectively apply the skills and experience of CLIEs and CPAs to identify errors and or missing information in airman medical applications

Capacity to compose written correspondence to stakeholders that is clear, concise, and without spelling errors

Proficiency in a variety of computer hardware and automated software systems to review case and prepare written correspondence (e.g., Desktop and/or Laptop Computer, (Windows), office business applications (e.g. Microsoft Office), electronic medical record systems, web-based/internet applications, data entry applications (e.g.

spreadsheets, databases, etc.), common email applications (MS Outlook), etc.)

2.3 CLIE and CPA Tasks

It is the important for CLIEs and CPAs to ensure the following tasks are completed:

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Regularly update/maintain the Master Spreadsheet/Dashboard including the appropriate fields and prompts located on the Government SharePoint and annotate findings therein as to whether or not there is an enforcement action in DIWS

Process all LOI/EIR in a timely manner as necessary Correct all incorrect citations within one reporting cycle of notification. Reporting cycles are bimonthly (1-15th and 16th – end of month) Upon request of the Contracting Officer (CO) or Contracting Officer Representative

(COR), participates in case discussions.

2.4 Period of Performance (PoP)

The effort is expected to have a PoP of two years (24 months) established by the CO at contract award.

2.5 Working Hours

The Government's primary operational hours are Monday through Friday 6:00 AM to 6:00 PM. CST. Normal office hours are Monday through Friday from 8:00 AM to 4:30 PM CST.

No work shall occur on federal holidays or any other day(s) designated by Federal Statute, Executive Order, or Presidential Proclamation. No deferential pay or overtime rates will be authorized for this project.

CLIEs and CPAs contracted for their services under the ADCR need to be aware of normal office hours for coordination purposes with Government points of contact as needed, but need not comply with the same operation and office hours as the Government.

2.6 General Requirements

Contractors are expected to work remotely.

Contractors may be required to travel if/when the need arises.

Contractors must comply with the security requirements outlined in Section 5.0 -

Security.

Contractors will be assigned cases by the Government in the SharePoint on the

Master Spreadsheet/Dashboard.

Contractors must provide and maintain a schedule of availability to the Project

Administrator.

Contractors are not authorized to review airman disability cases outside of those assigned.

3.0 Government Furnished Equipment (GFE)

The Government will provide without cost a laptop computer with the appropriate applications in support of contract performance for use at the Contractor’s worksite. The GFE supplied to the Contractor must solely be used in performance of this contract. The Contractor must protect supplied GFE from loss, alteration, and damage.

The Contractor must return property to the Government at contract completion in the same condition as received, with reasonable wear and tear. The Contractor must reimburse the Government for repairs resulting from negligence in use of the GFE.

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The Government may reimburse Contractors for materials needed to support this contract upon written authorization by the CO. Materials will be reimbursed at cost up to the ceiling amount specified on the contract. Examples of peripherals are second monitors, key boards, headsets, printers, speakers, cameras, notepads, pencils, etc. Non-consumable material must be returned to the Government upon contract completion.

3.1 Obtaining Replacement of Government-Furnished Equipment

Contractors must submit requests for replacement of GFE to the COR for processing.

Such requests must specify the reason for the replacement request.

4.0 Contractor Furnished Property

Contractors must provide their own working space, office furniture, equipment, supplies, and materials necessary to successfully accomplish the requirements outlined in this PWS. The Government will not assume responsibility, nor be liable for the Contractor’s own property.

5.0 Security

Immediately following contract award, contract personnel must submit and complete information to support background investigations in Vendor Application Program (VAP) followed by the Government eQip system. Upon successful completion of the background checks, contract personnel will receive a Government Personal Identity Verification (PIV) Contractor Badges required to utilize the Government furnished laptop computer and access the sensitive systems and files related to this effort.

Contractors visiting Government facilities must be responsible for compliance with the security protocols for that location. These requirements include, but are not limited to, the use of authorized entrance and exit points, responsibility for securing doors, and protecting Government property from loss theft abuse or damage.

5.1 Safeguarding Airmen Sensitive but Unclassified (SBU) Information:

Contractors must:

Safeguard FAA Airman/ATC Medical Records Only access the FAA medical records assigned by the COR on the Master

Spreadsheet/Dashboard for review Do not discuss FAA Airman/ATC Medical Records with anyone who does not have a need to know Sign Non-Disclosure Agreements and Conflict of Interest Statements Provide proof of Liability Insurance within 30 days from contract award

6.0 Qualifications

It is imperative that CLIEs and CPAs are able to perform the requirements of this contract with only limited to no training on the systems, regulations, and documents that will be

Prepared by Katharine T. McCauley Page 7 needed for case reviews (i.e. DIWS, QMS, LOIs, EIRs, etc.). Thus, CLIEs and CPAs who support this effort must be former FAA LIESs and PAs who left the Government in good standing and who have knowledge and experience of Airman Medical Certification processes and systems within the last five years. The following will be expected from the CLIEs and CPAs who are to perform the work requirements of this effort:

Must be able to perform services on day one of review period IAW the requirements outlined in Section 2 – Scope of Work

Must have at a minimum 10 years in Aerospace Medicine LIE experience for CLIE positions and PA experience for CPA positions, or held other aerospace medical skills specific to airman medical applications that are substitutable for federal LIE and PA positions

Must be within five years or less since separating from the service in good standing Ability to use FAA’s DIWS and other systems as required as training to be provided for CLIEs and CPAs on this contract will be limited to only that which is needed to bring contract personnel up to date on the most current version of these systems

7.0 Contract Deliverables

Contractors must provide the following deliverables:

CDRL Description Due Date

1 Proof of Contractor Liability Insurance 30 days after contract award

2 Invoices Invoices must be submitted at the 1st and 15th of each month

3 Contract Review AADCR Status Reports require:

1. Updating the Master Spreadsheet/Dashboard

(AAM Special Projects Disability Review)

2. Preparing LOIs as needed

3. Generating EIRs as necessary with supporting information

4. Upon request of the CO/COR, CLIEs and CPAs must provide Case Summary Discussions

Status reports must be submitted at the 1st and 15th of each month by email to the CO and COR to accompany invoices submitted.

8.0 Travel

Contractors must be able to travel IAW the services outlined in this PWS to support this AADCR project, and will be subject to restrictions of the Integrated Management Team (IMT) and Center for Disease Control (CDC) recommendations. All travel on this contract must be IAW Federal Travel Regulations (FTR), contractually funded, and authorized in writing by the CO/COR of record.

Currently, the Government anticipates the possibility of two travel requirements during the PoP of this contract; however, additional travel may be required as deemed necessary by the Government. All travel requirements, to the greatest extent possible will be scheduled

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14 days in advance. The Government anticipates a post-award meeting within two weeks after contract award and may be held in person or virtually at the discretion of the Government. Accommodations will be made for those that are unable to travel.

9.0 Over and Above (O&A)

Additional services may be necessary to support the AADCR project. The CO may request a proposal from the Contractor should the need for additional support arise. All O&A’s must be incorporated into the contract via a modification that is bilaterally signed.

10.0 Quality Assurance

10.1 Objective

The Deputy Regional Flight Surgeon will perform periodic reviews of all assigned Airman Cases by surveillance of status reports and forward any concerns to the CO/COR for remediation. The goal is to address and avoid unacceptable or deficient performance, and provide verifiable input for performance evaluations and/or further case assignments.

All errors identified by the Government oversight teams will be reviewed and responded to by the contract personnel who originally conducted the review within five business days from notification. The Government oversight team will review the Contractor’s response to determine if indeed an error due to a poor assessment and/or inadequacies occurred.

Contractors do not have authority to access FAA medical records for cases they have not been assigned to work by the COR or other designee, and thus will not access cases that have not been assigned to them.

10.2 Surveillance Expectations

The COR will conduct performance evaluations based on the below table.

Surveillance

Reference Surveillance Threshold

Remedy

Cases are properly analyzed and do not contain errors due to poor assessments and/or inadequacies.

Section 2 No more than 2 validated defects per

5% will be deducted from the total amount of the next invoice following a validated error

DIWS Notes and other processes such as LOIs and EIRs must be professionally and adequately addressed IAW AMCD and AADCR SOP practices

Section 2 No more than 1 recorded defects per 8 hour period.

5% will be deducted from the total amount of the next invoice following a recorded validation

The Master Spreadsheet/Dashboard must be updated frequently by each CLIE and CPA assigned, but no less than once a week on the Friday of each week.

Section 7 No more than 1 recorded instance of incompliance per 8 hour period

5% will be deducted from the total amount of the next invoice

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11.0 General Information

11.1 Definitions/Acronyms

The following terms/acronyms utilized throughout this PWS are defined as follows:

Aerospace Medical Certification Subsystem (AMCS): The web application used by Aviation Medical Examiners and their staff to transmit FAA flight physical data to the FAA.

Aviation Safety (AVS): The FAA line of business responsible for the certification, production approval, and continued airworthiness of aircraft as well as certification of airmen, ATCs, mechanics, and others in safety-related positions.

Certificate Revocation - The FAA generally revokes an individual’s certificate or rating whenever he or she demonstrates a lack of willingness or ability to comply consistently with statutory or regulatory requirements. A lack of willingness or ability to comply may be demonstrated by such things as repeated or deliberate violations or by violations that involve grossly careless or reckless conduct. Even a single violation may be sufficient to warrant a conclusion an individual lacks qualifications. The FAA ordinarily revokes all certificates of a person who commits a violation involving intentional falsification. The Sanction of revocation of all airman certificates means that the FAA will revoke an airman’s medical certificate, pilot certificates and type ratings, and any other certificates held by the airman (i.e. A&P certificate).

Contract Discrepancy Report (CDR): A formal, written documentation of contractor non-compliance or lack of performance for contracted work that requires corrective action by the Contractor in coordination with the CO.

Contracting Officer (CO): The person authorized to act on behalf of the Government to negotiate and award contracts and modifications thereto, and to administer contracts through completion or termination. Except for certain limited authority delegated by the CO to a technical representative, the CO is the only individual with the authority to direct the work of the contractor.

Contracting Officer’s Representative (COR): An individual who is designated and authorized in writing by the Contracting Officer to perform specific technical or administrative functions.

following a recorded validation

Contractor will not access FAA medical records for cases they have not been assigned to work.

paras 2.6, 5.1, and 10.1

Any unauthorized access

Contract Discrepancy Report (CDR) will be submitted to the Contractor for corrective action

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Contractor: The term Contractor as used herein refers to both the prime Contractor and any subcontractors. The prime Contractor must ensure that subcontracts (if any) comply with the provisions of this contract.

DASHBOARD: The AAM Dashboard is the graphical user interface intended to provide at-a glance views of key performance indicators relevant to the AAMDCR Project. The AAM Dashboard serves to simplify and streamline processes of a project.

Defect: Each instance of noncompliance with a contract requirement. A defect may be caused by either noncompliance or poor performance.

Defective Service: A service output that does not meet the standard of performance associated with the PWS.

Deliverable: Anything that can be physically delivered to include non-manufactured things such as meeting minutes or reports.

Document Imaging Workflow System (DIWS): AMCD software that automates medical processing.

Enforcement Investigative Report (EIR): Determination of Facts/Evidence

FAA Airman Medical Certificate: “Acceptable evidence of physical fitness on a form prescribed by the Administrator.” The official document issued by the FAA-designated AME to demonstrate that the airman meets the appropriate medical standards to exercise the privileges of their pilot certificate.

Government-Furnished Equipment (GFE): Government owned equipment provided to the Contractor for use in fulfilling the terms of this contract.

Inspection: The comparison of services against contract requirements in order to establish conformance or non-conformance with contractual requirements.

Performance Work Statement (PWS): Document that describes the requirements and/or services, including performance standards for contractual services.

Personal identifiable Information (PII): Any representation of information that permits the identity of an individual to whom the information applies to be reasonable inferred by either direct or indirect means. Specifically, PII is defined as information that directly identifies an individual (e.g. name, address social security, etc.

Prompt Settlement Policy (PSP): The FAA has two Prompt Settlement Policies. In terms of this effort, “The Amended Prompt Settlement Policy for Legal Enforcement Actions involving Medical Certificate Related Fraud, Intentional falsification, Reproduction, or Alternation” which became effective January 31, 2022. It affords eligible individuals who hold an airman or ground instructor certificate, and who are the subject of a legal enforcement action for violating 14 C.F.R. § 67.403 (a), the opportunity to apply for a new airman or ground instructor certificate sooner than in the absence of this policy.

Information on how to participate in this Prompt Settlement Policy (PSP) I is made available at Airmen DUI/DWI, Law Enforcements Assistance Program (LEAP), and AAM.

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Quality Assurance (QA): The method used by the Government to check services to determine whether or not they meet the requirements of this contract.

Quality Control: All necessary measures taken by the Contractor to assure that the quality of an end product or service meets contractual requirements.

Quality Management System (QMS): AVS system that documents processes, procedures, and responsibilities for achieving quality policies and objectives

Surveillance: Planned or random observation of requirements of the PWS or services performed.

AAM Office of Aerospace Medicine AADCR AAM Airman Disability Case Review AMCD Aerospace Medical Certification Division AMCS Aerospace Medical Certification Subsystem AME Aviation Medical Examiner AVS Aviation Safety CAMI Civil Aerospace Medical Institute CDC Center for Disease Control CDR Contract Discrepancy Report CFR Code of Federal Regulations CLIE Contract Legal Instrument Examiner CPA Contract Program Analyst CMO Contract Medical Officer CO Contracting Officer COR Contracting Officer’s Representative DIWS Document Imaging Workflow System EIR Enforcement Investigative Report FAA Federal Aviation Administration FAR Federal Aviation Regulations FTR Federal Travel Regulations IAW In Accordance With IMT Integrated Management Team LOI Letter of Investigation MO Medical Officer O&A Over & Above CPA Program Analyst PII Personal Identifiable Information PIV Personal Identification Verification PoP Period of Performance PSP Prompt Settlement Policy PWS Performance Work Statement QA Quality Assurance

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QMS Quality Management System SBU Sensitive But Unclassified SIR Screening Information Request SOP Standard Operating Procedure VA Veterans Administration VAP Vendor Application Program

11.2 References

Contractors must ensure all work is in full compliance with regulations expressed in the following procedures, orders, and programs unless otherwise directed by the COR:

Title 14 C.F.R. § Part 67 eCFR :: 14 CFR Part 67 ‐‐ Medical Standards and Certification *1 AAM QMS: https://my.faa.gov/org/linebusiness/avs/programs/qms/qms_homeCPAges/aam.html *1 Medical Certification Manual Airmen Certification (faa.gov) Guide for Aviation Medical Examiners: www.faa.gov/go/AMEGuide Aeromedical Reference Manual:

(https://avssp.faa.gov/avs/aam/CAMI/AAM300/Medical%20Certification%20Manual/Forms/AllItems.aspx) FAA Acquisition Management Policy: http://fast.faa.gov/AMP_TOC.cfm FAA Acquisition Toolset: http://fast.faa.gov/ ID Badge Online Application: https://my.faa.gov/org/linebusiness/ash/programs/id_badge.html Orders and Notices:

http://www.faa.gov/regulations_policies/orders_notices/index.cfm/go/document.list/CPArent TopicID/184 SharePoint/Dashboard: avssp.faa.gov/avs/aam/AAMRegions/ASP/Site pages/Home.aspx

1 to include the Code of Federal Regulations (CFR) part 67, AAM-300 Quality Management System (QMS), Guide for Aviation Medical Examiners (AMEs), Aeromedical Reference Manual “RefMan”, and other pertinent instruction should it be required.