RFP Attachment 4 - KMPNP Quality Assurance Surveillance Plan (QASP).pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

Knowledge Management for Prenatal and New Parents Contract Number: TBD

Contract Description: Beneficiary education for pregnancy and new parents via electronic platform

Contractor’s name: TBD

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

• What will be monitored?

• How monitoring will take place?

• Who will conduct the monitoring?

• How monitoring efforts and results will be documented?

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the contractor. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type: 52.246-4 Inspection of Services – Fixed-Price

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (KO) - The KO 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 KO shall also assure that the contractor receives impartial, fair, and equitable treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned KO: Robert LeBlanc Organization or Agency: Defense Health Agency

Telephone: 703-681-1790 Email: robert.e.leblanc6.civ@mail.mil

b. Contract Specialist (KS) - The KS acts as an acquisition consultant and serves as liaison between the Contract Operations Division – Falls Church (COD-FC) and the requesting program office, as well as liaison between the Defense Health Agency (DHA) and the supporting contracting office.

Assigned KS: N/A Telephone: N/A Email: N/A

c. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the KO, the COR shall provide documentation to the KO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the KO for action.

Assigned COR: Krystyna Bienia Telephone: 703-681-8263 Email: krystyna.m.bienia.civ@mail.mil

d. Other Key Government Personnel – None

3. CONTRACTOR REPRESENTATIVES:

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

a. Program Manager – TBD

b. Task Manager – TBD

4. PERFORMANCE STANDARDS.

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, paragraph 6.8.2 in the Performance Work Statement includes performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

Performance Objective Standard Performance

Threshold Method of Surveillance

PRS #1 Weekly Electronic Communications will be appropriate to gestational age or age of child based on enrollment information

Electronic communications will be appropriate to gestational age or age of child based on enrollment information

95% Random Sampling

PRS # 2 Resources and links are accurate and current

Resources and links are accurate and current

90% Periodic surveillance

PRS # 3 POCs shall receive technical support and educational opportunities.

Phone and email messages are responded to and completed in a professional supportive manner within 3 business days

95% Validated Customer complaint

PRS # 4 Correspondence with COR and POCs will be professional, timely, and succinct

Correspondence with COR , POCs and beneficiaries will be professional, timely and succinct

98% 100 percent inspection

5. INCENTIVES.

N/A

6. METHODS OF QA SURVEILLANCE.

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR shall always contact the contractor's task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with assistance from the COD KS, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard/AQL.

a. PERIODIC INSPECTION. Monthly check of surveillance logs, random sampling, or as otherwise requested/required.

b. VALIDATED USER/CUSTOMER COMPLAINTS. Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated.

c. Analysis of contractor's progress reports. Contractor will submit all invoicing in a correct and timely manner. All materials are subject to review and approval by COR.

Surveillance results may be used as the basis for actions against the contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the KO’s actions.

8. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

EXCEPTIONAL: Performance significantly exceeds contract requirements to the Government’s benefit.

SATISFACTORY: Performance meets contractual requirements.

UNSATISFACTORY: Performance does not meet contractual requirements.

9. DOCUMENTING PERFORMANCE.

Documentation must be accurate and thorough. Completeness, timeliness, and accuracy support both satisfactory and unsatisfactory performance

a. ACCEPTABLE PERFORMANCE.

The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, award fee payments, or other actions.

b. UNACCEPTABLE PERFORMANCE.

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

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

The contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment, or other actions deemed necessary by the KO.

10. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract/order performance, the COR shall take periodic measurements, quarterly as specified in the AQL column of the Performance Standards Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the contractor monthly or as required to assess performance and shall provide a written assessment as evidence.

Prepared by: Krystyna Bienia Psy.D.

Signature – Contracting Officer’s Representative

Reviewed by: Kim Kelley, MSN, RN, PMP

Signature

Approved by: Robert LeBlanc

Signature – Contracting Officer

PERFORMANCE REPORT

1. CONTRACT NUMBER:

2. Prepared by: (Name of COR)

3. Date and time of observation:

4. Observation:

Surveillance Method (Check one):

☐ Monthly ☐ 100% Inspection ☐ Periodic Inspection ☐ Customer Complaint

Level of Surveillance (Check one):

☐ Monthly ☐ Quarterly ☐ As Needed

Percentage of items sampled/reviewed during survey period (If applicable) _________%

Analysis of Results:

Observed Performance Measurement Rate _______%

Provider’s Performance (Check one): ☐ Meets Standards ☐ Does Not Meet Standards

Description of Survey Scope and Results:

Prepared by:

Signature – Contracting Officer’s Representative Date

CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number:

2. TO: (Contractor Task Manager or on-site representative)

3. FROM: (Name of COR)

4. Date and time observed discrepancy:

5. DISCREPANCY OR PROBLEM:

5. Corrective action plan:

A written corrective action plan ☐ is / ☐ Is Not required.

The written Corrective Action Plan, if required will be provided to the undersigned not later than three (3) days after receipt of this CDR.

Prepared by:

Signature – Contracting Officer’s Representative Date

Received by:

Signature - Contractor Task Manager or on-site representative Date

The COR may initiate a CDR at any time, including whenever the number of monthly recorded defects for a performance standard exceeds the allowable number of defects;

anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in contractor performance