S02 - ATTACHMENT 2 - QASP - AMS - V2.1 dated 9.26.24.docx

DEPARTMENT OF VETERANS AFFAIRS

Veterans Health Administration (VHA) Workforce Management and Consulting (WMC) Scholarships & Clinical Education (S&CE)

Health Professional Scholarship Program (HPSP) Application Management System (AMS) Project Management, Subscriptions, Configuration, Training and Support Services

Quality Assurance Surveillance Plan (QASP) September 26, 2024 Version 2.1

Contents

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Health Professional Scholarship Program (HPSP) Application Management System (AMS) Project Management, Subscriptions, Configuration, Training, and Support Services. This plan sets forth the procedures and guidelines the Workforce Management Consulting (WMC), Scholarship & Clinical Education (S&CE) Program will use in ensuring the required performance standards or services levels are achieved by the contractor.

0. Purpose

1.1.1. The purpose of the QASP is to describe the systematic methods used to monitor performance and identify required documentation and resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the PWS and the contractor’s quality control plan (QCP), and ensure the government pays only for the level of services received.

1.1.2. This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

0. Performance Management Approach

1. The PWS structures the acquisition around what service or quality level is required, as opposed to how the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by WMC S&CE Program to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

1.2.2. Performance management represents a significant shift from the more traditional quality assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, if the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract if the critical outcomes expected are being achieved and/or the desired performance levels are being met.

0. Performance Management Strategy

2. The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or subcontractors. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated government representative. The contractor’s QCP will also set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP enables the government to take advantage of the contractor’s QC program.

2. The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The government will make determinations regarding incentives based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

1. ROLES AND RESPONSIBILITIES

1. The Contracting Officer (CO/KO) The CO is responsible for monitoring contract compliance, contract administration, and cost control, and resolving any differences between observations documented by the Contracting Officer’s Representative (COR) and the contractor. The CO will designate one full-time COR as the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

1. The COR The COR is designated in writing by the CO to act as their authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or authorize any contractual changes on the government’s behalf. Any changes the contractor deems may affect contract price, terms, or conditions must be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

1. IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and Attachment 1, Performance Requirements Summary.

Performance Standards define required performance for specific tasks. The Government performs surveillance to determine if the Contractor exceeds, meets or does not meet these standards.

The Performance Metrics for Deliverables and Performance Standards are outlined in the Performance Work Statement (PWS). The schedule of deliverables is outlined in Section B of the contract/order. The Government may utilize a Performance Based Service Assessment Survey, or other method to compare Contractor performance to the Acceptable Levels of Performance (ALPs).

1. METHODOLOGIES TO MONITOR PERFORMANCE

0. Surveillance Techniques To minimize the performance management burden, simplified surveillance methods shall be used by the government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

Random sampling: Appropriate for frequently recurring tasks. Evaluate randomly selected samples of the lot to determine the acceptability of the entire lot (random inspection guide, method of surveillance, lot size, sample size, performance requirement, sampling procedure, and inspection procedure).

100% INSPECTION. (Evaluates all outcomes.): Appropriate for tasks that occur infrequently. Inspect and evaluate performance each time task is performed.

Periodic surveillance: Evaluation of samples selected on other than a 100 percent or statistically random basis (such as monthly, quarterly, or semi-annually).

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3. Customer Feedback The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems, but the customer always has the option to communicate complaints to the CO or COR, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR. The COR will accept those customer complaints and investigate.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

3. Acceptable Quality Levels Metrics and methods are designed to determine if performance meets or does not meet a given standard and ALP.

The ALPs are included in the Performance Metrics Section of the PWS (and at Attachment 1) for Contractor performance and are structured to allow the Contractor to manage how the work is performed, while providing negative incentives for performance shortfalls.

1. QUALITY ASSURANCE DOCUMENTATION

4. The Performance Management Feedback Loop The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and assessed using the performance monitoring techniques shown in Attachment 1.

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4. Monitoring Forms The government’s QA surveillance, accomplished by the COR will be reported using the monitoring form in Attachment 2. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure the required quality levels of services are being achieved.

The COR will retain a copy of all completed QA surveillance forms.

1. ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

5. Determining Performance The government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels. Section 6.0 of the PWS includes the performance metrics relevant to the requirement.

Quality of submission should also be considered. See examples below. Error rates or resubmits for content flaws would be the measures associated with these standards.

· Accuracy Work Products shall be accurate in presentation, technical content, and adhere to accepted elements of style.

· Clarity Work Products shall be clear and concise. Any/All diagrams shall be easy to understand and be relevant to the supporting narrative.

· Consistency to Requirements All work products must satisfy the requirements of this PWS.

· File Editing All text and diagrammatic files shall be editable by the VA in Windows-based or Adobe environments/platforms.

· Format - Follow specified VA Directives or Manuals and/or best business practices.

· Presentations - Presentations shall be clear, concise, executive-focused, and written in plain, clear English with minimal jargon, understandable by lay persons. The quality of deliverables directly contributes to organizational communications.

· Project Plan - Project Plan shall be comprehensive; recognize and address authority, perceptions, and concerns of stakeholders; incorporate scope of requisite requirements across the organization and/or agency.

· Reports - There shall be no omissions in the reports, documents or functional requirements.

· Publications and other documents - Deliverables shall be in formats appropriate to target audiences; user friendly, clear, thorough and comprehensive.

· Meeting support - Pre-meeting preparations and logistics; smooth meeting operations; comprehensive post-meeting summaries to include but not limited to: Minutes, Action Items, Attendees, Program Objectives and Milestones and major decision points.

· Analyses and Assessments - Analyses and assessments are performed with accuracy, completeness and adherence to industry best practices.

· Obtain stakeholder input. Deliverables shall consist of the timely implementation of input mechanisms, and shall consist of an accurate and comprehensive synthesis of results and recommendations. Integration of relevant stakeholder input documented for deliverable.

0. Acceptable Performance The Government shall document acceptable performance accordingly. Any report may become a part of the supporting documentation for any contractual action.

0. Unacceptable Performance When unacceptable performance occurs, the COR shall inform the CO. This will always be in writing although when circumstances necessitate immediate verbal communication, that communication will be followed in writing. The COR shall document the discussion and place it in the COR file.

When the CO determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the Contractor's program manager.

The Contractor shall acknowledge receipt of the CDR in writing to the CO. The CDR will state how long after receipt the Contractor has to take corrective action. The CDR will also 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 CO shall review the Contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for any contractual action deemed necessary by the CO.

5. Reporting

· Frequency of Measurement

· During contract/order performance, the COR will periodically analyze whether the negotiated frequency of surveillance is appropriate for the work being performed, and at a minimum shall be once a year.

· Frequency of Performance Assessment Meetings.

· The COR shall meet with the Contractor quarterly to assess performance and shall provide a written assessment to the CO.

5. Reviews and Resolution

2. The COR may require the contractor’s project manager or designated alternate to meet with the CO, PM, and other government personnel as deemed necessary to discuss the performance evaluation. The CO will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR, CO, and/or PM as often as required or per the contractor’s request. The agenda of the reviews may include:

· Monthly performance assessment data and trend analysis

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

· Recommendations for improved efficiency and/or effectiveness

· Issues arising from the performance monitoring processes

2. The COR and PM (if applicable) must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

2. The COR, PM (if applicable), and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the convenience of the procuring CO (PCO) or ACO.

ATTACHMENTS:

ATTACHMENT 1 – PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2 – SAMPLE QUALITY ASSURANCE MONITORING FORM

ATTACHMENT 3 – CONTRACT DEFICIENCY REPORT

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Required Services (Tasks) Performance Standards Acceptable Quality Levels Methods of Surveillance Incentive (Positive and/or Negative) (Impact on Contractor Payments)

· Efficient and effective in meeting requirements

· Meets technical needs and mission requirements

· Offers quality services/ products

(See Note 2)

· Products completed, reviewed, and delivered in a timely manner.

· Notifies customer in advance of potential problems and recommends solutions

(See Note 2)

· Personnel possess necessary knowledge, skills, and abilities to perform tasks

(See Note 2)

· Services/products delivered were of desired quality

· Proactively meets Government’s needs, including responding to changing requirements, systems, etc.

(See Note 2)

Note 1: Significant errors or omissions are defined as deliverables not meeting the intent of the task and the work considered to be within scope of this order.

Note 2: Continued repetitive errors may result in an unacceptable rating on performance report to be used as part of the evaluation criteria on future order competition.

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint LEVEL OF SURVEILLANCE (check):

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

ATTACHMENT 3: CONTRACT DEFICIENCY REPORT

CONTRACT DISCREPANCY REPORT

1. CONTRACT NUMBER

2. REPORT NUMBER FOR THIS DISCREPANCY

3. TO: (Contracting Officer)

4. FROM: (Name of COR)

5. DATES

a. CDR PREPARED

b. RETURNED BY CONTRACTOR:

c. ACTION COMPLETE

6. DISCREPANCY OR PROBLEM (Describe in detail. Include reference to PWS Directive; attach continuation sheet if necessary.)

7. SIGNATURE OF COR

Date:

9a. TO (Contracting Officer)

9a. FROM (Contractor)

10. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE. (Cite applicable quality control program procedures or new procedures. Attach continuation sheet(s) if necessary.)

12. GOVERNMENT EVALUATION. (Acceptance, partial acceptance, reflection. Attach continuation sheet(s) if necessary.

13. GOVERNMENT ACTIONS (Acceptance, partial acceptance, reflection. Attach continuation sheet(s) if necessary.)

14. CLOSE OUT

a. CONTRACTOR NOTIFIED

b. COR

c. CONTRACTING OFFICER

Version 03, Dated 09/01/2024, CRG Chapter 7 Appendix F COR Roles and Responsibilities image1.emf