FSU Performance Plan.docx

PERFORMANCE PLAN

FOR

Air Force Research Laboratory (AFRL) Research Facilitation in Former Soviet Union (RFFSU)

CONTRACT #:

Coordination and Review:

Functional Director

Contracting Officer

Prepared by Air Force Office of Scientific Research

(AFOSR)

INTRODUCTION

This Performance Plan (PP) has been developed in compliance with Air Force Instruction (AFI) 63-124, Performance-Based Service Acquisitions (PBSA). It is designed to meet the needs of the organization, assess contract success, assess and document contractor performance in accordance with the requirements set forth in the Performance Work Statement (PWS). The Performance Plan also provides the Quality Assurance Personnel (QAP) an effective and systematic surveillance method for each listed service. This performance plan implements the Multi-Functional Team (MFT) concept. The goal of the Multi-Functional Team is to give all members/stakeholders the ability to maintain the highest quality service to our customers and propose/initiate improvements throughout the life of the contract. Under this concept, continual contract assessment will focus on ensuring that the contract, as written, continues to meet the needs of the customer. The signatures, on the attached charter signature page, indicate membership in the MFT. Changes of team members will require an amendment to the charter signature page.

1. OBJECTIVE

The purpose of this effort is to seek qualified applicants for fundamental research and development (R&D) from the Former Soviet Union (FSU), administer the evaluation of the applicants, award and administration of grants to selected awardees.

This performance plan will provide oversight capability to ensure that the contractor is delivering products and services that conform to contract requirements. It will also identify the methods used for evaluation and surveillance of the contractor. Quality Assurance Personnel (QAP) will use 100% inspection and customer complaint surveillance methods to evaluate the contractor’s performance.

2. GOALS OF THE MULTI-FUNCTIONAL TEAM (MFT)

2.1. The MFT strives to achieve efficiencies in the contract performance and improve customer support. The team is composed of stakeholders in the acquisition process. The goal of the team is to define the requirement in performance-based terms, ensure contractor compliance with contract requirements and ensure that the contract, as written, continues to meet the needs of the functional organization. In addition, another goal is implementation and execution of the acquisition strategy to ensure support of the mission. The role of the MFT entails planning, programming, and budgeting for adequate funds, ensuring program execution within the approved funding, developing acquisition milestones, managing execution to ensure the contract supports mission requirements within the approved scheduled baseline, and ensuring the program maintains accountability, planning and management of this service.

3. ROLES AND RESPONSIBILITIES

3.1 Chief of the Contracting Office (COCO):

3.1.1. Serves as Business Advisor to AFOSR Director and Technical Directors (as appropriate).

3.1.2. Develops and implements acquisition strategies for service acquisitions.

3.1.3. Provides oversight of the Multi-Functional Team in planning, assessing Contractor performance, and managing the acquisition throughout the life of the requirement.

3.1.4. Updates the AFOSR Director and Technical Directors annually on the health of the service acquisitions.

3.1.5. Ensures personnel on the Multi-Functional Team receive the appropriate level of training to meet local needs.

3.2. Functional Director/Commander (FD/FC):

3.2.1. Assigns competent and capable functional experts to the Multi-Functional Team who will be available full time or as warranted by the procurement cycle. Functional experts assigned to the Multi-Functional Team shall:

3.2.1.1. Maintain functional knowledge.

3.2.1.2. Establish priority for continuing education.

3.2.1.3. Provide functional continuity and stability.

3.2.2. Ensure requirements documents developed by the Multi-Functional Team satisfy mission requirements, are performance based, foster innovation, and define metrics. Metrics should provide meaningful measurements of the contractor progress aimed at attaining desired outcomes. Identify mission essential services and develop the necessary documents in accordance with DoDI 3020.37, Continuation of Essential DoD Contractor Services During Crisis.

3.2.3. Assign primary and alternate QA personnel, unless another QA organization or method is used to satisfy surveillance requirements (e.g., centralized performance management office). QA personnel must be appointed and trained prior to assuming QA responsibility. This written appointment must be forwarded to the Contracting Officer (CO).

3.2.4. Review the QAP documentation on a regular basis to ensure performance is compatible with contract and mission objectives.

3.3. Contracting Officer (CO):

3.3.1. Participates in all Multi-Functional Team meetings.

3.3.2. Maintains the contract file, including records of training provided by contracting personnel.

3.3.3. Delegates authority for inspection and/or acceptance to QAP in accordance with the terms and conditions of the contract. Informs the contractor of the names, duties, and limitations of authority for all quality assurance personnel assigned to the contract.

3.4. Contract Negotiator/ Specialist/Administrator:

3.4.1. Participates in all team meetings and is responsible for taking minutes and maintaining a written record of team meetings, action items and milestones.

3.4.2. Ensures open communication is maintained between all parties during the life of the contract.

3.4.3. Issues contract modifications as necessary.

3.4.4. Takes appropriate action should unacceptable contract performance occur.

3.5. Quality Assurance Program Coordinator (QAPC):

3.5.1. Trains QAPs.

3.5.2. Maintains records of QA Appointments and documents Phase I and Phase II training.

3.5.3. Participates in the Multi-Functional Team meetings and any other team meetings, as requested.

3.5.4. Provides Functional Directors and Functional Commanders training.

3.6. Quality Assurance Personnel (QAP):

3.6.1. Participates (unless off-site) in the Acquisition Strategy Panel (ASP) and Multi-Functional Team meetings, evaluating proposals, assisting the Functional Director/Commander in preparing the Performance Work Statement (PWS) and Performance Plan (PP).

3.6.2. Performs inspections to evaluate and document the contractor’s performance, notifies the Contracting Officer of any significant performance deficiencies.

3.6.3. Maintains quality assurance file and recommends improvements to the surveillance procedures and PWS throughout the life of the contract.

3.7. Legal, Finance, and Engineering POCs: Other POCs shall coordinate, review and provide input as needed by the multifunctional team.

3.8. Contractor:

3.8.1. Complies fully with the terms and conditions of the contract.

3.8.2. Participates as a member of the multi-functional team in the post-award management phase.

3.8.3. Maintains and implements a Quality Control Plan (QCP) that compliments the performance plan.

3.8.4. Ensures that non-conforming contract services are identified and correct. QCP is revised to prevent recurrence.

3.8.5. Tenders to the Government for acceptance only those services that conform to contract requirements.

3.8.6. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

3.8.7. Participates in all team meetings and is responsible for taking minutes and maintaining a written record of team meetings, action items and milestones.

3.9. Multi-Functional Team (MFT): This is a customer-focused team composed of stakeholders in the acquisition process. The team provides support to the Air Force Executive Leadership (AFEL) as required, promotes good business decisions to meet customer requirements, fosters partnerships with industry to ensure exchanges of information with the contractor and other business experts, develops a performance-based acquisition strategy to include performance metrics, develops Performance Based Service Acquisition (PBSA) requirements, develops technical requirements and the independent government cost estimate.

The team is also responsible for managing contract performance in accordance with the Performance Plan, assessing and documenting contractor performance, identifying opportunities to improve performance, and completing and reporting annual performance reviews in the Contract Performance Assessment Reporting System (CPARS) as required and managing the acquisition in accordance with the Management Oversight of the Acquisition Service Process (MOASP).

All members of the functional team are responsible for determining if the contract continues to support the needs of the organization and notifying the Contracting Officer if it does not. In this context, members of the MFT should consider whether there are tasks covered by the contract which are no longer required, whether there are needs related to the contract’s purpose which are not covered by the contract but could or should be, and whether they have received any customer complaints regarding contract scope. All members of the MFT assist in contract assessment, determining whether or not the contract, as written, continues to effectively meet the needs of the customer. After contract award, the contractor may become a member of the MFT.

4. PERFORMANCE MANAGEMENT

4.1. Market research will be conducted as appropriate to circumstances.

4.2. Multi-Functional Team meetings will be scheduled throughout the life of the contract. Attendees at specific team meetings will vary based on the circumstances or issues to be covered at each meeting. The goal of the Multi-Functional Team is to give all members/stakeholders the ability to maintain the highest quality representative service to our customers and propose/initiate improvements throughout the life of the contract. Continual contract assessment will be focused on ensuring that the contract, as written, continues to meet the needs of the customer. Team members will consider whether the contract includes tasks which are no longer required; whether there are needs related to the contract’s purpose which are not covered by the contract; and whether any customer complaints regarding contract scope have been received. The success of the contract is dependent upon a combined effort of all members of the Multi-Functional Team.

4.3. All performance assessment data will be reviewed. If performance improvement is necessary, the corrective action will be requested from the contractor.

4.4. There will be no positive incentive other than award of the option years, and any negative incentive will be accomplished via the Inspection of Services clause or entry of appropriate reports in CPARS.

4.5. The Surveillance Procedures included within this Performance Plan will be used to measure the contractor’s performance on this acquisition. Procedures for reductions in fee or price when services do not meet contract requirements will be accomplished via the Government’s rights under the Inspection of Services Clause.

PERFORMANCE PLAN SURVEILLANCE PROCEDURES

PERFORMANCE ASSESSMENT INTRODUCTION

1. These surveillance procedures have been developed to implement Air Force Instruction (AFI) 63-124, Performance-Based Service Acquisition (PBSA). It is designed to provide the Quality Assurance Personnel (QAP) instructions on how to perform surveillance and document findings on this contract.

1.1. Under the Inspection of Services clause, the QAP has the right to inspect any aspect of the contractor performance at anytime during the contract performance, whether or not it is included on the Services Summary (SS) included in this Performance Plan. Non-SS items are to be developed by the QAP.

1.2. Any nonconformance with contract requirements is a “deficiency.” The term “deficiency” is used to refer to a service output in the SS that does not meet the outputs associated with the standard.

1.3. This Performance Plan (PP) is based on the premise that the contractor, and not the government, is responsible for the management and quality control actions to meet the terms of the contract. Performance Threshold contained in the SS recognizes that the contractor is not a perfect manager and that unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the contractor to operate within the specified Performance Thresholds. QAPs are to be objective, fair, and consistent in evaluating contractor performance against the standards.

1.4. The team will use the following approach to assess the contractor’s performance against the performance thresholds/metrics identified in the contract.

1.4.1. The Services Summary (Table 1) summarizes the performance objectives and performance thresholds required by the Government in the contractor’s performance. These performance objectives will directly relate to mission essential items. The performance thresholds briefly describe the minimum acceptable levels of service required for each objective, and are critical to mission success.

1.4.2. QAPs will perform quality assurance procedures contained herein.

2. PERFORMANCE SURVEILLANCE: The methods of surveillance that will be used are explained below:

2.1. Customer Complaint: When the customers discover unacceptable performance or a deficiency in service, he/she will prepare a customer complaint form, identifying the discrepancy. The customer will keep one copy and forward a copy to the QAP either manually or electronically. Customer complaints may be submitted on the Customer Complaint Record (CCR). If a customer notifies the QAP of a complaint, the QAP shall notify the CO who will determine the appropriate action. The CCR will then be submitted to the contractor for its corrective action (CA). When the contractor documents the corrective action proposed to prevent future deficiencies, the QAP will evaluate the proposed CA and forward the record to the Contracting Officer for final disposition. The Contracting Officer will, in turn, send copies of dispositioned CCRs to the QAP and the contractor for their records.

2.2. Periodic Surveillance: When periodic surveillance is used as the method of assessment, inspection shall be performed at the frequency identified for each Services Summary item. Valid deficiencies shall be forwarded to the contractor for its corrective action. When the contractor documents the corrective action proposed to prevent future deficiencies, the QAP will evaluate the proposed corrective action, and forward the information to the Contracting Officer for his/her records.

2.3. 100% Inspection: When 100% inspection is used as the method of assessment, all performance will be inspected each time the task is performed to ensure compliance. The results will be recorded on the Inspection Record. Valid deficiencies shall be forwarded to the contractor for their corrective action. When the contractor documents the corrective action proposed to prevent future deficiencies, the QAP will evaluate the proposed corrective action, and forward the information to the Contracting Officer for his/her records.

2.4. Random Inspection: Not applicable to this acquisition.

3.0. UNACCEPTABLE PERFORMANCE. The QAP must always notify the contractor of deficiencies observed. This may be accomplished in person or electronically, but any verbal communication must be supplemented in writing. The Contractor should sign the document upon notification by the QAP. If the contractor refuses to sign, an annotation will be made by the QAP of this refusal.

4.0. CONTRACTING OFFICER NOTIFICATION.

4.1. If at any time the QAP identifies a “Major nonconformance,” which IAW FAR Part 46.101, means a nonconformance, other than critical, that is likely to result in failure of the supplies or services, or to materially reduce the usability of the supplies or services for their intended purpose, the QAP shall document their findings and notify the Contracting Officer in writing. Email is acceptable, but deficiencies should be followed up in writing on a designated form in the Performance Plan.

4.2. When the QAP identifies a “Minor nonconformance” which IAW FAR Part 46.101, means a nonconformance that is not likely to materially reduce the usability of the supplies or services for their intended purpose, or is a departure from established standards having little bearing on the effective use or operation of the supplies or services, the QAP shall document the findings in writing and send information to the Contracting Officer.

5.0. REMEDIES FOR UNACCEPTABLE PERFORMANCE.

5.1. In accordance with the contract Inspection/Acceptance clause located at FAR 52.212-4(a), if any of the services do not conform to contract requirements, the Government may require the Contractor to perform the services again in conformity with contract requirements, at no cost to the Government. Corrective action may include but is not limited to termination of Contractor personnel and recruitment of qualified substitute personnel within established timeframes. When the deficiency in services cannot be corrected by re-performance, the Government may:

5.1.1. Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

5.1.2. Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

5.1.3. If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance is in conformity with contract requirements, the Government may:

5.1.3.1. By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

5.1.3.2. Decrease the invoice amount relative to performance

5.1.3.3. Issue a Cure Notice

5.1.3.4. Issue a Show Cause Notice

5.1.3.5. Terminate the contract

5.1.4. The Contracting Officer will determine the action to be taken against the contractor, such as reductions in fee/price in accordance with the Inspection/Acceptance clause. The CO’s disposition of the deficiency will be annotated on the CCR form and the QAP and contractor will be notified of the action.

6.0. QAP INSPECTION REPORT. QAP shall submit an assessment report and attach all Corrective Action Reports, Performance Assessment Reports, and validated customer complaints to the CO and FD no later than 5 working days following the month in which the actual surveillance occurred. The report shall be signed and dated by the QAP and provided to the FD regularly for review, prior to sending the information to the Contracting Officer. Validated customer complaints and all documentation will be used to support Contractor ratings in the Contractor Performance Rating System (CPARS).

Services Summary Table 1

Performance Objective

(PWS) Para

Performance Thresholds

Method of Surveillance

Frequency: As required

Complete internal review within 15 days and notify EOARD of any discrepancies.

Periodic Surveillance

Frequency: As required

Frequency: As required

Frequency: As required

Frequency: As required

Frequency: As required

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Customer Complaint Record Template, Feb 05 (SAF/AQCP) One copy each for Complainant, QAP, Contractor, and Contracting Officer

CORRECTIVE ACTION REPORT (CAR)

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

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

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

8. QUALITY ASSURANCE PERSONNEL (QAP)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. QAP RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. QAP DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

Customer Complaint Record Template, Feb 05 (SAF/AQCP One copy each for Complainant, QAP, Contractor, and Contracting Office

FA9550-12-D-0001

Attachment 2, Performance Plan 30 Nov 2011(R)

FA9550-12-D-0001

Attachment 2, Performance Plan 30 Nov 2011(R)

Corrective Action Report (CAR) Template, Feb 05 (SAF/AQCP)

Corrective Action Report (CAR) Instructions

Block 1. Enter Contractor Name.

Block 2. Enter Contract Number.

Block 3. Enter Contract Name or Type of Services.

Block 4. Enter Functional Area of the Contract.

Block 5. Enter the assigned suspense date given the contractor to provide a response to the CAR. A date must be entered for a Major CAR. A date is optional at the discretion of the Quality Assurance Personnel (QAP) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director is the Issuing Authority for his/her contract Quality Assurance Evaluators (QAEs) generating CARs. By providing the control number to the QAP originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The control number will be made up of the first two letters of the name of the site or contract, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding. See Performance Plan (PP), paragraph 6.1.4, for the definitions of Major and Minor findings and associated explanations.

2. Finding: Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, section, paragraph and subparagraph and must make a complete brief quotation of the contract reference.

3. State the impact that the finding has or could have on the accomplishment of the mission that the contract provides.

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires a greater amount of time to come to solution. Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the QAP initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract QAPs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the contractor’s reply, the originator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The QAP selects Accept or Reject after reviewing the contractor’s response.

Block 12. The QAP enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the contractor and report accordingly in the monthly Certificate of Service (COS) or other applicable contracting officer services report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the Issuing Authority forwards the open CAR back to the contractor for additional information.

Attachment 4 Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

CONTRACT DISCREPANCY REPORT (CDR)

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

1. CONTRACT NUIMBER

2. DATE

3. TO: (Contractor’s and Manager’s names)

4. FROM: (Name of QAP)

5. DISCREPANCY OR PROBLEM: (Describe in detail. Include reference to PWS requirement(s). If more space is needed, use reverse and identify by n

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

6. SIGNATURE OF QAP

7. TO: (QAP)

8. FROM: (Contractor)

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION, AND ACTIONS TO PREVENT RECURRENCE (Use reverse if needed.)

11. QAP EVALUATION (Acceptance, partial acceptance, rejection. Continue on reverse if needed.)

12. TO: (Contracting Officer)

13. FROM: (QAP)

14. GOVERNMENT ACTIONS (Reduced payment, cure notice, show cause, other.)

15. CONTRACTING OFFICER NAME: (TYPED OR PRINTED)

16. CONTRACTING OFFICER SIGNATURE AND DATE

Contract Deficiency Report (CDR) Template, May 06 Copy of completed form will be provided to QAP and Contractor

MULTI-FUNCTIONAL TEAM MEMBERSHIP

SIGNATURE PAGE

CONTRACT SUPPORT TO THE AIR FORCE OFFICE OF SCIENTIFIC RESEARCH (CSA)

Contract Number

The Multi-Functional Team (MFT) is formed in accordance with AFI 63-124 for all service acquisitions with an annual contract value above $100,000.00

The MFT functions as a team and exists throughout the life of the requirement. Each member is responsible for acquisition planning, development and market research. The group also works to define requirements, develop the solicitation, and execute performance management for the contract.

This signature page identifies the members of the MFT. By signing below, members are indicating their role as a participant of the MFT.

QUALITY ASSURANCE PROGRAM COORDINATOR DATE

Feb 1, 2007