J-E1_Quality_Assurance_Surveillance_Plan_-_HQ0034-13-R-0048.pdf

J-E1 Quality Assurance Surveillance Plan

HQ0034-13-R-0048 – Fire Protection Engineering and Life Safety Services

QUALITY ASSURANCE SURVEILLANCE PLAN

CONTRACT NO. _____________

The QASP is published separately and is not part of the contract. It is issued with the RFP for informational purposes only. The QASP procedures can be changed unilaterally by the Government at any time. What cannot be changed without formal contract modification by the contracting officer is the Performance based Matrix that contains the outcomes and associated standards to be surveilled. This matrix is identical to the matrix in the contract. Any modifications made to the matrix in the contract must be reflected in this QASP.

Team Members Coordination & Review:

____________________________________________________ Date: ____________ Program Office

____________________________________________________ Date: ____________ Program Office COR

__________________________ __________________________ Date: ____________ Contracting Officer

__________________________ __________________________ Date: ____________ Contractor (After Award)

Quality Assurance Surveillance Plan (QASP)

1.0 Introduction

1.1 This QASP:

1.1.1 Identifies the services and products that will be measured.

1.1.2 Establishes the responsibilities for assuring quality performance.

1.1.3 Provides for feedback to the Contractor regarding quality, quantity, and timeliness of the service outputs.

1.1.4 Establishes timeframes for communicating performance improvements needed.

1.2 Since this is performance-based contract, the Government will validate in a timely manner the performance of the Contractor in meeting the services required. This QASP provides a systematic surveillance method for the services, and describes the methodology by which the Contractor's performance will be monitored.

1.3 This plan contains a Contractor Performance Report (Tab 2) to be utilized in documenting contractor interim, annual, and post contract performance. The Contractor Performance Report will be an additional device for motivating the contractor on the current contract. These reports will also become part of the electronic data basis ultimately consolidated under the Past Performance Information Retrieval System (PPIRS) for past performance evaluations for future contracts.

The COR should use this form as the primary motivational tool to encourage high quality contractor performance. The

CAUTION!

The notion of "Authority" is key to the successful surveillance of this contract. Contract authority is restricted to the 1 Contracting Officer (CO). However, the CO normally has minor day to day involvement in the contract. The contractor deals with the COR. A significant problem can occur if the Contractor alleges it acted by direction of the COR and the contract was constructively changed, that is informally changed.

The legal rule is that the Government is not bound by unauthorized acts of employees and the risk of dealing with unauthorized person falls on the contractor. However, the Government may be bound if the contractor can establish "implied authority," i.e., the courts will decided if a reasonable person could assume that the Government employee had the authority to take action because it appears to be an integral part of duties assigned. To avoid implied authority problems, remember that the COR only has that actual authority contained in their letters of appointment.

The other area of concern is "imputed knowledge." The CO is charged with knowledge that the COR has a duty to deliver to the CO. There is a legal principle that the nature of the relationship establishes a presumption that the authorized person will be informed.

Examples: non-disclosure of information to the contractor vital to performance but not normally available to contractor, knowledge of additional work, potential claims, and differing interpretations of the contract.

Remember: Keep the CO informed of all significant contract activities.

report will be generated yearly or more frequently if necessary to document outstanding or unsatisfactory performance.

The contractor should understand that these reports will remain in a database for three years and will be available to all government agencies for source selection purposes.

1.4 The contractor should understand that the top two scores (4 and 5) are only available if the contractor exceeds the Government requirements at no additional cost to the Government. The COR will identify the Government requirements that, if exceeded, will result in higher scores on the evaluation.

1.4.1 In general, many of the performance standards set forth in the contract represent the maximum performance level desired by the Government.

1.4.2 Contractor resources should be dedicated to maintaining these standards and not exceeding these standards if the Government will derive no benefit.

1.4.3 The Contractor may suggest other areas of performance that will benefit the Government in order to earn ratings of 4 and 5. For instance, the Government is interested in any activities by The Contractor that may reduce overall costs to the Government on this contract or subsequent contracts. These areas will be identified by the Government and may be changed unilaterally by the Government at any time.

1.5 Definitions

1.5.1 "Acquisition Team" consists of all participants in the contract including not only the contracting officer and COR, but also the customers they serve, and the contractor who provides the products and services. The role of each member of the Acquisition Team is to exercise personal initiative and sound business judgment in providing the best value product or service to meet the customer' s needs. All participants are responsible for making decisions that deliver the best value service to the customer. The result is a contract that works better and costs less,

1.5.2 "Conditional acceptance" means acceptance of supplies or services that do not conform to contract quality requirements, or are otherwise incomplete, that the contractor is required to correct or otherwise complete by a specified date,

1.5.3 "Contract quality requirements" means the technical requirements in the contract relating to the quality of the service and those contract clauses prescribing inspection, and other quality controls incumbent on the contractor, to assure that the product or service conforms to the contractual requirements.

1.5.4 "Government contract quality assurance" means the various functions, including inspection, performed by the Government to determine whether a contractor has fulfilled the contract obligations pertaining to quality and quantity.

1.5.5 "Major nonconformance" 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.

1.5.6 "Minor nonconformance" 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.

2.0 Method of Surveillance

2.1 The Performance-based Matrix at Tab 1 lists the services to be monitored and the standards to be applied.

2.2 This QASP is based on the premise that the Government desires to maintain a quality standard for required services.

2.3 The Contractor and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The role of the Government is quality assurance to ensure contract standards are achieved.

2.4 In this contract, the Contractor's inspection system (quality control program) is the basis for service quality. The Contractor is required to deliver only services that conform to or exceed the requirements of this contract.

3.0 Roles and Responsibilities of the Acquisition Team

3.1 Contracting Officer

3.1.1 The Contracting Officer has the overall responsibility for overseeing the Contractor's performance.

3.1.2 The CO will be responsible for monitoring the contractor's performance in the areas of contract compliance, contract management, and the resolution of all issues relative to the language of the contract.

3.1 .3 Although the CO will have overall responsibility for overseeing the Contractor's performance, the CO may delegate to the COR the responsibility for the day-to·day monitoring of the Contractor's performance in the areas of contract compliance, contract administration, property control; and reviewing the COR's and the customers' assessments of the Contractor's performance.

3.1.4 The CO has the sole authority to resolve all differences between the Government's version and the Contractor's version of the contract language. The COR has no authority to interpret contract language.

3.1.5 The CO is the:

3.1.5.1 SOLE authority for any decisions that produce an increase or decrease in the scope of the Contract

3.1.5.2 SOLE authority for any actions subject to the "Changes" clause;

3.1.5.3 SOLE authority for any decision rendered under the " Disputes" clause;

3.1.5.4 SOLE authority for negotiation modifications to the contract;

3.1.5.5 SOLE authority to approve the substitution or replacement of key personnel;

3.1.5.6 SOLE authority to approve the Contractor's invoices for payment;

3.1.5.7 SOLE authority to monitor and enforce Department of Labor promulgated labor requirements;

3.1.5.8 SOLE authority to arrange and supervise quality assurance activities under this contract;

3.1.5.9 SOLE authority to determine the acceptability Contractor's inspection system or Quality Control Program.

3.2 The COR

3.2.1 Verifies that the contractor fulfills the contract quality requirements;

3.2.2 Ensures that nonconformances are identified, and establishes the significance of a nonconformance when considering the acceptability of supplies or services that do not meet contract requirements.

3.2.3 Develops and applies efficient procedures for performing Government contract quality assurance actions under the contract in accordance with the written direction of the contracting office;

3.2.4 Performs all actions necessary to verify whether the supplies or services conform to contract quality requirements;

3.2.5 Maintains, as part of the performance records of the contract, suitable records reflecting-

3.2.5.1 The nature of Government contract quality assurance actions. Including, when appropriate, the number of observations made and the number and type of defects; and

3.2.5.2 Decisions regarding the acceptability of the products, the processes. and the requirements. as web as action to correct defects.

3.2.6 Implements any specific written instructions from the CO;

3.2.7 Reports to the CO any defects observed in design or technical requirements. Including contract quality requirements;

3.2.8 Recommend any changes necessary to the contract. Specifications, instructions, or other requirements that will provide more effective operations or eliminate unnecessary costs.

3.2.9 Has primary responsibility for signing off on all invoices and documenting the inspection and evaluation of the Contractor's performance.

3.2.10 Works closely with the customer and the Contractor to ensure good communication and resolve any problems not requiring the CO's authority.

3.3 The Contractor: The contractor is responsible for carrying out its obligations under the contract by-

3.3.1 Controlling the quality of supplies or services;

3.3.2 Tendering to the Government for acceptance only those supplies or services that conform to contract requirements;

3.3.3 Ensuring that vendors or suppliers of raw materials. Parts, components, subassemblies, etc., have an acceptable quality control system;

3.3.4 Maintaining substantiating evidence, as required by the contract, that the supplies or services conform to contract quality requirements, and furnishing such information to the Government as required.

3.3.5 Provide and maintain an inspection system or program for the control of quality that is acceptable to the Government. The control of quality by the contractor may relate to, but is not limited to-- ·

3.3.5. 1 Testing and examination, to ensure that practices and equipment provide the means for optimum evaluation of the characteristics subject to inspection;

3.3.5.2 Reliability and maintainability assessment (life. endurance, and continued readiness);

3.3.5.3 Technical documentation, including drawings, specifications, handbooks, manuals, and other technical publications;

3.3.5.4 Preservation, packaging. packing, and marking; and

3.3.5.5 Procedures and processes for services to ensure that services meet contract performance requirements.

3.3.6 The contractor is responsible for performing all inspections and test required by the contract.

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

3.3.8 Participates as a member of the acquisition team in the management of the contract.

3.3.9 Ensures that non-conforming contract services are identified and corrected and the inspection system is revised to prevent recurrence.

3.3.10 Tenders to the Government for acceptance only those services thal conform to contract requirements.

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

3.4 Federal employees and contractor employees

3.4.1 Other than those mentioned above, no federal employees or contractor employees have the authority to modify this contract in any manner.

3.4.2 Report any instances of outstanding contractor performance or instances of failure to meet contractual requirements to the CO or COR.

4.0 Surveillance

The COR will evaluate the performance objectives through periodic inspections of the contractor's inspection system during each service month. The COR will also solicit customer input to evaluate the Contractor's performance. The COR should record both outstanding and unacceptable performance. See Tab 4 for a sample of a COR Monthly Evaluation Report.

4.1 The following information will be included:

4.1.1 Contract paragraph number referencing the requirement.

4.1.2 Short description of the requirement being surveilled.

4.1.3 Date, time, and location of surveillance.

4.1.4 Results of surveillance.

4.1.5 Signature of individual accomplishing the surveillance.

4.2 All performance will be documented, whether acceptable or unacceptable.

4.3 When unacceptable performance is documented, the COR will take the following actions:

4.3.1 If Government actions or non-actions caused the unacceptable performance, take steps to prevent it in the future.

4.3.2 If the unacceptable performance was not caused by the Government, inform the Contractor's Quality Control representative of the unacceptable performance and the reasons why it is unacceptable.

4.3.3 If the Contractor wants to dispute the results of the surveillance, refer the Contractor to the CO for resolution.

4.3.4 Performance will be determined unacceptable only after all contributing factors have been considered.

4.4 The Government reserves the right to periodically inspect all services and deliverables prior to acceptance regardless if it is shown on the Performance-based Matrix.

4.5 In reviewing the inspection system initially at your office, make sure that the actual inspections promised are performed. the results 'reported, any corrective action noted, any required follow up action indicated and subsequently taken, and that the company performs an audit of the system outside The supervisory organization.

4.6 At your discretion, inspect the actual work to validate the accuracy of the inspection reports.

4.7 Monetary deductions are a remedy of last resort. If the contractor can redo or perform the work within the contract schedule they should be permitted to do so. This would then constitute acceptable work. If the work cannot be reperformed within the contract schedule, then provide the CO with a recommended deduction. Deductions should be calculated in the following manner:

4.7.1 Reduce the value of the contract price by the value of the work not performed. That is, recommend a deduction of the value of the labor required to have performed the task correctly.

4.7.2 Deduct the value of all your time spent handling the non-performance. Do not deduct the time it took 10 perform the original inspection. Do deduct the lime spent plus travel for any reinspection.

4.7.3 Deduct the value of Ihe contractor's non-performance of their proposed quality control effort . Normally, this will be the amount of time their inspection system stated would be devoted to checking the performance of this requirement.

4.8 Unless a safety issue is involved, do not direct contractor employees to do any work or rework. Always notify the contractor supervisor of the deficient performance. h is generally a good practice to conduct the inspection of the contractor's work accompanied by the contractor supervisor. This joint inspection should be un announced.

4.9 Maintain a detailed record of all quality assurance performance to include all communications with the contractor supervisor.

4.10 You are not the contractor's primary inspector. The contractor is responsible for assuring performance that meets the contract standards.

4.11 Keep the CO over-informed. You can never provide the CO with too much information. Documentation is essential for both inadequate as well as exceptional performance.

5.0 Standards

The contractor shall meet all standards in the Performance-based Matrix as well as all other deliverable dates and other contractual requirements.

For fixed price orders, the Government pays for results only. In this case, failure to meet a standard constitutes breach of contract. The Government is entitled to consideration from the Contractor for breach of contract for failure to meet contract requirements.

5.1 All work shall be performed in accordance with the contract. The COR will not consider the services complete until all unacceptable performance has been corrected.

5.2 The COR will determine whether the failure was a minor non-conformance or a major no n ~conformance. (See paragraph 6.3 and Tab 5 for a decision matrix for Nonconforming Performance of fixed price contracts.)

6.0 Procedures

The Government will inspect performance to ensure Contractor compliance and record results of inspection, noting the date and time of inspection.

6.1 Unacceptable performance and customer complaints shall be referred to the COR for investigation/validation. The COR will investigate/validate the unacceptable performance or customer complaint and otify the Contractor's Quality Control representative. The Contractor will be given a reasonable amount of time to correct the unacceptable performance

Failure to meet a standard is inexcusable unless the contractor can establish all of the following:

1. The non-performance or lateness is not the contractor's fault;

2. The cause of the non-performance or lateness was not foreseeable;

3. It was beyond the contractor's control to anticipate the cause of the non-performance or lateness by taking other actions such as arranging backup suppliers. departing earlier for the worksite or having backup cleared employees on call.

and notify the COR that the deficiency has been corrected. If deficiencies are not corrected, the COR will notify the CO and recommend a course of action.

6.2 Nonconforming supplies or services.

6.2.1 The COR should make a recommendation to the CO to reject supplies or services not conforming in all respects to contract requirements. In those instances where deviation from this policy is found to be in the Government's interest, such supplies or services may be accepted only as authorized in this section.

6.2.2 The CO ordinarily must give the contractor an opportunity to correct or replace nonconforming supplies or services when this can be accomplished within the required delivery schedule. Correction or replacement must without additional cost to the Government.

6.2.3 The CO ordinarily must reject supplies or services when the nonconformance is critical or major or the supplies or services are otherwise incomplete. However, there may be circumstances (e.g., reasons of economy or urgency) when the COR determines acceptance or conditional acceptance of supplies or services is in the best interest of the Government.

6.2.4 The COR must make this determination based upon-

6.2.4.1 Advice of the technical activity that the item will perform its intended purpose;

6.2.4.2 Information regarding the nature and extent of the nonconformance or otherwise incomplete supplies or services;

6.2.4.3 A request from the contractor for acceptance of the nonconforming or otherwise incomplete supplies or services (if feasible);

6.2.4.4 A recommendation for acceptance, conditional acceptance, or rejection. With supporting rationale; and

6.2.4.5 The contract adjustment considered appropriate, including any adjustment offered by the contractor.

6.2.5 Before making a decision to accept, the COR must obtain the concurrence of the activity responsible for the technical requirements of the contract.

6.2.6 If the nonconformance is minor, the COR may make the determination to accept or reject, except the authority to reject is withheld by the CO.

6.2.7 The COR must discourage the repeated tender of nonconforming supplies or services, including those with only minor nonconformances, by appropriate action, such as rejection and documenting the contractor's performance record.

6.2.8 When supplies or services are accepted with critical or major nonconformances, the CO must modify the contract to provide for an equitable price reduction or other consideration. In the case of conditional acceptance, amounts withheld from payments generally should be at least sufficient to cover the estimated cost and related profit to correct deficiencies and complete unfinished work.

6.2.9 The COR must document in the contract file the basis for the amounts withheld. For services, the COR can consider identifying the value of the individual work requirements or tasks (subdivisions) that may be subject to price or fee reduction. This value may be used to determine an equitable adjustment for nonconforming services. However, when supplies or services involving minor nonconformances are accepted, the contract need not be modified unless it appears that the savings to the contractor in fabricating the nonconforming supplies or performing the nonconforming services will exceed the cost to the Government of processing the modification.

6.2.10 Notices of rejection issued by the CO must include the reasons for rejection and be furnished promptly to the contractor. Promptness in giving this notice is essential because, if timely nature of rejection is not furnished, acceptance may in certain cases be implied as a matter of law.

6.2.11 The notice will be in writing if-

6.2.11.1 The supplies or services have been rejected;

6.2.11.2 The contractor persists in offering nonconforming supplies or services for acceptance; or

6.2.11.3 Delivery or performance was late without excusable cause.

7.0 Contract Performance Evaluation

7.1 FAR 42.15 - Contractor Performance Information establishes the Government responsibility for recording and main wining contractor performance information. This requirement does not apply to procedures used in determining incentive awards or other incentive systems. Although the two systems should be mutually supporting.

7.2 FAR 42.1501 states: Past performance information is relevant information for future source selection purposes.

regarding a contractor's actions under previously awarded contracts. It includes. for example, the contractor's record of conforming to contract requirements and to standards of good workmanship; the contractor's record of forecasting and controlling costs; the contractor's adherence to contract schedules, including the administrative aspects of performance;

the contractor's hi story of reasonable and cooperative behavior and commitment to patient satisfaction; and generally, the contractor's business-like concern for the interest of the patient.

7.3 The general procedures to be used are addressed in the following FAR section.

FAR 42.1503 Procedures

(a) Agency procedures for the past performance evaluation system shall generally provide for input to the evaluations from the technical office, contracting office and, where appropriate, end users of the product or service.(b) Agency evaluations of contractor performance prepared under this subpart shall be provided to the contractor as soon as practicable after completion of the evaluation. Contractors shall be given a minimum of 30 days to submit comments, rebutting statements, or additional information. Agencies shall provide for review at a level above the contracting officer to consider disagreements between the parties regarding the evaluation. The ultimate conclusion on the performance evaluation is a decision of the contracting agency. Copies of the evaluation, contractor response, and review comments, if any, shall be retained as part of the evaluation. These evaluations may be used to support future award decisions, and should therefore be marked "Source Selection Information."

7.4 The form at Tab 2 will be completed at least annually and more frequently if necessary to motivate or reward the contractor.

TAB 1

PERFORMANCE BASED MATRIX

Desired End Result Features of End Result Required Standard Contractor shall provide Fire prevention engineering support that continuously improves the effectiveness and efficiency of the FSD fire prevention program.

Quality of analysis and recommendations

100% of the analysis conducted is thorough, accurate, fully documented, supported and substantiated; recommendations are logical, consistent with data collected and recommendations made sufficiently detailed to justify conclusions and based on relevant standards and codes.

Timeliness

100% of deliverables and reports are submitted on or before the required due date.

Innovation Identification

Consistently reviewing the latest fire prevention and life safety developments and recommending them to the fire marshal.

Proactive facilities surveillance

Consistent vigilance of actual or potential fire and life safety threats and deficiencies.

Flexibility and responsiveness

100% of the time contractor responds to emergency events incidents and to change in scheduled events as notified.

Independent Performance

100% of the time Contractor executes work independently without relying upon the Government for information or other assistance that a competent contractor would typically be expected to do.

TAB 2

CONTRACTOR PERFORMANCE REPORT

Standard Evaluation

Contract Data

Evaluation Type: Interim___ Final___ (check one) Evaluating Organization: Reporting Period From: To:

Contracting Office: Contract Number: Order Number:

Contractor Name: Contractor Address:

DUNS: City: State:

Additional or Alternate Contact Name:

Zip/Postal Code: Country:

TIN:

Industrial Code (NAICS): Commodity Code: Contract Type:

Contract award Date: Contract Expiration Date: Contract Value:

Requirement Description:

Ratings

Summarize contractor performance and check the number that corresponds to the rating of each rating category (See attached rating Guidelines).

Quality of Product or Service _0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Quality of Product or Service (2000 characters maximum)

Cost Control (Rating Comments for Cost Control are not required if contract type is Fixed Price _0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Cost Control (2000 characters maximum)

Timeliness of Performance _0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Timeliness of Performance (2000 characters maximum)

Business Relations _0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Business Relations (2000 characters maximum)

Overall _0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Overall (2000 characters maximum)

Additional Info Contractor Key Personnel

Contractor Manager/Principal Investigator (name):

Government Comment on Contractor Manager/Principal Investigator (2000 characters maximum):

Contractor Key Person (name):

Government Comment on Contractor Key Person (2000 characters maximum):

Contractor Key Person (name):

Government Comment on Contractor Key Person (2000 characters maximum):

Subcontracts

Are subcontracts involved? __ Yes __No (Check one) Government Comment on subcontracts (2000 characters maximum):

Small Business Subcontracting Plan

Did the contractor make a good faith effort to comply with its subcontracting plan consistent with the goals and objectives, reporting and other aspects of the plan? __Yes __No __N/A (Check one)

If this is a bundled contract, did the contractor meet the goals and objectives for small business participation?

__Yes __ No __N/A (Check one)

Government Comments on Small Business Subcontracting Plan (2000 characters maximum):

Small Disadvantaged Business Goals

Did the contractor make a good faith effort to comply with its subcontracting plan consistent with the goals and objectives, for small disadvantaged business (SDB) participation, monetary targets for SOB participation, and required notifications? __Yes __No __N/A (Check one)

Government Comments on Small Disadvantaged Business Goals (2000 characters maximum):

Customer Satisfaction

Is/was the contractor committed to customer satisfaction? ___ Yes __No (Check one)

Would you recommend the selection of this firm again? FINAL REPORT ONLY - ___ Yes ___No (Check one)-

Government Comments on Customer Satisfaction (2000 characters maximum):

Admin Info

COR:

Name:

Phone:

Fax:

Email Address:

Contractor Representative Name:

Phone:

Alternate Contractor Representative (Required to insure that at least one person is notified of Evaluation)

Phone:

Contracting Officer:

Phone:

Contractor Comments

Quality of Product or Service

___Contractor has elected not to comment

Contractor Comments for Quality of Product or Service (2000 characters maximum):

Cost Control

____Contractor has elected not to comment

Contractor Comments for Cost Control (2000 characters maximum):

_____Contractor has elected not to comment

Contractor Comments for Timeliness of Performance(2000 characters maximum):

Contractor Comments for Business Relations (2000 characters maximum):

Overall Comments

Contractor Comments for Overall Comments (2000 characters maximum):

Rating Guidelines

Quality of Product or Service

_0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding

Unsatisfactory Non-conformances are jeopardizing the achievement of contract requirements, despite use of

Agency resources. Recovery is not likely. If performance cannot be substantially corrected, it constitutes a significant impediment in consideration for future awards containing similar requirements.

Poor Overall compliance requires significant Agency resources to ensure achievement of contract

Requirements

Fair Overall compliance requires minor Agency resources to ensure achievement of contract Requirements.

Good There are no, or very minimal, quality problems, and the Contractor has met the contract

Requirements.

Excellent There are no quality issues and the Contractor has substantially exceeded the contract performance requirements without commensurate additional costs to the Government.

Outstanding The contractor has demonstrated an outstanding performance level that was significantly in excess of anticipated achievements and is commendable as an example for others, so that it justifies adding a point to the score. It is expected that this rating will be used in those rare circumstances where contractor performance clearly exceeds the performance levels described as "Excellent".

Cost Control (Generally not applicable to Firm-fixed-price contracts)

_0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding

Unsatisfactory Ability to manage cost issues is jeopardizing performance of contract requirements, despite use of

Agency resources. Recovery is not likely. If performance cannot be substantially corrected. this level of ability to manage cost issues constitutes a significant impediment in consideration for future awards.

Poor Ability to manage cost issues requires significant Agency resources to ensure achievement of contract requirements.

Fair Ability to control cost issues requires minor Agency resources to ensure achievement of Contract requirements.

Good There are no, or very minimal. Cost management issues and the Contractor has met the contract

Excellent There are no cost management issues and the Contractor has exceeded the contract requirements. achieving cost savings to the Government.

Outstanding The contractor has demonstrated an outstanding performance level that justifies adding a point to the score. It is expected that this rating will be used in those rare circumstances where the contractor achieved cost savings and performance clearly exceeds the performance levels described as "Excellent ".

_0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding

Unsatisfactory Delays are jeopardizing the achievement of contract requirements. despite use of Agency resources. Recovery is not likely. If performance cannot be substantially corrected, it constitutes a significant impediment in consideration for future awards.

Poor Delays require significant Agency resources to ensure achievement of contract

Fair Delays require minor Agency resources to ensure achievement of contract

Good There are no, or minimal, delays that impact achievement of contract requirements.

Excellent There are no delays and the contractor has exceeded the agreed upon time schedule.

Outstanding The contractor has demonstrated an outstanding performance level that justifies

Adding a point to the score. It is expected that this rating will be used in those rare circumstances where contractor performance clearly exceeds the performance levels described as "Excellent".

_0=Unsatisfactory _1= Poor _2=Fair _3=Good _4=Excellent _5=Outstanding

Unsatisfactory Response to inquiries and/or technical. service. administrative issues is not effective. If not substantially mitigated or corrected it should constitute a significant impediment in considerations for future awards.

Poor Response to inquiries and/or technical. service, administrative issues is marginally effective.

Fair Response to inquiries and/or technical. service, administrative issues is somewhat effective.

Good Response to inquiries and/or technical. service. administrative issues is Consistently effective.

Excellent Response to inquiries and or technical. service, administrative issues exceeds Government expectation.

Outstanding The contractor has demonstrated an outstanding performance level that justifies Adding a point to the score. It is expected that this rating will be used in those rare circumstances where contractor performance clearly exceeds the performance levels described as "Excellent".

TAB 3

NON-CONFORMING DELIVERABLES

(Fixed Price)

Non-Conforming Performance Minor Non-Conformance

If Then Consideration Consideration would be less than the cost of modifying the contract ($50)

Accept as is (once) None

Consideration would be greater than the cost of modifying the contract

Accept as is (once) Consideration comparable to the value of the loss sustained by the Government

Major Non-Conformance If Then Consideration The contractor agrees to correct the re-perform the service within the delivery schedule.

Withold acceptance until receipt of the corrected service

Cost to re-inspect or retest

The contractor agrees to correct the deliverable (or re-perform the service) gut needs an extension of the delivery date

Withhold acceptance until receipt of the corrected service

Cost to re-inspect or retest

Appropriate consideration for the delay

Acceptance:

Would not affect safety or performance, and Is justified on the basis of economy or urgency

Accept as is Consideration comparable to the value of the loss sustained by the Government.

The contractor refuses to perform or re-perform service or provide appropriate consideration.

Either:

Correct the service through other means (contract or in-house), or Terminate for default and re-procure.

Contractor to pay all costs for the correction or re-procurement.

TAB 4

SAMPLE MONTHLY SURVEILLANCE LOG

(MUST BE CONSISTENT WITH PERFORMANCE- BASED MATRIX)

(ATCH)

ORDERING OFFICE

CONTRACT NO: PUT MATRIX END RESULTS AS 1-8 LEFT COLUMN!!!

COMPANY NAME:

EVALUATION PERIOD (MONTH/YEAR):

PERFORMANCE

OBJECTIVE

PWS

PARA

PERFORMANCE

THRESHOLD

METHOD OF

SURVEILLANCE

FAILS* MEETS* EXCEEDS*

1.Transition Planning:

Contractor conforms to the objectives of their transition plan to allow a smooth transition with the incumbent contractor

Contractor receives less than five (5) valid customer complaints during the transition period. The contractor successfully completes their transition 100% during the period

Customer Complaint Record

2.Quality of Service:

Contractor conforms to contract requirements and standards

Contractor receives less than five (5) valid customer complaints per year. The contractor successfully resolves customer complaints within ONE work-day of receipt, 100% of the time, or other such time periods and numbers of complaints as agreed by the Govt.

3. Schedule:

Contractor conforms to performance schedule

Contractor performs tasks within their schedule 95% of the time. Provides notification to the Govt. of schedule delay within 2 work-days.

4. Business Relations:

Contractor interacts seamlessly with the Government as well as internal/external customers. Contractor maintains a non-personal relationship with the Government with continued awareness of Government /Contractor relationships.

Contractor receives less than five (5) valid customer complaints per year. The contractor successfully resolves customer complaints within ONE work-day of receipt, 100% of the time, or other such time periods and numbers of complaints as agreed to by the Govt.

5. Cost Control:

(Not Applicable to

FFP contacts) Contractor effectively forecasts, manages and controls cost.

6.Management of Personnel:

Contractor selects, retains, and replaces personnel when necessary

*F=Fails to Meet Performance Threshold M= Meets Performance Threshold E=Exceeds Performance Threshold

COR DATE

*Please provide a detailed explanation of how the contractor failed or exceeded Performance Threshold

TAB 5

CUSTOMER INPUT RECORD

CUSTOMER INPUT RECORD

DATE/TIME OF INPUT

SOURCE OF COMPLAINT

Organization Location Individual Phone Number:

NATUREOFCOMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

FAR 46.407 Nonconforming supplies or services.

(a) The contracting officer should reject supplies or services not conforming in all respects to contract requirements (see 46.102). In those instances where deviation from this policy is found to be in the Government's interest, such supplies or services may be accepted only as authorized in this section.

(b) The contracting officer ordinarily must give the contractor an opportunity to correct or replace nonconforming supplies or services when this can be accomplished within the required delivery schedule. Unless the contract specifies otherwise (as may be the case in some cost-reimbursement contracts), correction or replacement must without additional cost to the Government. Paragraph (e)(2) of the clause at 52.246-2, Inspection of Supplies-Fixed-Price, reserves to the Government the right to charge the contractor the cost of Government re-inspection and retests because of prior rejection.

(c)(1) In situations not covered by paragraph (b) of this section, the contracting officer ordinarily must reject supplies or services when the nonconformance is critical or major or the supplies or services are otherwise incomplete. However, there may be circumstances (e.g. reasons of economy or urgency) when the contracting officer determines acceptance or conditional acceptance of supplies or services is in the best interest of the Government. The contracting officer must make this determination based upon-

(i) Advice of the technical activity that the item is safe to use and will perform its intended purpose;

(ii) Information regarding the nature and extent of the nonconformance or otherwise incomplete supplies or services;

(iii) A request from the contractor for acceptance of the nonconforming or otherwise incomplete supplies or services (if feasible);

(iv) A recommendation for accept ance, conditional acce ptance, or rejection. with supporting rationale; and

(v) The contract adjustment considered appropriate. incl uding any adjustme nt offered by the contractor.

(2) The cognizant contract administration office, or other Government activity directly involved, must furnish this data to the contracting officer in writing, except that in urgent cases it may be furni shed orally and later con finned in writing.

Before making a decision to accept, the contracting officer must obtain the concurrence of the activity responsible for the technical requirements of the contract and, where health fac tors are involved, of the responsible health official of the agency concerned.

(d) If the nonconformance is minor, the cognizant contract administration office may make the determination to accept or reject, except where thi s authority is withheld by the contracting office of the contracting activity. To assist in making this determination, the contract administration office may establish a joint contractor-contract administrative office review group. Acceptance of supplies and services with critical or major nonconfonnance is oUlside the scope of the review group.

(e) The contracting officer must di scourage the repeated tender of nonconforming supplies or services, including those with only minor nonconformances, by appropriate action, such as rejection and documenting the contractor's performance record.

(f) When supplies or services are accepted with critical or major nonconformance as authorized in paragraph (c) of this section, the contracting officer must modify the contract to provide for an equitable price reduction or other consideration.

In the case of conditional acceptance, amounts withheld from payments generally should be at least sufficient to cover the estimated cost and related profit to correct deficiencies and complete unfinished work. The contracting officer must document in the contract file the basis for the amounts withheld. For services, the contracting officer can consider identifying the value of the individual work requirements or tasks (subdivisions) that may be subject to price or fee reduction. This value may be used to determine an equitable adjustment for nonconforming services. However, when supplies or services involving minor nonconformance are accepted, the contract need not be modified unless it appears that the savings to the contractor in fabricating the nonconforming supplies or performing the nonconforming services will exceed the cost to the Government of processing the modification.

(g) Notices of rejection must include the reasons for rejection and be furnished promptly to the contractor. Promptness in giving this nmice is essential because, if timely nature of rejection is not furnished, acceptance may in certain cases be implied as a matter of law. The notice must be in writing if-

(1) The supplies or services have been rejected at a place other than the contractor's plant;

(2) The contractor persists in offering nonconforming supplies or services for acceptance; or

(3) Delivery or perfonnance was late without excusable cause.