Attachment9PerformancePlan.doc

HTC711-07-R-0001

Attachment 9

AGILE TRANSPORTATION FOR THE 21ST CENTURY

(AT21)

Performance Plan

March 2007

Dean Peebels

LISA A. GROSS

Program Manager

Contracting Officer

1.0. INTRODUCTION

This Performance Plan (PP) was developed in accordance with AFI 63-124, Performance-Based Service Contracts (PBSC), AT21 identifies and implements business processes and systems that enable USTRANSCOM’s distribution planning, transportation planning, and transportation execution activities. This PP sets forth the procedures and guidelines used by the Government to ensure the contractor achieves the required performance standards as specified in the PWS. The PWS contains a Service Delivery Summary (SDS) summarizing performance objective (service required) and performance thresholds (specific standard) contained within the body of the PWS. The SDS does not identify every service required, but only those services considered most important for mission accomplishment. This PP is based on the premise the contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The SDS recognizes the contractor is not a perfect manager and unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the contractor to meet or exceed the performance standards specified in the PWS.

2.0. PURPOSE. This PP is designed to accomplish the following:

2.1. Provide a systematic method to survey and evaluate contractor services to determine conformity with the technical requirements of the contract.

2.2. Define the roles and responsibilities of participating Government officials.

2.3. Describe the evaluation methods employed by the Government in assessing the contractor’s performance.

2.4. Describe the process of performance documentation.

3.0. ROLES AND RESPONSIBILITIES. The Government will monitor contractor performance on a continuing basis through a surveillance team consisting of the Contracting Officer (CO) and the Contract Officer Representative (COR). Government surveillance may occur under the Inspection of Services Clause for any service relating to the contract.

3.1. CO RESPONSIBILITIES. The CO has the overall responsibility for contract administration and is the primary focal point for formal Government-Contractor Interface. The CO is responsible for monitoring contractor compliance and resolving any and all disagreements regarding the interpretation of contract terms and conditions. The CO may call upon the expertise of other Government individuals as required. The CO is the only person who can authorize revisions to the contract. Additionally, the CO is responsible for approving the PP and any changes thereto.

3.2. COR RESPONSIBILITIES

3.2.1. The COR serves as a functional expert and is responsible for monitoring, assessing, recording and reporting the technical performance of the Contractor on a continuous basis. The COR schedules surveillance activities; evaluates and documents performance by the contractor; initiates requests for and evaluates adequacy of the corrective action and reports contractor performance of contractor requirements. CORs are sufficiently trained to perform the required duties and to ensure their knowledge of the terms and conditions of the contract.

3.2.1.2. The COR is to be objective, fair, and consistent in evaluating contractor performance against standards.

3.2.1.3. The COR will notify the CO immediately when an evaluation shows that performance does not meet the standards identified in this PP. For performance not meeting the prescribed documents the COR will initiate the following reports:

a. Performance Assessment Report (PAR)

1. COR must document performance assessment as it is accomplished. The PAR is an official government record of inspections of the performance objectives and other inspection items contained in this performance plan.

2. Completed PAR will be maintained in the COR performance assessment folder. At the completion of the contract, the COR will contact the CO for disposition instructions of the performance assessment reports. These reports can be maintained in hard-copy form as long as there is ample backup to preclude loss of data.

b. Corrective Action Report (CAR)

1. Used by COR to document contract requirement findings and subsequent corrective actions to be taken, the CAR is a written report.

2. The COR identifying the discrepancy is responsible for completing the CAR. If there are other questions as to how the CAR is completed, that individual should consult the Contracting Officer or Contract Administrator to give them the opportunity to assist them on the completion of the document. COR forward a copy of the initiated CAR to the Contracting Officer.

3. The COR will elevate any CARs that cannot be resolved with the contractor to the CO for resolution.

3.2.1.4 Categories of Findings. A finding is any Government-identified noncompliance with contract requirements that specifies that an activity or action did not take place or was not performed to the quality or timeliness standard required by the contract. A finding can be categorized as either Major or Minor. Findings will be documented in a CAR and must also be tracked in the activity log. Major/Minor Findings are defined as follows:

a. Major Finding. A conclusion that identifies a condition having a significant adverse effect on the quality of the activity under review such as:

1. Failure to meet a Performance Threshold.

2. Significant mission degradation in any Contractor operated function.

3. A situation that is likely to result in hazardous or unsafe conditions for individuals (or any other Government resource) coming into contact with the work.

4. Failure to provide adequate corrective action to preclude reoccurrence of government identified findings.

5. Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period

6. Any failure to adhere to security regulations that results in a security incident.

b. Minor Finding. A departure from established standards having little bearing on service provided. However, if the same minor finding is repeatedly identified, it may be an indication that Major Finding (a) above is occurring or has occurred because the contractor quality system has not acted to prevent recurrence. In this case, the Minor Finding should be elevated to the level of a Major Finding and a new CAR initiated.

3.2.1.5. The COR is required to ensure changes in work are not initiated before a written authorization or the CO issues a modification.

3.2.1.6. The COR is required to accept delivery of services.

4.0. SERVICE DELIVERY SUMMARY AND SURVEILLANCE METHOD

The following items will be utilized for evaluation of performance during the duration of this contract.

Paragraph Performance

Threshold

1.5.2.3.4 Software will meet timeline constraints at least 95% of the time, and technical requirements at least 95% of the time

1.5.1.4

1.5.1.5

1.5.2.2.2

1.5.2.2.3.3.

Contractor will meet Program Manager Requirement at least 95% of the time

5.0. ANALYSIS OF SURVEILLANCE RESULTS

5.1. The CO will review evaluation documentation received from the COR. When appropriate, the CO may investigate the event further to determine if all the facts and circumstances surrounding the event were considered in the COR’s opinions outlined in evaluation report.

The CO will inform the Contractor of any problems and work to resolve them in the best interest of the Government in accordance with applicable rules and regulations.

5.2. Contractor performance not meeting standards of performance will warrant corrective action. The Government may take corrective action including, but not limited to the following:

a. Contractor must re-perform or correct the service at no additional cost to the Government;

b. Negotiate consideration IAW FAR 46.305, and FAR clause 52.246-5 – Inspection of Services – (For fixed price portions of the contract only). Note: Definition. “Services,” as used in this clause, includes services performed, workmanship, and material furnished or used in performing services.

1. The Contractor shall provide and maintain an inspection system acceptable to the Government covering the services under this contract. Complete records of all inspection work performed by the Contractor shall be maintained and made available to the Government during contract performance and for as long afterwards as the contract requires.

2. The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all places and times during the term of the contract. The Government shall perform inspections and tests in a manner that will not unduly delay the work.

3. If any of the services performed do not conform to contract requirements, the Government may require the Contractor to perform the services again in conformity with contract requirements, for no additional fee. When the defects in services cannot be corrected by re-performance, the Government may:

(a) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(b) Reduce any fee payable under the contract to reflect the reduced value of the services performed.

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

(a) By contract or otherwise, perform the services and reduce any fee payable by an amount that is equitable under the circumstances; or

(b) Terminate the contract with the Contractor for default.

6.0. DOCUMENTATION

6.1. All COR documentation of contractor performance will be in writing in the format preferred by the COR.

6.2. Document all surveillance activities providing the required audit trail to justify Government acceptance and payment. The documented audit trail of the surveillance activities is required by FAR 46.104(c), Contract Administration Office Responsibilities, stating "Maintain, as part of the performance records of the contract suitable records reflecting (1) The nature of Government quality assurance actions, including when appropriate, the number of observations made and the number and type of defects and (2) Decisions regarding the acceptability of the products, the processes and the requirements, as well as action to correct defects”.

6.3. All documentation resulting from surveillance is made a permanent part of the contract file. The COR must keep the documentation files during the term of the contract and at the conclusion of the contract (or other timeframe as specified by the CO) transfer the files to the CO for inclusion in the official contract file. It is the responsibility of the COR to establish and maintain this information in a surveillance folder(s). The surveillance folder(s) should include:

a. Contract Including Modifications

b. Performance Plan

c. COR letter of designation

d. Invoices

e. Surveillance Records

1. Written Report of all Inspections and timeliness of deliverables.

2. Written Report of Any Deficiency.

3. Any other Written Documentation Relating to Contract Performance.

f. General Correspondence

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