Attachment V - Award Fee Plan.pdf

ATTACHMENT V

Award-Fee Plan for

UNIFORMED SERVICES UNIVERISTY OF THE

HEALTH SCIENCE (USUHS) &

ARMED FORCES RADIOBIOLOGY RESEARCH

INSTITUTE (AFRRI)

UNARMED SERCURITY GUARD SERVICES

03 DECEMBER 2011

Approved:

Zamora C. Olin, MBA/Chief of Contracts Date

Fee Determining Official

Table of Contents

Section Title Page

1.0 Introduction 3

2.0 Organization 3

3.0 Responsibilities 3

4.0 Award-Fee Processes 4

5.0 Award-Fee Plan Change Procedure 5

6.0 Contract Termination 5

Appendices

Appendix Title Page

1 Award-fee Organization 6

2 Award-Fee Allocation by Evaluation Periods 7

3 Evaluation Factors 8

4 Evaluation Deliverables 9

5 Grading Table 12

6 Actions and Schedules for Award Fee Determination 13

7 General Instructions For Performance Monitors 14

Award-Fee Plan

1.0 -- Introduction

This award-fee plan is the basis for the Uniformed Services University of the Health Sciences

(USUHS) and the Armed Forces Radiobiology Research Institute (AFRRI) evaluation of the contractor’s performance and for presenting an assessment of that performance to the Fee

Determining Official (FDO). It describes specific criteria and procedures used to assess the contractor’s performance and to determine the amount of award fee earned. Actual award-fee determinations and the methodology for determining award fee are unilateral decisions made solely at the discretion of the Government, although the determination is subject to the Disputes clause.

The award fee will be provided to the contractor through contract modifications and is in addition to the Fixed Price provisions of the contract. The award fee earned and payable will be determined by the FDO based upon review of the contractor’s performance against the criteria set forth in this plan. The FDO may unilaterally change this plan prior to the beginning of an evaluation period. The contractor will be notified of changes to the plan by the Contracting

Officer, in writing, before the start of the affected evaluation period. Changes to this plan that are applicable to a current evaluation period will be incorporated by mutual consent of both parties.

2.0 -- Organization

The award-fee organization consists of the Fee Determining Official (FDO); an Award Fee

Review Board (AFRB) which consists of a chairperson, the contracting officer, a recorder, other functional area participants, and advisor members; and the Performance Monitors. The FDO, AFRB members, and performance monitors are listed in Appendix 1.

3.0 -- Responsibilities

a. Fee Determining Official. The FDO approves the award-fee plan and any significant changes. The FDO reviews the recommendation(s) of the AFRB, considers all pertinent data, and determines the earned award-fee amount for each evaluation period.

b. Award Fee Review Board. AFRB members review Performance Monitors’ evaluation of the contractor’s performance, consider all information from pertinent sources, prepare interim performance reports, and arrive at an earned award-fee recommendation to be presented to the

FDO. The AFRB may also recommend changes to this plan.

c. Chairman Award Fee Review Board. Chairman AFRB is responsible for the overall functioning of the AFRB in the performance of its members.

(1) schedule all meetings of the AFRB and notifying its members of the meetings;

(2) conducting the briefing of the FDO with regard to the recommendations of the AFRB.

d. AFRB Recorder. The AFRB recorder is responsible for coordinating the administrative actions required by the Performance Monitors, the AFRB and the FDO, including:

(l) maintaining records of all meetings in developing the award fee plan including documenting all meetings and reasoning for developing the plan as established (a copy of which will be provided to the CO for retention in the contract file);

(2) receipt, processing and distribution of evaluation reports from all required sources;

(3) scheduling and assisting with internal evaluation milestones, such as briefings; and

(4) accomplishing other actions required to ensure the smooth operation of the award fee.

e. Contracting Officer (CO). The CO is the liaison between contractor and Government personnel on all issues, forwarding FDO decision with regard to the Award Fee

Determination and maintaining the contract file.

f. Performance Monitors. Performance Monitors maintain written records of the contractor’s performance in their assigned evaluation area(s) so that a fair and accurate evaluation is obtained. Prepare interim and end-of-period evaluation reports as directed by the AFRB.

4.0 -- Award-Fee Processes

a. Available. Award-Fee Amount. The available award fee for each evaluation period is shown in Appendix 2. The award fee earned will be paid based on the contractor’s performance during each evaluation period.

b. Evaluation Criteria. If the CO does not give specific notice in writing to the contractor of any change to the evaluation criteria prior to the start of a new evaluation period, then the same criteria listed for the preceding period will be used in the subsequent award-fee evaluation period. Any changes to evaluation criteria will be made by revising Appendix 3 and notifying the contractor.

c. Interim Evaluation Process. The AFRB Recorder notifies each AFRB member and

Performance Monitor thirty (30) calendar days before the midpoint of the evaluation period.

Performance Monitors submit their evaluation reports to the AFRB ten (10) calendar days after this notification. The AFRB determines the interim evaluation results and notifies the contractor of the strength and weaknesses for the current evaluation period. The CO may also issue letters at any other time when it is deemed necessary to highlight areas of Government concern.

d. End-of-Period Evaluations. The AFRB Recorder notifies each AFRB member and performance monitor thirty (30) calendar days before the end of the evaluation period.

Performance monitors submit their evaluation reports to the AFRB ten (10) calendar days after the end of the evaluation period. The AFRB prepares its evaluation report and recommendation of earned award fee. The AFRB briefs the evaluation report and recommendation to the FDO. At this time, the AFRB may also recommend any significant changes to the award-fee plan for FDO approval. The FDO determines the overall grade and earned award-fee amount for the evaluation period within thirty (30) calendar days after each evaluation period. The FDO letter informs the contractor of the earned award-fee amount, which will be forwarded to the contractor under a CO cover letter. The CO issues a contract modification within fifteen (15) calendar days after the FDO’s decision is made authorizing payment of the earned-award-fee amount.

e. Contractor’s Self-Assessment. When the contractor chooses to submit a self-evaluation, it must be submitted to the CO within five working days of the closure of the evaluation period.

This written assessment of the contractor’s performance throughout the evaluation period may also contain any information that may be reasonably expected to assist the AFRB in evaluating the contractor’s performance. The contractor’s self-assessment may not exceed 10 pages.

5.0 -- Award-Fee Plan Change Procedure

All significant changes are approved by the FDO; the AFRB Chairperson approves other changes. Examples of significant changes include changing evaluation criteria, adjusting weights to redirect contractor’s emphasis to areas needing improvement, and revising the distribution of the award-fee dollars. The contractor may recommend changes to the CO no later than forty-five (45) days prior to the beginning of the new evaluation period. After approval, the

CO shall notify the contractor in writing of any change(s). Unilateral changes may be made to the award-fee plan if the contractor is provided written notification by the contracting officer thirty (30) before the start of the upcoming evaluation period. Changes effecting the current evaluation period must be by mutual agreement of both parties.

6.0 -- Contract Termination

If the contract is terminated for the convenience of the Government after the start of an award-fee evaluation period, the award fee deemed earned for that period shall be determined by the

FDO using the normal award-fee evaluation process. After termination for convenience, the remaining award-fee amounts allocated to all subsequent award-fee evaluation periods cannot be earned by the contractor and, therefore, shall not be paid.

Appendix 1 -- Award-Fee Organization

Members

Fee Determining Official: Chief of Contracts Zamora C. Olin

Award Fee Review Board Chairperson: Contract Specialist Christina Johnson

Award Fee Review Board Members:

Program Director Louis Loman

Contracting Officer* Zamora C. Olin

Recorder* Carolyn Randolph

(Following are other possible members :)

Contracting Staff Member

Contracting Staff Member

Steven Beck

Jody Bester

Small Business Advocate

AFRRI Authorized Personnel

USUHS COR

Jeff Floyd

SFC Alex Reyes

MA1 (AW/SW) Brian

Necaise

Performance Monitors

Area of Evaluation Performance Monitor(s)

Contract Transition SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Conferences/Meetings SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Program Management SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Quality of Personnel SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Liaison Effectiveness SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Problem Resolution SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Customer Satisfaction SFC Alex Reyes

MA1 (AW/SW) Brian Necaise

Appendix 2 -- Award-Fee Allocation by Evaluation Periods

The award fee earned by the contractor will be determined at the completion of evaluation periods shown below. The percentage and dollars shown corresponding to each period is the maximum available-award-fee amount that can be earned during that particular period.

Evaluation Period From To Available Award Fee –

Base Year 01 March 2012 30 November 2012 $12,500.00

Option Year I 01 December 2012 30 November 2013 $10,000.00

Option Year II 01 December 2013 30 November 2014 $10,000.00

Option Year III 01 December 2014 30 November 2015 $10,000.00

Option Year IV 01 December 2015 30 November 2016 $12,500.00

Total $55,000.00

Appendix 3 -- Evaluation Factors

Performance Category Task Page

Contract Transition 1 9

Conferences/Meetings 2 9

Program Management 3 9

Quality of Personnel 4 9

Liaison Effectiveness 5 9

Problem Resolution 6 10

Customer Satisfaction 7 10

Appendix 4 -- Evaluation Deliverables

Performance Factor Deliverable

Tasks

Weighted

Value

Base Year

Weighted

Value

OP YR 1

Weighted

Value

OP YR 2

Weighted

Value

OP YR 3

Weighted

Value

OP YR 4

Contract Transition

1. Effective phase-in contract transition. Task 1.1 10% 0% 0% 0% 0%

2. Effective phase-out contract transition. Task 1.2 0% 0% 0% 0% 10%

Conferences/Meetings

3. Adhere to timely scheduling and holding of meetings with designated USUHS and

AFRRI points of contact.

Task 2.1 5% 5% 5% 5% 5%

4. Timely preparation and delivery of minutes to designated USUHS and AFRRI points of contact.

Task 2.2 5% 5% 5% 5% 5%

Program Management

5. Prepared and maintained an effective and timely training plan in accordance with the

Section 2.5 if the SOW.

Task 3.1 5% 10% 10% 10% 5%

6. Prepared and maintained an effective and timely quality control plan in accordance with the Section 2.6 if the SOW.

Task 3.2 15% 15% 15% 15% 15%

Quality of Personnel

7. Ensuring personnel hired are qualified and competently trained.

Task 4.1 10% 10% 10% 10% 10%

8. Ensuring personnel hired maintain a professional, business-like rapport with

USUHS and AFRRI personnel.

Task 4.2 5% 5% 5% 5% 5%

Liaison Effectiveness

9. Maintain effective communication with

USUHS and AFRRI personnel during the administration of the contract.

Task 5.1 10% 10% 10% 10% 10%

The Government will evaluate the following factors and deliverables of the Contractor’s performance:

Problem Resolution

10. Ensuring all disciplinary problems are handled in a timely manner in accordance with the provided quality control plan.

Task 6.1 5% 5% 5% 5% 5%

11. Ensuring all contract related problems are reported in a timely manner.

Task 6.2 5% 5% 5% 5% 5%

12. Maintaining effective communication with the COR to expedite a resolution to any contract related problems

Task 6.3 5% 5% 5% 5% 5%

Customer Satisfaction

13. Maintain an exceptional level of professionalism while treating customers in an appropriate and respectful manner.

Task 7 20% 25% 25% 25% 20%

Appendix 5 – Grading Table

Adjectival

Rating

Range of

Performance

Points

Description

Excellent (100-91)

Of exceptional merit; exemplary performance in a timely, efficient and economical manner; very minor (if any) deficiencies with no adverse effect on overall performance.

Very Good (90-81)

Very effective performance, fully responsive to contract requirements; contract requirements accomplished in a timely, efficient and economical manner for the most part; only minor deficiencies.

Good (80-71)

Effective performance; fully responsive to contract requirements; reportable deficiencies, but with little identifiable effect on overall performance.

Satisfactory (70-61)

Meets or slightly exceeds minimum acceptable standards;

adequate results; reportable deficiencies with identifiable, but not substantial, effects on overall performance.

Poor/

Unsatisfactory

(less than

61)

Does not meet minimum acceptable standards in one or more areas; remedial action required in one or more areas;

deficiencies in one or more areas which adversely affect overall performance.

Any factor receiving a grade of “poor/unsatisfactory” (less than 61) will be assigned zero performance points for purposes of calculating the award fee amount. The contractor will not be paid any award fee when the total award fee score is "Poor/Unsatisfactory" (less than 61).

Appendix 6 – Actions and Schedules for Award Fee Determinations

The following is a summary of the principal actions involved in determining the award fee for the evaluation periods.

Action (Workdays)

1. AFRB Chair and members appointed. _________ days prior to first period

2. AFRB Chair appoints performance monitors and informs contractor.

_________days prior to first period

3. Monitors receive orientation and guidance.

__________days prior to first period

4. Monitors assess performance and discuss results with contractor.

Ongoing after start of period

5. Monitors submit Performance Monitor

Reports to AFRB.

Last day of each

______ [insert month, quarter, etc.]

6. AFRB considers Performance Monitor

Reports and other requested performance information.

Ongoing

7. AFRB discusses overall performance with contractor during period.

__________ days after end of period of each __________ [insert month, quarter, etc.]

8. AFRB meets and summarizes preliminary findings and position of AFRB Evaluation.

___________ days after end of period

9. AFRB may meet with contractor to discuss preliminary findings and position.

___________ days after end of period

10. AFRB establishes findings and recommendations for re.

_____________ days after end of period

11. AFRB Chair submits AFRB Evaluation to

FDO.

_____________ days after end of period

12. FDO considers AFRB Evaluation and discusses with AFRB, as appropriate.

_____________days after end of period

13. FDO sends AFRB Evaluation to contractor.

NLT 45 days after end of period

14. Payment made to contractor based on contract modification.

NLT 60 days after end of period

The AFRB will establish lists of subsidiary actions and schedules as necessary to meet the above schedules.

Appendix 7 – General Instructions For Performance Monitors

1. Monitoring and Assessing Performance

a. Monitors will prepare outlines of their assessment plans; discuss them with appropriate contractor personnel to assure complete understanding of the evaluation and assessment process.

b. Monitors will plan and carry out on-site assessment visits, as necessary.

c. Monitors will conduct all assessments in an open, objective and cooperative spirit so that a fair and accurate evaluation is obtained. This will ensure that the contractor receives accurate and complete information from which to plan improvements in performance. Positive performance accomplishments should be emphasized just as readily as negative ones.

d. The monitor will discuss the assessment with contractor personnel as appropriate, noting any observed accomplishments and/or deficiencies. This affords the contractor an opportunity to clarify possible misunderstandings regarding areas of poor performance and to correct or resolve deficiencies.

e. Monitors must remember that contacts and visits with contractor personnel are to be accomplished within the context of official contractual relationships. Monitors will avoid any activity or association which might cause, or give the appearance of, a conflict of interest.

f. Monitor discussions with contractor personnel are not to be used as an attempt to instruct, to direct, to supervise or to control these personnel in the performance of the contract. The role of the monitor is to monitor, assess and evaluate not to manage the contractor's effort.

2. Documenting Evaluation/Assessment

Evaluations and assessments conducted and discussions with contractor personnel will be documented as follows:

3. Evaluation/Assessment Reports

Monitors will prepare a formal Performance Monitor Report in accordance with the following instructions and submit it to the AFRB.

(Specify format, frequency of submission and minimum information requirements)

4. Verbal Reports

Monitors will be prepared to make verbal reports of their evaluations and assessments as required by the AFRB Chair.