Attachment_5_-_CAP.doc

CONTRACT ADMINISTRATION PLAN (CAP)

Non-Personal Services

1. Definitions.

1.1 Alternate Contracting Officer’s Representative (ACOR). In the absence of the Contracting Officer’s Representative (COR), the Government official appointed in writing by the Contracting Officer who functions as the technical representative of the Contracting Officer for a specific contract, for a specified period of time.

1.2 Bureau of Medicine and Surgery (BUMED). The Department of the Navy command responsible for all Navy medicine healthcare and research initiatives.

1.3 Commanding Officer. The senior Officer that has ultimate responsibility for the operation of the local activity.

1.4 Contracting Officer. The Government official at the Naval Medical Logistics Command with the actual authority to enter into, administer, and/or terminate contracts and make related determinations and findings on the behalf of the Government.

1.5 Contracting Officer’s Representative (COR). The Government official appointed in writing by the Contracting Officer who functions as the technical representative of the Contracting Officer under the contract. For Indefinite Delivery and Indefinite Quantity contracts, CORs will be appointed for each task order in addition to an overall contract COR.

1.6 Contractor. The organization identified as the contractor/offeror on the Standard Form 26 and its employees who are providing services under the contract.

1.7. Defense Contract Audit Agency (DCAA). The Government office responsible for performing all necessary contract audits for the Department of Defense. DCAA also provides accounting and financial advisory services regarding contracts and subcontracts.

1.8 Department Head. The Government official responsible for managing the operation of a distinct organizational division, office, or unit. The Department Head is subordinate to the Commanding Officer of the local activity.

1.9 Local Activity. The Military Treatment Facility (MTF), research activity, or other organization that falls under the cognizance of BUMED.

1.10 Military Treatment Facility (MTF). A Department of Defense (DoD) hospital or medical or health center where services may be required to be performed under this contract. The abbreviation, “MTF” includes all Branch Medical or Health Clinics, Medical Administrative Units, Branch Medical or Health Annexes and other subordinate clinical activities.

1.11 Naval Medical Logistics Command (NMLC). The Department of the Navy command responsible for providing contract support for BUMED.

1.12 Research Activity. The Government center, laboratory, or organization responsible for carrying out the research initiatives of BUMED.

1.13 Technical Assistant (TA). The local activity representative who may be appointed by the Commanding Officer (or designated representative) to provide technical or administrative assistance to the COR. TAs may be assigned to assist and support the COR but shall not be given the authority to provide any technical direction or clarification directly to the Contractor.

2. Responsibilities.

2.1 The Contracting Officer, Acquisition Management Directorate (Code 02), Naval Medical Logistics Command shall:

2.1.1 Perform all required pre-award actions including providing information or answering questions that arise during the solicitation period and as a result of Freedom of Information Act (FOIA) inquiries.

2.1.2 Review the Contract Administration Plan (CAP).

2.1.3 Verify that the individual(s) nominated to act as COR and/or ACOR have had the required training and the necessary experience. If the Contracting Officer determines that a nominee does not meet experience and training requirements, the Contracting Officer shall request that the local activity nominate another individual.

2.1.4 Review the CAP prior to incorporation into the solicitation. This review shall ensure that all contract administration functions are assigned, suit the specific circumstances of the contract and give due consideration to the type of contract, the place of performance, period of performance, and inspection and acceptance criteria stated in the solicitation/contract.

2.1.5 Include the COR duties contained in this Master CAP in the resultant solicitation/contract. Additional duties shall be separately delineated within the contract, as appropriate.

2.1.6 Designate the paying office in the contract.

2.1.7 Appoint the COR and ACOR. COR and ACOR appointments shall be completed through the DoD Contracting Officer’s Representative Tracking (CORT) Tool at: https://wawf.eb.mil

2.1.8 Perform all contract administration duties of a Contracting Officer. Regular meetings between the Contracting Officer, the COR or the local activity Commanding Officer (or representative) will be held to discuss the status of and the performance under individual contracts. The format and frequency of these meetings will depend upon the size and complexity of the contract.

NOTE: All parties are specifically reminded that only the Contracting Officer has the authority to modify the terms of the contract. Therefore, in no event will any understanding, agreement, modification, change order, or other matter deviating from the terms of the contract between the Contractor and any other person be effective or binding on the Government. When/if, in the opinion of the Contractor, any direction affecting the terms of the contract has been given by the COR or any other person, the Contractor shall promptly notify the Contracting Officer.

2.1.9 Evaluate reports of Contractor non-compliance and take appropriate action within 30 days of receipt. Copies of any correspondence regarding the results of such analyses shall be provided to the local activity and the COR simultaneously with the action taken.

2.1.10 Arrange the post-award conference, if required. Invite necessary attendees. Ensure that the requirements of the contract and the COR’s duties are thoroughly discussed and understood. Ensure that all personnel involved understand current DoD Standards of Conduct policies.

2.1.11 Oversee the performance of CORs under the contract. Prompt action shall be taken when COR (or alternate) is not performing properly.

2.1.12 Maintain the official contract file including modifications (and all back-up documentation).

2.1.13 Maintain the accuracy of this Master CAP throughout the life of the contract.

2.1.14 Maintain a list of all CORs under their authority. Periodically review the files and performance of these CORs in accordance with NAVSUPINST 4205.3 (series) and local policies.

2.1.15 Review the existing annual Contractor performance report prior to negotiating (if applicable) any task orders under the contract, extending the contract, or exercising any options under the contract.

2.1.16 Maintain a log of total quantity ordered under the contract by Contract Line Item Number (CLIN)/Sub Contract Line Item Number (SLIN) to guarantee that maximum order quantities are not exceeded. Notify the local activity when 75% of the maximum order quantity of any CLIN/SLIN has been reached.

2.2. The Commanding Officer of the Local Activity (or designated representative) shall:

2.2.1 Establish policy guidance for the performance of services.

2.2.2 Provide overall direction for services at the activity.

2.2.3 Budget and provide funding for the contract.

2.2.4 Nominate (to the Contracting Officer) an individual to be appointed as COR (by name, title, organizational code and telephone number). This individual (augmented by the activity Department Heads) shall also be the contract quality assurance monitor and lead technical advisor to the Contracting Officer and shall be responsible for the technical interface needed during contract performance. An ACOR can be nominated to act in the absence of the COR, when needed, or to provide additional expertise. COR and ACOR nominations shall be made through the DoD CORT Tool at: https://wawf.eb.mil. The local activity approval authority for the COR or ACOR nomination may be the nominee’s supervisor.

NOTE: COR duties cannot be delegated. The COR shall be accountable for the actions of ACORs.

NOTE: Nomination of a new COR or ACOR as a result of reassignment, termination of employment, etc., shall be made in accordance with the procedures outlined herein.

2.2.5 Ensure all individuals nominated as COR or ACOR have the necessary qualifications to satisfactorily perform the required duties and hold a position of responsibility commensurate with the complexity of the contract. All CORs must complete DAU CLC 106. In addition CORs should complete a Naval Supply System Command (NAVSUP) or BUMED approved COR training course (or DAU/DoD equivalents) prior to appointment under complex contracts.

2.2.6 Support and supervise the COR in the performance of his/her duties. If the Commanding Officer determines that assigned duties are not being performed in a satisfactory manner, immediate corrective action shall be taken (including the recommendation to replace the COR if required). The Contracting Officer shall be promptly notified of all actions taken. The local activity should consider COR performance in rating all individuals assigned COR functions.

2.2.7 Ensure that appropriate timely action is taken on all contract related correspondence received from either the Contracting Officer or COR. This includes the timely submission (to the Contracting Officer) of any requests for changes to the contract, deviations or waivers. An Independent Government Cost Estimate of the impact on contract price and the availability of additional funding (if required) must accompany all requests for changes to the contract. The Contractor’s price quote and the rationale for requesting the change shall accompany any changes proposed by the Contractor. The Contractor’s price quote serves as a budgetary estimate of the cost impact. The local activity shall also provide input as to technical acceptability of proposed contract language changes.

2.2.8 The local activity Commanding Officer may appoint a TA to assist the COR in executing routine contract administration, monitoring and, surveillance duties. The appointment of all TAs must be in writing and must include the TA's responsibilities and limitations. A copy of this appointment letter shall be provided to the Contracting Officer. Before appointment, the local activity shall assure that all TAs have the appropriate training and experience. TAs must complete DAU CLC 106 prior to appointment. A sample TA appointment letter is located on the NAVSUP Contracting Knowledge Site (CKS) at: https://www.navsup.navy.mil/cks/reference_library/acquisition_reference_library/forms

2.3 The Contracting Officer's Representative (COR) shall:

2.3.1 Notify the Contracting Officer in writing of any organizational or personnel changes affecting the CAP.

2.3.2 Attend both the pre-proposal and post-award conferences, if held.

2.3.3 Upon receipt of the contract from the Contracting Officer, forward copies of documents to staff having administrative responsibilities for the contract.

2.3.4 Attend periodic meetings (as necessary) among the Contracting Officer, local activity and Contractor to discuss the status of and performance under the contract.

2.3.5 Avoid issuing any instructions that would constitute a change to the contract. The COR and Contractor shall not enter into any understanding, agreement, modification, or change order deviating from the terms of the contract which shall be effective or binding on the Government. If in the opinion of the Contractor, an effort outside the scope of the contract is requested, the Contractor shall promptly notify the Contracting Officer in writing. The Contractor shall not act unless the Contracting Officer has issued a written change to the contract. The COR will include, on all correspondence to the Contractor, a declination of authority statement as follows:

“I have neither the authority nor the intent to change the terms or conditions of this contract. This contract can only be changed by a written modification issued by the Contracting Officer. If you believe that I am requesting an effort outside the scope of this contract, promptly notify the Contracting Officer. Additionally, this shall not be construed as an authorization for new work or additional work not already contained in the contract.”

2.3.6 Perform as the technical interface between the Government and the Contractor for this contract. The COR shall provide technical advice or clarification regarding the performance work statement and terms of the contract; milestones to be met within the general terms of the contract or specific subtasks of the contract. The COR is the point of contact through whom the Contractor can relay technical questions and problems to the Contracting Officer. The Contractor may also contact the Contracting Officer directly.

2.3.7 Coordinate/facilitate complete and timely approvals for work at Government facilities between the local activity and the Contractor. The COR shall inspect the qualifications of each contract employee prior to submission to the local activity if required by the contract.

2.3.8 Monitor Contractor performance and progress under the contract. If potentially inefficient or wasteful methods are being used, the COR shall take reasonable and timely action to alert the Contractor and the Contracting Officer. Furthermore, the COR shall promptly advise the Contracting Officer of any observed continuous and/or substantial deficiencies in the Contractor's performance or other noncompliance with the terms and conditions of the contract. Section C or the Performance Work Statement of the contract includes the Quality Assurance Surveillance Plan to be used by the COR to monitor Contractor performance. Deviation from this surveillance plan is only permitted with the prospective approval of the Contracting Officer.

2.3.9 In accordance with procedures given in this CAP, promptly issue Contract Discrepancy Reports (CDRs) (Enclosure (1)) to the Contractor to document discrepant performance. The COR shall always obtain the Contractor's response/rebuttal to the CDR, evaluate, with the affected Department Head, the acceptability of the response and promptly forward the CDR, Contractor response/rebuttal, and their recommendation to the Contracting Officer.

2.3.10 The COR shall recognize that CDRs become official records within the contract file and that they have serious implications for overall contract management and relationships. CDRs shall not be the first and only choice for communicating contract issues with the contractor and shall be implemented in accordance with the procedures given below within this CAP.

2.3.11 For serious contract performance deficiencies, or when less formal communications fail to resolve minor performance deficiencies, the COR will issue a CDR to the Contractor.

2.3.12 The COR shall ensure that all inspection data is attached to the CDR. The Contractor cannot be expected to respond to performance deficiencies that are not clearly and specifically identified. A cover memorandum on the CDR should specify that the Contractor has three working days, or other appropriate deadline, to respond in writing to the COR. At the time the CDR is issued to the Contractor, the COR shall provide a copy of the CDR to the Contracting Officer.

2.3.13 Upon return of the CDR package from the Contractor, the COR shall review the Contractor’s comments and give careful, objective consideration to the facts and mitigating circumstances documented in the response. The COR shall then make a final written determination and recommendation to the Contracting Officer on the acceptability of Contractor performance and note it on the CDR. The COR shall state why the Contractor’s response does or does not have merit. The COR shall prepare the determination, recommendation, and other statements as appropriate along with actions being requested of the Contracting Officer and as much additional documentation as required to support their conclusions and recommendations.

2.3.14 The COR shall provide the above documentation along with actions being requested of the Contracting Officer and as much additional documentation as required to support their conclusions and recommendations to (1) the Contractor, and (2) the Contracting Officer.

2.3.15 The Contracting Officer will review CDRs and will advise the COR of the need for any further documentation.

2.3.16 Monitor and verify that services are provided in accordance with the performance work statement and terms of the contract. Keep accurate records of Contractor performance and compare these records with the Wide Area Work Flow (WAWF) invoice submitted by the Contractor. The COR shall always use this information as a tool when evaluating Contractor invoices. Monthly Progress Reports should be compared with their corresponding contractor invoices to verify consistency between the two. The COR should review the acceptability of invoices by consideration of the following:

(a) Are there any performance issues?

(b) Are costs appropriate considering current progress of work?

(c) Are required reports up to date?

For cost reimbursement contracts or task orders, the COR’s review of invoices shall be documented by completion of a Contractor Invoice Review Form (Enclosure (2)).

2.3.17 Notify the Contracting Officer of questioned costs or issues. As required, assist the Contracting Officer in resolving questioned costs or issues with the contractor.

2.3.18 Accept the services as the official Government representative.

2.3.19 Use appropriate methods for contract surveillance.

2.3.20 Understand contract invoicing requirements. The COR shall ensure that all WAWF Invoices are processed in a timely manner so that prompt payment due dates are met. Prior to acceptance of a WAWF invoice, the processing official shall obtain approval from the cognizant activity Department Head that the payment request is appropriate. This can be done by having the activity Department Head sign a DD250 (or provide an e-mail to the contractor) for uploading into WAWF with the invoice. When the WAWF invoice comes up in the WAWF system, the processing official can then see that approval has already been given by the activity Department Head.

2.3.21 Immediately alert the Contracting Officer of any unusual performance problems. If a corrective action plan is approved by the Contracting Officer, the COR shall monitor the implementation and effectiveness of that corrective action plan. In uncertain situations, the COR shall always seek advice from the Contracting Officer, as prudent, before acting.

2.3.22 Continually monitor the quantity of services provided under each CLIN/SLIN and (if applicable) task order. Advise the Contracting Officer if it appears that service quantities may be exhausted before the end of the performance period, or if quantities for services have been ordered but will not be received by the end of the performance period.

2.3.23 Perform administrative duties including maintaining files which support the actions performed as a COR. The COR shall respond to all contract correspondence in a timely manner. Contract files shall include a conforming copy of the contract, all modifications, a conforming copy of the Contractor’s Technical Proposal, all surveillance reports, each CDR (including the Contractor’s response/rebuttal), any contract-related correspondence, a contract log or COR diary, all telephone conversation and email records, meeting minutes, reports from Government subject matter experts, and Independent Government Cost Estimates.

2.3.24 If applicable, take the necessary steps to ensure that Government property furnished to the Contractor is provided in a timely manner and in proper condition for use. The COR shall maintain both inventory and disposition records for all Government furnished property. This inventory/disposition file is coordinated with the Contracting Officer. The COR shall ensure that the Contractor returns all Government furnished property or that Government furnished material has been reasonably consumed in the performance of work.

2.3.25 Read and comply with all applicable Standards of Conduct and Conflict of Interest instructions and procedures including annual financial interest filings.

2.3.26 Ensure that the Contractor receives copies of all regulations and/or directives considered appropriate to the services being provided.

2.3.27 Submit information detailing the Contractor's performance to the Contracting Officer. A statement indicating performance has been satisfactory along with your request to continue performance would be required prior to exercising options under the contract. An annual report on the Contractor's performance will be required 30 days after the end of each performance period. A final report shall be sent to the Contracting Officer within 60 days after completion of the contract. The final report shall contain a conclusive statement describing the Contractor's overall performance and an evaluation on the accountability of Government property furnished to the Contractor. An addendum report may also be required. Format for the report will be in consonance with the Contractor Performance Assessment Reporting System (CPARS) and is provided at Enclosure (3). If the COR is responsible as the assessing official to complete the CPARS assessment, then that assessment may take the place of the annual report on contractor performance.

2.3.28 Perform other duties, particular to the contract, as may be incorporated into the contract document or as required by the Contracting Officer.

2.3.29 Generate monthly COR reports to the Contracting Officer and COR file. Format for the monthly COR report is provided at Enclosure (4).

2.3.30 The COR and ACOR shall self nominate themselves through the DoD CORT Tool at: https://wawf.eb.mil. The CORT Tool should also be utilized to assist in the performance of the COR responsibilities.

2.4 Technical Assistant (TA). All requirements for TA duties are reported directly to the COR. At the direction of the COR, the TA shall:

2.4.1 Perform surveillance and identify Contractor deficiencies.

2.4.2 Review contract deliverables, recommending acceptance/rejection, and providing the COR with the documentation to support all recommendations.

2.4.3 Assist the COR in the preparation of the final Contractor performance report using the format and procedures prescribed by the Contracting Officer.

2.4.4 Identify Contractor non-compliance with reporting requirements.

2.4.5 Evaluate Contractor proposals, identifying potential problem areas.

2.4.6 Provide to the COR (a) recommendations for revisions or clarifications to the performance work statement and terms of the contract and (b) recommendations for revisions to the CAP.

2.4.7 Provide detailed written reports of any trip, meeting, correspondence, telephone conversation, email or anecdotal conversation after any contact between the TA and the Contractor.

2.5 For cost reimbursement contracts or task orders - the Defense Contract Audit Agency (DCAA) shall be responsible for audit verification/provisional approval of invoices and final audit of the contract prior to final payment to the contractor.

3. Contractor Performance Assessment Reporting System (CPARS)

3.1 A Contractor Performance Assessment Report (CPAR) is required annually and after contract completion. An addendum report may be used to record contractor performance relative to contract closeout or other administrative requirements.

3.2 The COR will provide a contractor performance assessment report to the Contracting Officer to assist in the completion of the CPAR (Enclosure (3)).

3.3 The Contracting Officer will ensure that CPAR data is entered into CPARS.

3.4 The contractor will have a 30-day period to respond to each CPAR.

Enclosures:

Enclosure 1 - Contract Discrepancy Report Enclosure 2 - Contractor Invoice Review Form (if cost reimbursement contract or task order)

Enclosure 3 - Contractor Performance Assessment Report (ignore if the COR is the CPARS assessing official)

Enclosure 4 - COR Monthly Report to the Contracting Officer Enclosure 1 - Contract Discrepancy Report

CONTRACT DISCREPANCY REPORT

COR Findings:

COR (sign and date):

Contractor Response:

Contractor Project Manager (sign and date):

COR Determination/Recommendation:

COR (sign and date):

Contracting Officer Acknowledgement and Recommendation (sign and date):

Enclosure 2 - Contractor Invoice Review Form

CONTRACTOR INVOICE REVIEW

From: (Applicable COR)

To: (Applicable Contracting Officer and DCAA)

Subj: INVOICE REVIEW OF CONTRACT NO.__________________

(also identify delivery/task order number(s) as applicable)

Encl: (1) Invoice No.__________________

Check Appropriate Statement:

1.____ Enclosure (1) submitted under the subject contract (delivery/task order) has been reviewed and the labor hours, labor mix, material (if any), travel, and other direct costs identified therein appear consistent and reasonable for the effort performed during the period covered by the invoice.

2.____ Enclosure (1) submitted under the subject contract (delivery/task order) has been reviewed and the following discrepancies/deficiencies are noted:

Contracting Officer’s Representative

(signature and date)

Enclosure 3 – Contractor Performance Assessment Report

CONTRACTOR PERFORMANCE ASSESSMENT REPORT

Contractor Name and Address:

Company Name:

Street Address:

Report Type: {Annual or Final or Addendum}

Period of Performance Being Assessed:

Contract Number:

Order Number:

Location of Contract Performance:

Program Title:

Contract Effort Description:

Key Subcontractor(s):

Contractor Name:

Effort Performed:

Contractor Name:

Effort Performed:

Evaluation Ratings Definitions (Excluding Utilization of Small Business)

Evaluation Ratings Definitions (Utilization of Small Business)

NOTE 1: Generally, zero percent is not a goal unless the Contracting Officer determined when negotiating the subcontracting plan that no subcontracting opportunities exist in a particular socio-economic category. In such cases, the contractor shall be considered to have met the goal for any socio-economic category where the goal negotiated in the plan was zero.

Assigned Rating

Quality of Product or Service

Schedule

Cost Control

(Not required for Firm-Fixed Price or Firm-Fixed Price with Economic Price Adjustment)

Business Relations

Management of Key Personnel

(For Services and Information Technology Business Sectors only - Not Applicable to Operations Support)

Other Areas:

(1) {list}

(2) {list}

(3) {list}

Rating Support Note: A factual narrative is required for all assessments regardless of rating. Each narrative statement in support of the area assessment must contain objective data.

Quality of Product or Service Narrative:

Schedule Narrative:

Cost Control Narrative (if applicable):

Business Relations Narrative:

Management of Key Personnel Narrative (if applicable):

Other Areas (1) Narrative:

Other Areas (2) Narrative:

Other Areas (3) Narrative:

COR Name:

Signature:

Date:

Enclosure 4 – COR Monthly Report to the Contracting Officer COR Monthly Report to the Contracting Officer

1. Contract No. (also include Task Order No. if applicable):

2. Description of Services:

3. Period of Performance – list month report covers:

4. Contractor:

5. Method(s) of Surveillance Used:

6. This document is in accordance with the inspection of services clause, the Contract Administration Plan (CAP), and the Quality Assurance Surveillance Plan (QASP) requirements.

7. Complete each of the following and provide detailed explanation when required. Attach additional documents if explanation is long or requires supporting evidence.

If Marginal or Unsatisfactory, explain:

If No, explain:

c. Are there any significant issues that should be brought to the Contracting Officer’s attention?

If Yes, explain:

d. Is action being taken by contractor to correct discrepancies?

If Yes, explain:

b. Number of VALID customer complaints:

Discuss VALID complaints:

9. Additional COR Comments:

10. I hereby certify that services have been received and accepted.

Contracting Officer’s Representative Name: