Click here a filler image only no relevency to acquisition, logistic, contracting or program management image of a classical greek architechture representing DAU's strength as a business university instructing in DoD Acquisition
          Home      Contact      About ACC      Privacy      Tutorial      DoD Certificate      Feedback
.

Appendix 8 – Checklists

Topic
Long Description

Appendix 8

Checklists

Checklists Table of Contents
Do's and Don'ts
Contract Administration and Remedies Checklist
Contract Administration
Do'sDon'ts

Remember that the COR is an agent of the US government, with only the authority delegated by the contracting officer.

Accept less than what is required by the contract.
Get the names of contractor personnel authorized to represent the contractor. Assume an interpretation of ambiguous contract language, which would be favorable to the government. Remember: if the contractor’s interpretation is reasonable, it will prevail.
Find out the specific authority of contractor personnel. Does the person you are dealing with have the authority to obligate the contractor? Hold up payment unless performance is deficient or defective.
See that all government approvals or consents are timely. Accept supplies or services without complete inspection.

Make any change, modification, deletions, or additions to the contract requirements. Work through the contracting officer.

Automatically consider all contractor claims unreasonable. Be fair and impartial.
Remedies
Do'sDon'ts

Exercise government rights, such as warranties. Make sure to deal with any problems before the warranty period runs out.

Act without consulting the contracting officer. Work through the contract administration team.
Work with the contracting personnel to prevent problems before they arise. Allow interim or final delivery dates to be waived.
Take actions to protect government rights before delivery is due.
Do's and Don'ts
Contract Monitoring and Pre-award Solicitation Checklist
Contract Monitoring
Do'sDon'ts

Set a level of monitoring consistent with the type of contract, the complexity of the supply or service, and the importance of the contract to the overall program.

Assume that “no news is good news.”
Read progress reports and immediately act on problems they reveal. See that the contractor complies with every requirement of the contract. Wait until delivery is due or overdue to check progress.
Immediately contact the contracting officer when deficiencies or delinquencies are noted. Use the contractor’s invoices to help monitor technical progress. Take action against a delinquent contractor on your own. Work through the contracting officer.

Order, request, or even suggest that the contractor do work that is not called for by the contract.

Act as if you are the contractor’s personnel manager. The COR reviews and approves or disapproves; the contractor supervises contractor personnel.

Assume the contractor billings are correct.
Pre-award and Solicitation
Do'sDon'ts

Use market research.

Write vague specifications, assuming that “the contractor will do whatever is necessary to satisfy us.”
Look for commercial solutions. Write design specifications, prescribing in detail what materials should be use and how the work should be performed.
Promote full and open competition. Ask for progress reports, test samples, or other items from the contractor unless the items are needed for the program or for efficient administration and monitoring.
Think about contract administration requirements while writing the SOO/SOW/PWS or the specifications.
Use performance-based or functional (rather than design) specifications to describe an objective or standard to be achieved, allowing the contractor to exercise ingenuity in achieving that objective or standard, select the means, and assume corresponding responsibility.
Limit use of restrictive provisions to satisfy agency needs.
Limit use of specifications and instead focus on function, performance, and physical characteristics.
In the SOO/SOW/PWS and specifications, separate discussion of administrative and progress reporting requirements from discussion of required procedures and deliverables.
Do's and Don'ts
Evaluation and Award Checklist
Evaluation and Award
Do'sDon'ts

Carefully review the contract, especially the technical requirements.

Divulge budget information
Develop, or obtain from the contractor, a detailed schedule of performance. Assume without reading it that the SOO/SOW/PWS is complete, clear, and fully understandable.
Work with the contracting officer and the contractor to clear up any misunderstandings and to establish organized contract administration and monitoring procedures. Allow planning to become an end in itself. Remember—the goal is to get results, not just pretty charts showing the plan.

Forget to update plans and schedules as the situation changes.

Overlook or ignore contract requirements for GFP, timely reviews and approvals, or technical assistance and direction.
Considerations for the Performance Work Statement Checklist
Considerations for the Performance Work Statement

Does the PWS describe the outcomes (or results) rather than how to do the work?

Does the PWS avoid specifying the number of contract workers required to perform the work (except when absolutely necessary)?

Does the PWS avoid specifying the educational or skill level of the contract workers (except when absolutely necessary)?

Can the contractor implement new technology to improve performance or to lower cost?

Can the contractor use lower cost materials and still meet the performance standards?

Are the situations documented when tightly controlled materials or supplies are essential?

Are commercial performance standards utilized?

Do the performance standards address quantity, quality, and timeliness?

Are the performance standards objective, easy to measure, and timely?

Is the assessment of quality a quantitative or qualitative assessment?

Will two different evaluators come to the same conclusion about the contractor's performance based on the performance standards?

Are acceptable quality levels clearly defined?

Is the time period for the acceptable quality level clearly defined?

Are the people who will perform the evaluations identified?

Are the acceptable quality levels realistic and achievable?

Will the user be satisfied if the acceptable quality levels are exactly met? (Or will they be satisfied only at a higher quality level?)

Do the acceptable quality levels allow for improvement?

Is the value of evaluating the contractor's performance on a certain task worth the cost of surveillance?

Has random sampling or periodic sampling been utilized in the QASP?

Has user feedback been incorporated into the QASP?

Does the PWS make use of the contractor's own quality control plan and management information systems to reduce costs?

Are there incentives to motivate the contractor to improve performance or to reduce costs?

Are there negative incentives to handle poor performance?

Will the contractor focus on continuous improvement?
Contractor Performance Assessment Checklist
Contractor Performance Assessment

Cost control

Timeliness (schedule/delivery). Is the contractor on schedule to meet contractual requirements? Did the contractor meet the contractual delivery requirements? Does the contract include a reward for early delivery, or a penalty for late delivery?

Quality. Do the supplies or services meet the requirements? Do they conform to the contract specifications, standards, SOO/SOW/PWS, and quality assurance plan?

Business relations. Is the contractor responsive, professional, and courteous?

Management of key personnel. Are technical experts highly qualified and effective in performing the required services? Do they meet the skill level stated in the contract? Are an appropriate number of personnel assigned to the project? Do delivered supplies reflect the skill and standardization required by the customer?

Customer satisfaction. Will the customer be satisfied in terms of cost, quality, and timeliness of the delivered supplies or services? What percentage of the deliverable meets the customer's expectations? How long has the contractor taken to answer any customer complaints? How many customer complaints have there been?

Compliance. Has the contractor complied with Occupational Safety and Health Administration, Environmental Protection Agency, Department of Labor, and other pertinent regulations?
Contractor Delay Assessment Checklist
Before making a final determination, the COR must be certain that the contractor (1) had little or no control over the circumstances that caused the delay, and (2) could not have taken any preemptive action to reduce the negative consequences of the delay. If the organization can prove these two assertions, then a "Yes" answer to any of the following questions means the delay was probably excusable.

1. Was the delay caused by a labor strike? If "no," go to 2. If "yes," did the contractor:

  • File a charge with the appropriate labor relations board to seek injunctive relief in court?
  • Use other available government procedures or private boards or organizations in an attempt to settle or arbitrate disputes that caused the strike?

2. Was the delay caused by government interference or disruption? If "no," go to 3. If "yes," did the government:

  • Delay in making payments due to the contractor?
  • Deliver GFP late?
  • Fail to reply to a contractor request for clarification?
  • Fail to disclose all facts applicable to performance?
  • Cite or misrepresent conditions that were different from those portrayed?
  • Experience scarcity of supplies due to Defense Production Act priorities over commercial or nonrated orders? Delay issuing a required notice to proceed? Delay issuing changes?
  • Delay performance by other government contractors?
  • Experience delays because of an interested party protesting the contract award?
  • Delay making the site available?
  • Delay providing funding?
  • Delay inspection or acceptance?
  • Delay because of defective or ambiguous specifications?
  • Delay granting approvals?

3. Was the delay caused by a subcontractor? If "no," go to 4. The determination is "no" if either of the following occurred:

  • Did a dispute between the subcontractor and prime cause the delay?
  • Were subcontracted products or services available from other sources in time for the prime to complete performance?

4. Was the delay caused by any other occurrence specifically characterized in Default or Excusable Delays (or other clauses), as generally excusable? If "no," go to 5. If "yes," was the delay caused by:

  • Acts of the government in either its sovereign or contractual capacity?
  • Acts of God or the public enemy?
  • Fire?
  • Flood?
  • Unusually severe weather?
  • Epidemics?
  • Quarantine restrictions?
  • Labor dispute resulting in strikes?
  • Freight embargoes?
  • Common carrier delays?

5. Was the delay caused by other circumstances not previously mentioned? If "yes," did the contractor:

  • Not cause the delay?
  • Not have any control over the circumstances that caused delay?
Contents of a COR Working File Checklist

 A copy of the COR's letter of appointment or designation from the contracting officer, a copy of any changes to that letter, and a copy of any termination letter.

A copy of the required training certificates.

The notice of award or notice to proceed.

Copies of contract funding and payment documents.

A copy of the contract or the appropriate part of the contract and/or delivery orders, and all contract modifications.

A copy of the contract data requirements lists (CDRLs) submitted to the COR as required by the contract, as well as the COR's analysis of the CDRLs and any resulting actions taken.

A copy of the QASP and a record of each individual surveillance conducted, the results, and any actions taken.

All correspondence between COR and the contractor, contracting officer, or others concerning performance of the contract; together with English translations of all correspondence written in a foreign language.

The names and position titles of contractor personnel who serve on the contract.

A record of inspections performed (documenting how, when, and where), the corresponding results, and any analyses.

Copies of all data, reports, and other documentation furnished by the contractor, along with the COR's analysis of those items, actions taken, and the date of each action.

A copy of the trip report of every visit to the contractor's facility. A copy of this report must be provided to the contracting officer within 7 days after each visit. The trip report must identify people contacted, dates, items discussed, and actions taken.

Memoranda for record of minutes of any meetings, site visits, telephone conversations, and other discussions with the contractor or others pertaining to the contract or contract performance. These minutes should include persons present, dates, matters discussed, and actions taken.

Records relating to the contractor's quality control system and plan and the results of the quality control effort.

A copy of the surveillance schedule, progress schedules, and schedule of cumulative payments approved.

A list of government-furnished property.

A copy of all approvals the COR has given to the contractor. These approvals must be a COR-designated authority.

Documentation pertaining to the COR's receipt and acceptance (or rejection) of services performed and/or supplies delivered, including receipts, reports, and other data.

Copies of all DD Form 250s, invoices, vouchers, and receipt documents processed, including COR recommendations relating to them.

Samples, photographs, witness statements, and other factual data to support documentation.

Records of all weather conditions. This is particularly important for administering construction contracts and any other contracts that call for performance out-of doors, where severe weather or bad weather conditions could delay contract performance or completion.

Records of any government actions that affected or influenced contractor performance.

Applicable laboratory test reports.

Copies of deficiency reports.

A copy of each COR monthly report.

Any other documentation and data necessary to provide a complete history of all actions taken by the COR under, or in connection with, the contract.
Contract Surveillance Checklist

 Is the COR maintaining a separate file for each contract?

Is the file clearly indexed to enable ready access to pertinent records?

Has the COR been trained within the past 3 years and is the certificate present?

Is a copy of the COR's letter of appointment or designation in the file?

Does the COR file include the following items:
  • Copy of the contract
  • All modifications
  • All invoices
  • All DD 250s
  • Deficiency reports
  • Copy of QASP
  • Copy of required regulations
  • Memos for the record and other correspondence/e-mail
  • Surveillance checklist
  • Surveillance schedule
  • Environmental plan
  • Maintenance plan
  • Work plan
  • GFP inventory
  • Safety plan
  • Test reports
  • GFP validation?

Has the COR input contractor manpower information?

Does the COR complete the CPARS annually?

Has the COR performed contractor surveillance/site visits?

Are the results of surveillance/inspection documented?

Does the COR complete a periodic contract performance report and forward it to the contracting officer?
COR Compliance-Checking for Construction Contracts Checklist
COR Compliance-Checking for Construction Contracts

Review the contractor's certified payrolls.

Check work sites for required postings.

Conduct labor standard interviews.

Compare payrolls and on-site interviews.

Resolve discrepancies/violations.

Next Page Previous Page

List of All Contributions at This Location

Rss Link
No items found.

Popular Tags

Page Information

At this page:
3083 Page Views 0 Pages Emailed
0 Meta-card Views 0 Documents and Videos
1 Questions 0 Attachments Downloaded
1 Answers 0 Videos downloaded
0 Relationships and Highlights
ID475208
Date CreatedFriday, September 30, 2011 12:54 PM
Date ModifiedWednesday, November 23, 2011 12:52 PM
Version Comment:

Sign In

Login with your CAC

Insert your CAC now, and click this button.

Login with your Password

User Name:

Password:

Forgot your password?

  

Benefits of ACC Membership


ACC Practice Center Version 3.2
  • Application Build 3.2.8
  • Database Version 3.2.8