JLT Responsibility, Accountability, Authority Team

1
JLT Responsibility, Accountability, Authority Team

• Contract Relationships
• A Working Guide
• Civil Servants and Contractor Employees

2
Preamble

• We are all here, civil servants and contractor
  employees, to execute NASAs mission. With this
  common purpose and passion, we have different,
  and yet complementary, roles that are ultimately
  defined by law. Through a rigorous process, the
  government has selected a company or team of
  companies to provide a product and/or service.
  Although contractor employees are working to meet
  requirements defined by civil servants, they are
  nonetheless working for a company when they do
  so, and are being supervised by an individual who
  works for that company. This is necessary to
  ensure that the company is truly accountable for
  its performance in meeting government
  requirements. We are all one team with common
  objectives, and yet we must recognize and honor
  the distinct and complementary roles of civil
  servants and contractor employees.

3
Introduction

• This guide has been created to help you
  understand contract relationships between civil
  servants and contractor employees by addressing
  the constraints, perceptions, situations and
  objectives. For example
• Constraints
• It is necessary to ensure that the contractor
  employees are not perceived as civil servants.
  With a civil servant supervisor, contractor
  employees could be viewed as an unlawful
  extension of the civil service work force.
• Situations
• Contractor and Civil Servant employees desire
  strong relationships and more involvement to
  perform successfully.
• When contractor employees are co-located with
  civil servants, lines of responsibility and
  oversight can become blurred.
• Some tensions may develop between groups
  regarding interaction, performance and benefits,
  which can become amplified when combined with
  tensions due to contract structure, contract
  longevity, and personal issues, etc.
• Perceptions
• While not having direct supervisory authority
  over contractor employees, some civil servants
  are the technical expert in subject areas, and
  may be incorrectly perceived to have supervisory
  authority
• Objectives
• We must create and sustain an open, honest and
  professional environment where all questions and
  concerns relative to the mission are encouraged
  to be brought forward and are addressed in a
  straightforward and cooperative manner.
• Spirited discussions around technical, cost and
  schedule issues are necessary to achieve the
  complex activities we are responsible to the
  American taxpayer to provide. These discussions
  must not become personal.
• We are all part of a team which includes civil
  servants, prime contractor employees and
  subcontractor employees.

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Key Concepts

• Contract Terms and Conditions establish Civil
  Servant/Contractor Employee Relationships
• Contracting Officers (COs) and Contracting
  Officer Technical Representatives (COTRs) are
  responsible for oversight of contracts
• - CO is the only person with authority to
  enter into or change contracts
• - COTR provides technical
  direction/clarification of contract requirements
• - COTRs may have Technical Manager
  Representatives and Performance
• Monitors assisting them in accordance
  with delegated authority.
• Contractor employees work for, and are supervised
  by, the company that employs them
• - Civil Servants, including COTRs and COs, do
  not supervise any
• individual contractor employees
• Personal Services Contracts are prohibited by the
  Federal Acquisition Regulations unless
  specifically authorized by statute
• A personal services contract is characterized by
  an employer-employee relationship between the
  Government and the contractors personnel. Such
  a relationship occurs when, as a result of
  contract terms or manner of administration,
  contractor personnel are subject to relatively
  continuous supervision and control by a
  Government employee.
• More information is available under the Policy
  tab on the JSC Procurement Website
  http//procurement.jsc.nasa.gov/procpub.htm

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Contracting Officer Responsibilities

• Contracting Officers DO
• Authorize and sign contracts and modifications,
  binding the Government
• Ensure contractors compliance with the terms and
  conditions of the contract
• Delegate technical authority to a COTR (must be
  in writing)
• Consent to subcontract (as provided for in
  contract)
• Prepare and issue contract changes
• Coordinate contractor surveillance activities and
  conduct performance evaluations
• For questions regarding the Statement of Work,
  authorized work, contract terms and conditions
  and its interpretation, or other contractual
  issues, contact
• Civil Servants CO/COTR
• Contractor Employees Company Contracting Office

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COTR/TMRs Roles and Responsibilities

• COTRs/TMR DO
• Assure CO that the contractors performance meets
  the technical requirements, terms, and conditions
  of contract
• Inform contractor of failures to comply with
  technical requirements of the contract
• Keep CO fully informed of any technical or
  contractual difficulties encountered during
  performance
• Recommend changes to CO
• Ensure all required items, documentation, data,
  and/or reports are submitted as required by the
  contract
• Evaluate contractor performance
• Perform final inspection and acceptance of all
  work required under the contract, if delegated by
  the CO.
• Act as the Governments primary liaison with the
  Contractor in regards to providing technical
  direction and technical clarification of the SOW

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Civil Servant/Contractor Responsibilities

• Civil Servants and Contractors should
• Conduct themselves in a professional manner
• Demonstrate the JSC Expected Behaviors
• Respectful
• Trustworthy
• Accountable
• Open minded
• Utilize the respective organizations chain of
  command
• Civil Servants and Contractor Management Shall
• Monitor compliance to contractual requirements
  and all applicable regulations and policy
• Voice differences of opinions, alternate
  solutions, or dissenting opinions in a
  constructive manner with an open and honest
  environment
• Remember
• Your conduct is a reflection on NASA

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Reminders

• Contractor Employees Shall NOT
• Be Supervised by civil servant employees
• Accept tasks to contractors out of the scope of
  the contract
• Expect or solicit continual instruction on how to
  perform services
• Perform any kind of personal service contract or
  inherently governmental activity
• Develop contract requirements
• Inherently governmental activities normally
  fall into two categories the exercise of
  sovereign government authority or the
  establishment of procedures and processes related
  to the oversight of monetary transactions or
  entitlements. See FAR 7.5- Inherently
  Governmental Functions for more information.

• Civil Servants Shall NOT
• Supervise contractor employees
• Assign tasks to contractors out of the scope of
  the contract
• Provide continual instruction on how to perform
  services
• Ask a contractor employee to perform any kind of
  personal service contract or inherently
  governmental activity
• Request contractor employees to develop contract
  requirements unless contractually authorized.

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Reminders

• Civil Servants Shall NOT
• Authorize or direct a subcontract
• Direct, agree to, or authorize a change to
  contract terms and conditions
• Approve leave for contractor employees
• Authorize flexible work hours for contractor
  employees
• Direct or authorize contractor employees to work
  overtime
• Only COs are authorized to perform this function

• Contractor Employees Shall NOT
• Accept a directed subcontract from anyone but the
  CO
• Accept direction, agree to, or authorize a change
  to contract terms and conditions from anyone but
  the COs
• Request approval of leave for contractor
  employees from civil servants
• Request flexible work hours authorization for
  contactor employees from civil servants
• Request directions for contractor employees to
  work overtime from civil servants
• Only COs are authorized to perform this function

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Reminders

• Contractor Employees Shall NOT
• Discuss with or request from Civil Servants,
  hiring/firing, promotions, salary increases,
  benefits, or performance issues of contractor
  employees
• Discuss time and attendance issues with Civil
  Servants unless a contractor supervisor needs to
  discuss employees leave/schedule change as it
  impacts office support
• Request feedback for individual contractor
  employees performance evaluations from Civil
  Servants
• In the event you are involved in or witness these
  types of activities, contact your management
  immediately

• Civil Servants Shall NOT
• Discuss or request hiring/firing, promotions,
  salary increases, benefits, or individual
  performance issues with contractor employees
• Deal with time and attendance issues unless a
  contractor supervisor has contacted you to
  discuss employees leave/schedule change and how
  reoccurrences are impacting office support
• Provide feedback for individual contractor
  employees performance evaluations
• In the event you are involved in or witness these
  types of activities, contact your CO or COTR
  immediately

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Avenues of Communication

• If for some reason you feel that the
  Government/contractor relationship is
  inappropriate, violates the FAR, misrepresents
  the Government, or misinterprets the contract,
  your concerns should be elevated in the following
  manner.
• Civil Servants Contractor
  Employees

Elevate if issue cannot be resolved between
parties
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Avenues of Communication

• Procurement Ombudsman
• An ombudsman has been appointed to hear and
  facilitate the resolution of contract-related
  concerns from offerors, potential offerors, and
  contractors during the preaward and postaward
  phases of an acquisition.
• When requested, the ombudsman will protect the
  identity of the source of the concern.
• The existence of the ombudsman is not to diminish
  the authority of the Contracting Officer
• Therefore, before consulting with an ombudsman,
  interested parties must first address their
  concerns to the Contracting Officer for
  resolution.
• The JSC Ombudsman for Procurement Matters is
• Lucy V. Kranz(281) 483-0490lucy.v.kranz_at_nasa.go
  v
• See NPR 5101.33A, Procurement Advocacy Program
  http//nodis3.gsfc.nasa.gov/displayDir.cfm?Interna
  l_IDN_PR_5101_033A_page_nameChange20Historyse
  arch_term5101.33
• Note that the JSC Ombudsman for Procurement is
  separate from the JSC Ombuds Office. See
  http//ombuds.jsc.nasa.gov for information on the
  JSC Ombuds Office.

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When conducting contractor evaluations

• Evaluations should be written around the work
  product, not the individual contractor employees
• Ensure Government surveillance of contract
  performance, NOT supervision, in order to avoid
  the appearance of a personal services contract.
  
• It is not the governments role to grade or
  discuss the performance of individual contractor
  employees.
• The Contracting Officer or COTR will contact the
  contractor, verbally or in writing, in a timely
  manner when there is concern that the product
  and/or services are unsatisfactory.
• The following charts provide some guidance when
  writing strengths and weaknesses regarding
  contractor performance
• Contractors may also use this guidance when
  writing self- evaluations

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Recommendations When WritingStrengths and
Weaknesses
Dos Donts
Do use objective data like metrics, if applicable, to describe technical, cost, and schedule performance in Strengths and Weaknesses. Dont Ignore metrics or areas of emphasis and fail to address how they were considered in the evaluation.
Do include significance of strengths and weaknesses. Combine strengths or weaknesses into one larger input if it is more indicative of a systemic problem, or a significant strength. Dont just say something is significant without justification. All strengths and weaknesses are not equal. Dont write an activity report, substantiate every strength and every weakness by outlining the impact (positive or negative)
Do describe performance problems in terms of products and services and against contract requirement Dont presume causes of performance problems. Dont include loss of skilled contractor personnel as weakness or discuss skills if its a completion form contract - discuss products and services.
Do use factual data versus adjective rating terms and outline benefit to the Government in the discussion of the strength. Dont use adjective rating terms to describe work such as excellent, very good, good, satisfactory, or unsatisfactory
Do include cost and schedule impacts of task/projects delayed or not performed or completed early. Dont advise contractor on how to correct weakness
Do discuss efficiencies and initiatives undertaken by the contractor. Quantify cost avoidance due to innovations of the contractor when possible. Be specific about performance. Dont let emotions get in the way of the facts, do not address an individual contractor employees performance in strengths or weaknesses comment, and do not use employee names.
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Recommendations When WritingStrengths and
Weaknesses
Dos Donts
Use adjective rating scale as a guide to assess contractors performance at evaluation factor level and lower if no other contract-specific rating tool exists. Apply rating scale too literally, at too low a level. The rating scale is intended for application to total contract performance, but can be useful guide to ensure consistency at lower levels lacking any other contract-specific rating tool.
Adequately convey the severity of a weakness that would be considered a deficiency at the contract level. A deficiency" for award fee purposes is a material failure of the contractor to meet a Government requirement or a combination of significant weaknesses that increases the risk of unsuccessful contract performance to an unacceptable level. Assume that all weaknesses are equivalent to a deficiency as used in adjective rating scale. Although it could be, having a weakness(es) may not necessarily preclude rating as excellent based on the significance of the weakness(es).
Do make each finding a complete thought since these charts will stand as the file record. Dont use uncommon acronyms.
Weaknesses should be addressed in the midterm evaluation to allow the contractor the earliest opportunity to address and improve the situation. Dont ask the contractor to write strengths and weaknesses and input should not be solely based on the contractors self evaluation.