Attach 1 CSP and SAC.pdf

Contract Surveillance Plan (CSP) for the

NAVAIR Navy ERP Business Office Division Support Services

1. Purpose

This Contractor Surveillance Plan (CSP) with the Surveillance Activity Checklist (SAC) (enclosure 1) is a Government developed and applied document to ensure that systematic quality assurance methods are used in the administration of the Statement of Work (SOW). The intent is to ensure that the Contractor performs in accordance with the SOW and the Government receives the quality of services called for in the contract and resulting task orders.

This acquisition is to contract for services in support of the Naval Air Systems Command (NAVAIR)

Navy Enterprise Resource Planning (ERP) Business Office Division.

The mission of the Navy ERP Program is to standardize Navy business processes for acquisition, financial, logistics and maintenance operations. Integration of these systems provide accountability of the different organizational units within the Navy and timely information for decision making to all levels of management. The NAVAIR Navy ERP Business Office Division (NBO) requires technical and functional services to ensure the Navy ERP solution supports NAVAIR budgets, milestone reviews and supply chain functionality.

These services will include:

Business Solutions Management

Reporting and Analysis Support

User Management Support

Operational Support

The resultant contract is anticipated to be a non-performance based, single-award Indefinite Delivery

Indefinite Quantity (IDIQ) contract with Cost Plus Fixed Fee (CPFF) Level of Effort (LOE) Contract Line

Item Numbers (CLINs) for labor and corresponding cost reimbursable CLINs for materials and travel.

The contract period of performance consists of a five year ordering period. Task orders will be issued as required and the period of performance will be determined upon award of each task order.

A properly executed CSP will assist the Government in achieving the objectives of this procurement and clearly defines performance expectations.

Approximately 100% of the work will be performed at the Government site.

2. Authority

Authority for issuance of this CSP and attached SAC is provided in the contract under Section E -

Inspection and Acceptance, which provides for inspection and acceptance of the services and documentation called for in the contract and resulting task orders, to be executed by the Contracting

Officer or a duly authorized representative.

For Official Use Only

Source Selection Information. See FAR 2.101 and 3.104

N0042120R0153 Attachment 1

3. Scope

To fully understand the responsibilities of the parties, it is important to first define the distinction in terminology between Quality Control Plan and the CSP. The Contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the contract and task orders. The CSP is put into place to provide Government surveillance oversight of the Contractor’s efforts to ensure that they are timely, effective, and are delivering the results as specified in the contract and resulting task orders.

4. Government Resources

The following definitions for Government resources are applicable to this CSP:

Contracting Officer - The person duly appointed with the authority to enter into (Procuring Contracting

Officer (PCO)) or administer (Administrative Contracting Officer (ACO)) contracts and make related determination and findings on behalf of the Government. The PCO for this contract is AIR-2.5.1.8. The

ACO will be designated in the resulting contract. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

Contracting Officer’s Representative (COR) - An individual appointed in writing by the PCO to act as their authorized representative to assist in administering the order. The COR will be appointed in the resulting order. The limitations of authority are contained in a written letter of appointment.

Technical Point of Contact (TPOC) – An individual identified in writing by the PCO to act as a technical expert to assist in administering the order. The TPOC will be identified within the appropriate clause in the resulting order.

5. Responsibilities

The following Government resources shall have responsibility for the implementation of this CSP:

Contracting Officer – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract and safeguards the interests of the United

States in the contractual relationship. It is the Contracting Officer that assures the contractor receives impartial, fair and equitable treatment under the task order. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

Contracting Officer’s Representative (COR) & Technical Point of Contact (TPOC) – The COR and

TPOC are responsible for technical administration of the contract and assures proper Government surveillance of the Contractor’s performance. The COR and TPOC are not empowered to make any contractual commitments or to authorize any changes on the Government’s behalf. Any changes that the

Contractor deems may affect contract and task order price, terms, or conditions shall be referred to the

Contracting Officer for action. The COR will be appointed at the contract level, meaning the COR, along with the TPOC, will be responsible for technical administration, and Government surveillance of all resulting task orders.

For Official Use Only

Source Selection Information. See FAR 2.101 and 3.104

For Official Use Only

Source Selection Information. See FAR 2.101 and 3.104

6. Methods of QA Surveillance

a. Contractor Performance Assessment Report System (CPARS) – The marketplace for engineering and technical contractor support services is very competitive. As such, the successful offeror has a vested interest in the Government-generated CPARS ratings for this contract and resulting task orders. For this procurement, the Government will address the quality of product or service, schedule, cost control, regulatory compliance, management and other important areas. As this information may affect future source selections throughout the Department of Defense (DoD), the Government assessment will be used appropriately as an additional performance oversight and communication tool.

b. SAC - The methods of surveillance listed in the SAC (enclosure 1) shall be used by the TPOC and

COR in the technical administration of the SOW.

c. Observation, Feedback and Review – Unscheduled observation of products and services provided by the contractor on site and recurring review of the contractor submitted reports and documentation identified in the CDRL(s) will be performed by the COR. Feedback from team leads and customers will be collected and used by the COR to document surveillance of performance.

7. Surveillance

The SAC (enclosure 1) will be provided to the Contractor on a monthly basis, as feedback on the performance of their management and quality control actions for services and products provided under this contract and resulting task orders. Enclosure (1) will also be used to document the monthly surveillance reporting requirement via the Procurement Integrated Enterprise Environment (PIEE)

Surveillance and Performance Monitoring (SPM) tool.

8. Documentation

In addition to providing monthly reports to the Contracting Officer, the COR will maintain a complete quality assurance file in SPM. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function, including the original copies of the SACs. All such records will be maintained for the life of the contract. The COR shall forward these records to the Contracting Officer at termination or completion of the contract and task orders.

9. Enclosures

Enclosure (1) - Surveillance Activity Checklist

Source Selection Information. See FAR 2.101 and 3.104

Enclosure (1) Surveillance Activity Checklist

All SOW/CDRL tasks, including SOW/CDRL sub-tasks, will be assessed focusing on the following:

Quality of Product or Service – Assess the Contractor’s effort to transform operational needs and requirements into an integrated solution. Areas of focus may include the planning and management of program tasks, the quality of support provided throughout all phases of execution, the integration of program management specialties, management of interfaces, and the management of a totally integrated effort of all program management concerns to meet cost, performance, and schedule objectives. Assess accuracy of reports/data and how successfully the Contractor meets program quality.

Schedule – Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedules and administrative requirements. This assessment of the contractor’s adherence to the required delivery schedule should include the contractor’s efforts during the assessment period that contribute to or affect the schedule variance. This element applies to contract closeout activities as well as contract performance.

Cost Control – Assess the Contractor’s effectiveness in forecasting, managing, and controlling costs.

Assess the contractor’s ability to perform within the total estimated cost; cost growth or under run and applicable causes. Assess any innovative approaches implemented by the Contractor that resulted in cost savings. In addition, assess the extent to which the contractor demonstrates as sense of cost responsibility, through the efficient use of resources in each work effort.

Regulatory Compliance – Assess compliance with all terms and conditions in the contract relating to applicable regulations and codes. Consider aspects of performance such as compliance with financial, environmental (i.e. Clean Air Act, Clear Water Act), safety and labor regulations as well as any other reporting requirements in the contract terms and conditions.

Management – Assess the contractor’s success with timely award and management of subcontracts, including whether the contractor met small business participation goals. Discuss the extent to which the contractor discharges its responsibility for integration and coordination of all activities needed to execute the contract and resulting task orders. Discuss the extent to which the contractor identifies and applies resources required to meet schedule requirements, assigns responsibility for tasks/actions required, and communicates appropriate information to affected program elements in a timely manner. Assess the contractor’s risk mitigation plans. If applicable, identify any other management areas that are unique to the individual task orders.

Other Areas – Assess additional evaluation areas unique to the individual task order or that cannot be captured elsewhere.

The evaluation ratings for all areas are as follows:

Exceptional - Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the task/sub-task being assessed was accomplished with few minor problems for which corrective actions taken by the Contractor were highly effective.

Source Selection Information. See FAR 2.101 and 3.104

Metrics – Exceptional:

• Quality: Fully meets all quality expectations and requirements more than 95% of the time; and corrective action was acceptable and effective.

• Schedule: Meets all schedule/delivery due dates more than 95% of the time and corrective action taken for past due items was appropriate and effective.

• Cost Control: Cost is within 5% of forecast based on most recent changes approved by the government.

• Regulatory Compliance: The contractor meets all of the government’s expectation for compliance of regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions more than 95% of the time; and corrective action was acceptable and effective.

• Management: Management of subcontracts, coordination of activities, applies resources required to meet schedule and contract requirements; assignment of responsibility for asks/actions; risk mitigation plans; and communication meet expectations and are performed in a timely manner

95% of the time.

• Other: Meets requirements more than 95% of the time.

Very Good - Performance meets contractual requirements and exceeds some to the Government’s benefit.

The contractual performance of the task/sub-task being assessed was accomplished with some minor problems for which corrective actions taken by the Contractor were effective.

Metrics – Very Good:

• Quality: Fully meets all quality expectations and requirements more than 90% of the time; and corrective action was acceptable and effective.

• Schedule: Meets all schedule/delivery due dates more than 90% of the time and corrective action taken for past due items was appropriate and effective.

• Cost Control: Cost is within 10% of forecast based on most recent changes approved by the government and explanation of cost deviation was acceptable.

• Regulatory Compliance: The contractor meets or exceeds some of the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions more than

90% of the time; and corrective action was acceptable and effective.

• Management: Management of subcontracts, coordination of activity and applies resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communication meet expectations and are performed in a timely manner more than 90% of the time and the Contractor is making necessary adjustments to meet government expectation.

• Other: Meets requirements more than 90% of the time and is taking appropriate corrective action to improve performance.

Source Selection Information. See FAR 2.101 and 3.104

Satisfactory - Performance meets contractual requirements. The contractual performance of the task/sub-task contains some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

Metrics – Satisfactory:

• Quality: Fully meets all quality expectations and requirements more than 80% of the time; and corrective action proposed/taken is appropriate.

• Schedule: Meets all schedule/delivery due dates more than 80% of the time and time corrective action taken for past due items was appropriate and effective.

• Cost Control: Cost is within 15% of forecast based on most recent changes approved by the government and explanation of cost deviation is acceptable; and proposed cost mitigation is acceptable.

• Regulatory Compliance: The contractor meets the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions more than 80% of the time; and corrective action was satisfactory.

• Management: Management of subcontracts, coordination of activity and applies resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communication meet expectations and are performed in a timely manner more than 80% of the time and the Contractor is making necessary adjustments to meet government expectation.

• Other: Meets requirements more than 80% of the time and the Contractor is taking appropriate corrective action to improve performance.

Marginal - Performance does not meet some contractual requirements. The contractual performance of the task/sub-task being assessed reflects a serious problem for which the Contractor has not yet identified corrective actions. The Contractor’s proposed actions appear only marginally effective or were not fully implemented.

Metrics – Marginal:

• Quality: Meets quality expectations and requirements less than 70% of the time; and corrective action proposed/taken is often not appropriate.

• Schedule: Meets schedule/delivery due dates less than 70% of the time and corrective action taken for past due items was often not appropriate and ineffective.

• Cost Control: Cost was not within 20% of forecast based on most recent changes approved by the government or explanation of cost deviation was not acceptable; or proposed cost mitigation was not acceptable.

• Regulatory Compliance: The contractor meets the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting

Source Selection Information. See FAR 2.101 and 3.104 requirements as specified in the contract terms and conditions less than 70% of the time; and corrective action has not yet been taken or actions were marginal or not fully implemented.

• Management: Management of subcontracts, coordination of activity and application of resources to meet schedule and contract requirements; or assignment of responsibility for tasks/actions; risk mitigation plans and communication meet expectations less than 70% of the time and the

Contractor is not making necessary adjustments to meet government expectation.

Unsatisfactory - Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the task/sub-task contains a serious problem(s) for which the Contractor’s actions appear or were ineffective.

Metrics – Unsatisfactory

• Quality: Meets quality expectations and requirements less than 69% of the time; and corrective action proposed/taken is not appropriate or ineffective. Contractor is unlikely to meet quality expectations in the near future.

• Schedule: Does not meet all schedule/delivery due dates less than 69% of the time or corrective action taken for past due items was not appropriate or ineffective. Contractor is responsible for the failure to meet schedule and is likely to continue to fall behind schedule.

• Cost Control: Cost was more than 20% of forecast based on most recent changes approved by the government or explanation of cost deviation was not acceptable; or proposed cost mitigation was not acceptable or ineffective. The Contractor had the opportunity to control and failed to do so and is unlikely reduce cost or maintain the current cost deficit.

• Regulatory Compliance: The contractor meets the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions less than 69% of the time; and corrective action was ineffective, not yet taken or unlikely to meet compliance or reporting requirements in the near future.

• Management: Management of subcontracts, coordination of activity and application of resources to meet schedule and contract requirements; or assignment of responsibility for tasks/actions; or risk mitigation plans; or communication to meet expectations are not performed in a timely manner less than 69% of the time or is not making necessary adjustments to meet government expectation.

The Contractor is unlikely to establish control in the near future.

• Other: Meets requirements less than 69% of the time or is not taking appropriate corrective action to improve performance. The Contractor is unlikely to meet requirements in the near future.

Source Selection Information. See FAR 2.101 and 3.104

SURVEILLANCE ACTIVITY CHECKLIST

MONTHLY

The TPOC and COR will perform a monthly assessment of Quality, Schedule, Cost Control, Regulatory

Compliance, Management and Other Areas to the PCO for approval via SPM. A yearly summary will be sent to the contractor via CPARS utilizing the evaluation ratings listed above.

Source Selection Information. See FAR 2.101 and 3.104

PERFORMANCE STANDARDS – TASKS

Description Surveillance

Method/Measure

Date

Planned

Date

Completed Quality Schedule

Cost

Control

Regulatory

Compliance Management Other

SOW Section 3.3.1

- Provide incident management support by monitoring and resolving end-user trouble calls

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002) and Customer

Feedback

- User trouble calls are acknowledged and resolved in accordance with

Navy ERP Tier 2

Service Level

Targets.

SOW Section 3.3.1

- Provide support for Navy ERP test activities.

Coordinate test activities in support of changes to the

Navy ERP application, NAVAIR or Navy business process changes, and/or

Navy ERP Software

Upgrades. Identify test candidates, track status and record progress and results in the NBO provided tools or other format as necessary.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002) and Random

Checks

- Test results are recorded in accordance with the NAVAIR

Navy ERP

Testing Desk

Guide

SOW Section 3.3.1

- Provide expertise to support defect

- Surveillance by

COR and TPOC using Monthly

Source Selection Information. See FAR 2.101 and 3.104 management activities. Perform analysis and provide recommendations for resolution, and/or workarounds, for system deficiencies.

Provide Navy ERP

Production

Schedule inputs, monitor and document job failures and deviations.

Contractor

Progress/Status

Reports (A002), and Random

Checks

Navy ERP sustainment defects / action items analyzed and provided an initial business impact assessment and recorded in accordance with the SOW.

SOW Section 3.3.2

- Provide support to all aspects of business intelligence to include reporting / analytics / dashboards, data warehousing, data integration, data mapping, data management, data governance, archiving, security, and meta data management.

Support the planning, analysis, transformation and migration of data into Navy ERP and associated systems.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Random Checks and Customer

Feedback

- Reports / dashboards are completed by the required date.

- Created / updated master data entries are accurate and performed on or before required completion date.

SOW Section 3.3.3

– Assist users with the submission, tracking and reviewing of Access

Enforcer requests.

Serve as the

Information

Assurance Manager

(IAM) for the

NAVAIR Navy

ERP Business

Office. Serve as the

Government

Security Manager

(GSM) / Facility

Security Officer

(FSO) delegate.

Identify changes to

Navy ERP roles to

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Random Checks and Customer

Feedback

- User role requests are processed accurately and in accordance with established Desk

Guides / NBO internal processes.

Source Selection Information. See FAR 2.101 and 3.104 support NAVAIR reorganizations.

SOW Section 3.3.3

– Provide

Competency

Designated Role

Administrator

(CDRA) training and develop associated training materials. Develop, maintain and distribute documentation and reports to support

NAVAIR Navy

ERP training activities. Support

NAVAIR Navy

ERP Training environment.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Random Checks and Customer

Feedback

- Training support documentation and training tasks are accurate and performed on time.

Source Selection Information. See FAR 2.101 and 3.104

SOW Section 3.3.4

– Provide

Operational

Requirements

Analysis and

Support to the

NAVAIR Navy

ERP Business

Office to include:

manage space, technical requirements and equipment for government and contractor resources as the NMCI /

NGEN POC and facility coordinator;

maintain organization of and access to NBO collaboration tools;

and execute

Physical Security /

Visitor Control and

Emergency

Management program.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Random Checks and Customer

Feedback

- Listings of technical elements spreadsheet and space map are updated in accordance with the SOW.

- Security breaches acknowledged and investigated in accordance with SOW.

SOW Section 3.3.4

– Provide

Program Support to include: Office

Reception;

personnel on-boarding and off-boarding activities;

Conference Room management;

maintain employee communications and work schedule management products; and assist with travel orders and claim processing.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Random Checks and Customer

Feedback

- Office

Reception and

Visitor control executed in accordance with the SOW.

- Personnel processing activities executed in accordance with the SOW.

Source Selection Information. See FAR 2.101 and 3.104

SOW Section 3.3.1, 3.3.2, 3.3.3, 3.3.4 –

Provide support to the NAVAIR Navy

ERP Business

Office with the identification, development and maintenance of process documentation

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Standard

Operating

Procedures

(SOPs) and Desk

Guides for

NAVAIR NBO

(A004), Random

Checks and

Customer

Feedback

SOW Section 3.3.1, 3.3.2, 3.3.3, 3.3.4 –

Support the development, collection, analysis and reporting of business metrics.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), and Random

Checks

- Metric documentation prepared in accordance with schedules and published due dates.

Source Selection Information. See FAR 2.101 and 3.104

SOW Section 3.0 -

Perform activities to support effective contract management and ensure compliance.

- Surveillance by

COR and TPOC using Monthly

Contractor

Progress/Status

Reports (A002), Random Checks and Customer

Feedback

- Contractor complies with program management, administrative functions, Government requirements, etc., as set forth in the SOW and ensures compliance with established policies, procedures and requirements.

Source Selection Information. See FAR 2.101 and 3.104

PERFORMANCE STANDARDS - DATA

Description Surveillance

Method/Measure

Date

Planned

Date

Completed Quality Schedule

Cost

Control

Regulatory

Compliance

Management Other

CDRL A001

Monthly

Progress/Cost and Tasking

Hours Report

100% Inspection by COR, TPOC

CDRL A002

Monthly

Contractor

Progress /

Status Report

100% Inspection by COR, TPOC, and Team Leads

CDRL A003

Monthly Trip

Report

100% Inspection by COR, TPOC, CDRL A004

Standard

Operating

Procedures

(SOPs) and

Desk Guides for NAVAIR

Navy ERP

Business

Office

Random Checks by COR, TPOC

SAC Monthly Summary of Ratings

For the period of: ____________

Quality Schedule Number of Exceptional ____ Number of Exceptional ____

Number of Very Good ____ Number of Very Good ____

Number of Satisfactory ____ Number of Satisfactory ____

Number of Marginal ____ Number of Marginal ____

Number of Unsatisfactory ____ Number of Unsatisfactory ____

Cost Control Regulatory Compliance

Number of Very Good ____ Number of Very Good ____

Number of Satisfactory ____ Number of Satisfactory ____

Management Other Areas

Number of Very Good ____ Number of Very Good ____

Number of Satisfactory ____ Number of Satisfactory ____

SAC ANNUAL SUMMARY OF RATINGS

FOR THE PERIOD OF: _______________

The COR will perform an annual summary of overall contract performance utilizing the CPARS evaluation rating definitions listed above and the SAC monthly summary of ratings.

Description Surveillance Method

/Measure

Date

Planned

Date

Completed

Summary

Rating /

Results

Quality Review of Monthly

Ratings

TBD

Schedule Review of Monthly

Cost Control Review of Monthly

Regulatory

Compliance

Review of Monthly

Management Review of Monthly

Other Areas Review of Monthly