Attachment 1_Surveillance Activity Checklist (SAC).pdf

Surveillance Activity Checklist (SAC) for ATMO Det Key West Support Services

1. Purpose

This Surveillance Activity Checklist (SAC) is a Government developed and applied document used for systematic quality assurance assessment in the administration of the

Statement of Work (SOW). The intent is to ensure that the Government receives the quality of services and products expected and required as identified in the SOW.

The contract requirement is for technical services to support the mission of the Naval Air

Warfare Center Aircraft Division (NAWCAD), ATMO Key West Detachment. The contractor shall provide environmental, analytical, engineering, communications, training, and administrative services for ATMO Key West NAWCAD. The contractor shall furnish the management and technical support services necessary for the performance of the requirements set forth in accordance with priorities established by the Government. The level of effort (LOE) contract contains cost-plus-fixed-fee (CPFF) labor CLINs, and cost-reimbursable CLINs for travel and material. The contract will be a five-year period of performance, consisting of a one-year base period and four one-year option periods. A properly executed Checklist will assist the Government in achieving the objectives of this procurement.

2. Authority

Authority for issuance of this Checklist is provided under Contract Section E – Inspection and Acceptance, which provides for inspections and acceptance of the services and documentation called for in the contract, to be executed by the Contracting Officer or a duly authorized representative.

3. Scope

The Checklist is put in place to provide Government oversight of performance and the quality of the contractor’s efforts to ensure that they are timely and effective in meeting the requirements specified in the contract.

4. Government Resources

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

Contracting Officer - A 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 Ms. Lauren Farmer, NAWCAD, A2524004. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

Contracting Officer’s Representatives (CORs) - Individuals appointed in writing by the

PCO to act as their authorized representative to assist in administering the contract. The

CORs will be appointed in the resulting contract. The limitations of authority are contained in a written letter of appointment.

Contractor – Communications from the contractor can be useful indicators of meeting or exceeding the requirements, resolving quality and performance issues, and identifying and mitigating any risk.

5. Responsibilities

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

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 contract. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Contracting Officer’s Representative – The COR is responsible for technical administration of the contract and assures proper Government surveillance of the contractor’s performance. The COR is 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 price, terms, or conditions shall be referred to the

Contracting Officer for action.

6. Methods of QA Surveillance

a. Contractor Performance Assessment Reporting System (CPARS) tools –

For this contract the Government CPARS will address the following:

Quality – the quality of products and services provided to meet the requirements.

Schedules – the timeliness of support provided to meet the operational, maintenance, and developmental schedule requirements

Cost - the effectiveness in forecasting, managing, reporting, and controlling contract cost.

Business Relations - the responsiveness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s reasonable and cooperative behavior, effective business relations, and customer satisfaction.

Management – the success with timely recruitment and retaining of qualified personnel to meet the labor requirements, timely award and management of subcontracts, including whether the contractor met small/small disadvantage and women-owned business participation goals, the assignment of responsibility for tasks/actions required by contract, the extent to which the contractor discharges its responsibility for integration and coordination of all activity needed to execute the contract; the identification and application of resources required to meet schedule requirements; the timely submission of CDRLS, and the timely and accurate communication of appropriate information to affected program elements in a timely manner, As this information may affect future source selections throughout DoD and the continuation of the contract, the annual Government CPARS assessment will be used appropriately as an additional performance oversight and communication tool.

b. Surveillance Activity Checklist (SAC) - The form below lists the categories of surveillance that will be used by the COR in the technical administration of the SOW tasks performed by the contractor. (Sample SAC provided in Enclosure 2).

c. Observation, Feedback, and Review – Unscheduled observation of products and services provided by the contractor on site and review of recurring contractor submitted reports and documentation identified in the CDRL will be performed by the government CORs, Feedback from Range customers will be collected and used by the

COR to document surveillance of technical performance, cost control, schedule, communications, responsiveness and overall contract management. Feedback from the

Contractor is encouraged; the Contractor is particularly encouraged to respond to

Evaluator Comments in the SAC regarding any issues, as well as to bring to light achievements or circumstances that may been overlooked by others.

7. Surveillance

The SAC provided in Enclosure (1), will be completed and reviewed with the contractor on a monthly basis, as feedback on the performance of their management and quality control actions for the services and products provided under the contract.

8. SAC Comments

In addition to the performance ratings, the SAC incorporates and encourages comments by

, the CORs,as well as by the Contractor to provide justification for the ratings and to facilitate communication. Evaluator comments are required to document observations and provide suitable justification for any performance rating other than a Satisfactory (S) or a

Not Applicable (N/A). The Contractor is encouraged to provide comments on the SAC in response to Evaluator ratings and comments and to communicate how they will be addressing Marginal or Unsatisfactory ratings.

9. Documentation

In addition to providing an annual report to the Contracting Officer, the COR will maintain a complete Quality Assurance file. 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 originals of the Surveillance Activity Checklists. All such records will be maintained for the life of the contract. The COR will forward these records to the Contracting Officer at termination or completion of the contract.

All SACS are due by the 10th of each month for the preceding month. An incomplete SAC indicates nothing to report and will be considered Satisfactory (S) across the board on;

however, if the COR is aware of any performance achievements or issues, they may fill in the SAC. Additionally, the Contractor may fill in a comment if aware of any performance achievements that may have been overlooked by the Government.

10. Enclosures

Enclosure (1) – Ratings Criteria to be used by evaluators in the SACs

Enclosure (2) – Surveillance Activity Checklist (SAC);

Enclosure (3) – All of the ratings in one particular SAC will tally for each SAC monthly in Enclosure 3.

SURVEILLANCE ACTIVITY CHECKLIST Categories of Surveillance

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 contract 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 how successfully the contractor meets program quality. Assess how successfully the mission is completed in relationship to the contractor support and performance.

Schedule – Assess the contractor’s adherence to the required delivery schedule by assessing the contractor’s efforts during the assessment period that contribute to or effect the schedule variance. Also address significance of scheduled events (i.e., design reviews), discuss causes, and assess the effectiveness of contractor corrective actions.

Management – Assess the contractor’s success with timely award and management of subcontracts, including whether the contractor met small/small disadvantage and women-owned business participation goals. Discuss the extent to which the contractor discharges its responsibility for integration and coordination of all activity needed to execute the contract; identifies and applies resources required to meet schedule requirements; assigns responsibility for tasks/actions required by contract; communicates appropriate information to affected program elements in a timely manner. Assess the contractor’s risk mitigation plans. Assess the contractor personnel ability to complete work competently and courteously. If applicable, identify any other management areas that are unique to the contract.

Cost Control – Assess the contractor’s effectiveness in forecasting, managing, and controlling contract cost. Is the contractor experiencing cost growth or underrun? If so, discuss the causes and contractor-proposed solutions for the cost overruns. Contractor provided labor category per-hour estimates will be monitored and assessed against the rates submitted in the cost proposals. In addition, the extent to which the contractor demonstrates a sense of cost responsibility, through the efficient use of resources in each work effort should be assessed.

Responsiveness – Assess the timelines, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s reasonable and cooperative behavior, effective business relations, and customer satisfaction.

Communication – Assess contractor communications for all areas, including upcoming events and risks.

Safety – Assess the contractors’ adherence to safety regulations and any issues that result from not adhering to safety regulations.

Other areas – Assess additional evaluation areas unique to the contract or to a section of the SOW that cannot be captured elsewhere.

Enclosure (1): Monthly Surveillance Ratings Criteria:

The CORs will perform a monthly assessment of Quality, Schedule, Cost Control, Management, Responsiveness, Communication, Safety and Other Areas as applicable using the evaluation rating definitions listed below. Evaluators or Govt TPOCs that are providing the ratings should use the criteria in Enclosure (1) as a guide. The data captured in these reports will be used by the COR toward the determination of ratings in the annual

CPARS.

Exceptional – must meet all three criteria to qualify for an Exceptional (E) rating.

NOTE: back up comments on the SAC are required whenever Exceptional is rated.

1. Performance meets contractual requirements and exceeds the requirement to the

Government’s benefit (comment required on what this refers to).

2. The contractual performance of the task and sub-task being assessed was accomplished with no problems or issues.

3. The contractor has shown innovation or pro-activeness that is beneficial to the government in some identifiable way (must be identified in the comment section).

Very Good – must meet criteria 1 and 3 to qualify for a Very Good (VG) rating.

NOTE: back up comments on the SAC are required whenever Very Good is rated.

1. Performance meets contractual requirement and exceeds the requirement to the

Government’s benefit (comment required on what this refers to).

2. The contractual performance of the task and sub-task being assessed was accomplished with an occasional minor problem for which corrective actions taken by the contractor have been or seem that the corrective action would be reasonably effective.

3. The contractor has shown innovation or pro-activeness that is beneficial to the government in some identifiable way (must be identified in the comment section).

Satisfactory – must meet at least criteria 1 to be satisfactory (S) rating.

NOTE: back up comments on the SAC are encouraged, but not required.

1. Performance meets contractual requirements as requested with nothing particularly notable as far as exceptionalism or dissatisfaction.

2. The quality of performance was such that it did not create a disruption to the flow of work and is acceptable or minimally disrupted the flow of work but is still acceptable.

3. The contractual performance of the task or sub-task contained no problems or few minor problems for which corrective actions have been taken by the contractor and give the appearance of being an effective solution to the problem.

Marginal – Criteria 1, with or without any other criteria can meet the definition of a

Marginal (M) rating.

NOTE: back up comments on the SAC are required whenever Marginal is rated.

1. Performance does not meet contractual requirements (must be identified in the comment section).

2. The contractual performance of the task and sub-task being assessed reflects a recurring problem that has been previously identified in a SAC, but which no solution has been presented or was presented and is not effective.

3. The contractual performance reflects one or more serious problem for which the contractor has now identified corrective actions.

4. The contractor’s proposed actions from a previously similar incident have been only marginally effective or were not fully implemented at the time of the incident.

5. The problem or issue was such a routine thing that it should not have occurred at all.

Unsatisfactory – Criteria 1 with or without any other of the criteria meet the definition of

Unsatisfactory (U) rating.

NOTE: back up comments are required whenever Unsatisfactory is rated.

1. Performance does not meet contractual requirements (specifics must be identified in the comment section).

2. Recovery of performance is not likely to meet contractual requirements in a timely manner.

3. The contractual performance of the task or sub-task reflects one or more serious problems for which the contractor’s actions appear to have been ineffective.

4. The issue appears to be a recurring one for which corrective action has not been effective or there has been no corrective action identified.

5. The performance being rated represents a risk to the government.

N/A – Select if the SAC requirement is not applicable to the Observer filling out the SAC.

Enclosure (2) - SAC: SAC has been developed to monitor performance for specific

SOW requirements listed in SOW Section 3.3 Task Area Requirements:

CDRL compliance and Contract Management will be rated in the SAC.

Enclosure (3): Each SAC will have their ratings summarized in the table below:

Description Surveillance Method/ Measure

Date Planned

Date Completed

Quality Schedule Cost Control

Business Relations

Mgmt.

Other

Provide continuous inventory control and maintain accountability of all Government Furnished Equipment (GFE).

Surveillance Contracting Officer Representative on a quarterly basis.

TBD

Provide continuous cost analysis and maintain overall project costs and overhead manpower costs.

Surveillance by Contracting Officer Representative on a

Provides scheduled maintenance and maintain all equipment to a high state of reliability.

Surveillance by Contracting Officer Representative on a

Provide un-scheduled maintenance and repair all equipment to a high level of reliability.

Surveillance by Contracting Officer Representative on a

Provide scheduled maintenance of pier equipment and maintain piers to support operational requirements.

Surveillance by Contracting Officer Representative on a

Provide project support services maintaining a high level of customer satisfaction in all aspects of the business base.

Surveillance by Contracting Officer Representative on a

Number of Exceptional 0 0 0 0 0 0 0

Number of Very Good 0 0 0 0 0 0 0

Number of Satisfactory 0 0 0 0 0 0 0

Number of Marginal 0 0 0 0 0 0 0

Number of Unsatisfactory 0 0 0 0 0 0 0

TotalManagement Other Monthly Summary of

Ratings:

Quality Schedule

Cost

Control

Business

Relations

The ratings from all of the tailored SAC will be tallied together each month in the same format as above so that the COR and the Contractor have an overall picture of performance for the entire SOW.

Annual Surveillance:

The COR will perform an annual assessment of overall contract performance utilizing the

CPARS evaluation rating definitions listed in enclosure 1 and the monthly summary of ratings from Enclosure 3.