Attachment J-4 iCSS_Surveillance Activity Checklist_N6134025R0004 (1).docx

06-Dec-24 06-Dec-24

Surveillance Activity Checklist for Naval Air Warfare Center Training Systems Division

1. Purpose

The Surveillance Activity Checklist (SAC) is a Government developed and applied document used to establish the procedures and guidelines to be used in monitoring and evaluating the Contractor’s performance. The objective of the SAC is to ensure adequate quality controls and appropriate surveillance methods are in place to ensure that performance is in accordance with the requirements of the Statement of Work (SOW) and that the Government receives the quality of services required under the contract.

This SAC describes how the Government will observe, evaluate and document the Contractor’s performance in meeting the critical requirements identified in the contract. The term contract, used herein, includes the terms of the basic contract and any task orders (if applicable). Because the services are non-performance based, a SAC will be used by the Contracting Officer’s Representative (COR) to monitor the Contractor’s performance.

2. Background

This contract requirement is for Internal Contractor Support Services (iCSS) at the Naval Air Warfare Center Training Systems Division (NAWCSTD) and will have a Mobilization period followed by a stated period for support. The contract will have a Firm-Fixed-Price (FFP) CLIN for Mobilization, Cost-Plus-Fixed-Fee CLINs for labor and a Cost CLIN for travel, as applicable.

3. Authority Authority for issuance of this SAC is provided under 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 Procuring Contracting Officer (PCO) or a duly authorized representative(s).

4. Scope To fully understand the roles and responsibilities of the parties, it is important to first define the distinction in terminology between the Contractor’s Quality Control Plan (QCP) and the Government’s SAC. The Contractor, not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth under the contract. The SAC is established to provide Government surveillance and oversight of the Contractor’s efforts to ensure that they are timely, effective and are delivering the results specified in the contract and task orders (if applicable).

5. Government Resources and Responsibilities The Government resources that are involved with Contractor surveillance and oversight have the following roles and responsibilities:

Procuring Contracting Officer (PCO) - A person duly appointed with the authority to enter into, administer, or terminate contracts and make related determination and findings on behalf of the Government. The PCO is appointed via a written warrant, which sets forth the limitations on his/her authority.

The PCO will monitor performance of all necessary actions for effective contracting to ensure compliance with the terms of the contract and safeguard the interests of the United States in the contractual relationship. It is the PCO that ensures the Contractor receives impartial, fair and equitable treatment under the contract. Some of the PCOs responsibilities include:

· Ensuring Contractor compliance with all requirements of the contract, performing contract administration (unless otherwise delegated), and monitoring cost and property control.

· Addressing administrative actions arising from unresolved differences between the COR and the Contractor.

· Making any changes to the contract that impact performance, schedule or cost/price.

· Evaluating the performance of the COR in monitoring SOW execution.

Contracting Officer Representative (COR). An individual(s) appointed in writing by the PCO to act as the PCO’s authorized representative to assist in administering the contract or task order. The limitations of authority are contained in a written delegation form. The COR(s) is responsible for technical administration of the contract and assures proper Government surveillance of the Contractor’s performance. The COR(s) 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 PCO for action. The COR(s) has the following responsibilities:

· Conduct surveillance of Contractor performance in accordance with the SAC, to include, but not limited to: monitoring, commenting, and reporting of Contractor performance and progress; ensuring the Contractor complies with reporting requirements; ensuring all necessary inspections are performed; reviewing and evaluating Contractor reports; reviewing cost vouchers in Wide Area Workflow (WAWF) to ensure they are accurate and commensurate with actual performance; notifying the Contractor of discrepancies observed during surveillance; and communicating with the PCO regarding Contractor performance.

· Coordinate SAAR form approvals, base access, IT approvals, and other security documents, as required.

· Maintain an effective line of communication with the Contractor and PCO.

· Provide feedback for the Contractor Performance Assessment Reporting System (CPARS).

· Maintain COR file with Nomination and Designation forms, proof of training, contractual documentation, including Statement of Work, CDRL submissions, contract award & all modification documents, and all relevant correspondence.

· Complete a monthly report to document actions taken by the COR in performance of functions, duties, and/or responsibilities, to include completion of the SAC and upload documentation into the COR Tool.

· Ensure the contract does not become a vehicle for personal services.

· Maintain a Quality Assurance file.

· Perform duties as described in paragraph 7(c) of NAVAIRINST 4200.57

· Perform other duties as prescribed in NAVAIR clause 5252.242-9511- Contract Administration Data

· Perform other duties as assigned by the PCO.

In addition to the above guidance, the following restrictions apply to the COR(s):

· The COR(s) cannot award or sign any contract or contract modification.

· The COR(s) cannot obligate payment of monies.

· The COR(s) cannot change schedules, funds, or scope of the contract.

· The COR(s) cannot make any contractual agreements, commitments, or modifications involving price, quantity, quality, or delivery schedule.

6. Methods of QA Surveillance The following methods will be utilized by the PCO and/or COR(s) in surveilling the Contractor’s quality control efforts and performance:

a. SAC – The below listed methods of surveillance will be used by the COR(s) in the technical administration of this SAC:

· Daily, bi-weekly, monthly, and impromptu visual and/or administrative inspection and observation of Contractor performance.

· Review and verification of reports and documentation.

· Reported customer complaints that have been validated by the COR(s) through documented investigation.

· Surveillance as associated with any other applicable instructions and notices.

Degree of surveillance may be increased or reduced on Government election dependent on Contractor performance trends.

Enclosures 1 and 2 establish the basic scoring and reporting methodology for surveillance documentation.

The COR(s) will assess the contractor’s performance by random sampling of completed actions, review of reports (to include submitted invoices), auditing of tracking databases, customer feedback, and review of CDRLs. In addition to providing monthly reports to the PCO (via the COR Tool), the COR(s) will maintain a Quality Assurance file consisting of the results of monitoring activities, such as: Contractor’s conformance to contract requirements; results of review and analysis of contractor reports, progress deliverables and invoices in comparison with observed/actual performance; conversation records; e-mail correspondence; observation notes; and input/feedback received from individuals. The COR(s) will review, comment, and report on the contractor’s progress and ensure the contractor complies with reporting requirements in accordance with the required CDRLs. The COR(s) will review contractor invoices and keep track of funds expended to ensure proper labor categories and hours are charged and verify that travel and other items appear consistent and reasonable based on the work performed. At the end of each month, the COR(s) will review the performance information collected and document it in the monthly report.

All COR observations shall be documented fully and written in a professional manner in order to be potentially introduced in court as a valid, legally binding document. All COR documentation shall be dated and signed and maintained in the COR files. The COR’s file shall contain, at a minimum, the following:

· Copies of signed COR delegation forms

· A copy of the contract and all modifications (to include attachments and exhibits)

· A copy of the SAC and all subsequent revisions

· The names and titles of individuals on the contract administration team

· A record of all accepted reports, evaluations, reviews, and verification of required documentation

· Memoranda for record or minutes of any pre-performance meetings or conferences

· Memoranda for record or minutes of any meetings and discussions with the Contractor, or others, pertaining to the contract or contract performance or changes to the SOW

· Files required by the PCO (COR File Checklist) Additionally, upon receipt of a CDRL, the COR(s) will complete, sign and date the Data Item Transmittal form. In the event the COR(s) disagrees with the CDRL submittal, the COR(s) will include comments explaining the non-conformance findings.

8. Remedies for Poor Performance

Remedies to address Contractor poor performance include: instituting re-inspection; ensuring the retraining or recertification of offending Contractor personnel (depending on the severity of the situation); requiring correction of deficiencies; reflecting status in the CPARS; and reconsidering continued contract performance or the issuance of future task orders (as applicable). In some cases, where the work is performed as a comingled effort by Government and Contractor personnel, the Government may be unable to determine responsibility for work deficiencies. Consequently, the required methods, processes or Government furnished materials will be analyzed to determine the cause of the work deficiency and recommend corrective action.

Unacceptable Contractor performance or negative performance trends shall be addressed as follows:

· Monthly Performance Report comment/remarks

· Email and written correspondence to the Operations Manager with a copy to the PCO

· COR Meeting with Operations Manager, followed by COR documentation of meeting results to PCO

· Increased COR and system surveillance

· With PCO concurrence, COR request for Contractor corrective action plan for unacceptable performance or a quality control plan review

· PCO /Contractor Meetings

· CPARS inputs noting unacceptable performance; Increased periodicity of CPARS (Inputs from NAWCTSD PJM /COR/ Contract Specialist)

· Show Cause Letter from PCO

· Government election to terminate the contract or not issue further task orders (if applicable) The COR(s) will initial, date and sign, and present the Quarterly Performance Assessment findings to the Contractor. The COR(s) will document the date when the Quarterly Performance Assessment findings were provided to the contractor. If a Contractor refuses to sign a written report due to poor performance, the COR(s) will note this at the bottom of the report as follows: “Presented to the Contractor Site Manager, and Contractor refused to sign”.

9. Quality Assurance Systems:

Not applicable – Contractor personnel will be augmenting US Government personnel.

10. Enclosures

ENCLOSURE 1 – QUARTERLY PERFORMANCE ASSESSMENT

ENCLOSURE 2 – CPARS EVALUATION AREAS

ENCLOSURE 1 – Quarterly Performance Assessment:

The COR(s) will perform a quarterly assessment of Quality of Product or Service, Schedule, Cost Control, Management, Regulatory Compliance, and Other Areas as applicable utilizing the current Contractor Performance Assessment Reporting System (CPARS) evaluation rating definitions as listed in Enclosure (2).

COR Name:

Date

Contract/Task Order

Quarter

Quarterly Performance Assessment

Cost Control

100% review and inspection by COR

Note:

Enter the following ratings in areas A through F, above: E (Exceptional), VG (Very Good), S (Satisfactory), M (Marginal), or U (Unsatisfactory).

Comments (Required):

ENCLOSURE 2 – CPARS EVALUATION AREAS

DEFINITIONS FOR EVALUATION AREAS/RATINGS

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

Quality of Service – Assess the Contractor's conformance to contract requirements and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety and health standards). Assess how successfully the Contractor meets program quality. The assessing official must be flexible in how Contractor success is measured; e.g. using data from turnover rates and timeliness of onboarding, ability to meet skillmix qualifications, and overuse of qualifications/certification waivers. These quantitative indicators may be useful later, for example, in source selection evaluations, in demonstrating continuous improvement, quality and reliability leadership that reflects progress in total quality management.

Schedule – This assessment of the Contractor’s adherence to the mobilization schedule should include the Contractor's efforts during the assessment period that contributes to or impacts the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions (if applicable), or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation. Any Quality Deficiency Record (QDR), and/or any documented positive or negative trends should be noted.

Cost Control – Assess the contractor’s effectiveness in forecasting, managing, and controlling contract cost. Is the contractor experiencing cost growth or under run? If so, discuss the causes and contractor-proposed solutions for the cost overruns. 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.

Management – Discuss the extent to which the Contractor 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. Address the Contractor’s actions to hire, train and maintain personnel. If applicable, identify any other management areas that are unique to the contract.

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

The evaluation ratings are as follows:

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

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

Satisfactory - Performance meets contractual requirements. The contractual performance of the task and sub-task contain some minor problems for which corrective actions taken by the Contractor appeared to be or were satisfactory.

Marginal - Performance does not meet some contractual requirements. The contractual performance of the task and sub-task being assessed reflect 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.

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

Attachment (5)