1-QASP AD MOBIS 18May09.doc

Quality Assurance Surveillance Plan for Naval Air Warfare Center Aircraft Division

Business and Financial Management Community (BFMC)

Financial, Program, and Business Analysis Support Services 1.

Purpose

This Quality Assurance Surveillance Plan (QASP) is a Government-developed and applied document used to ensure systematic quality assurance methods are used in the administration of the performance-based service contract. This QASP has been developed pursuant to the requirements of the Performance-Based Statement of Work for solicitation number N00421-09-R-0014. The intent is to ensure the contractor performs in accordance with the performance metrics and the Government receives the quality of services called for in the contract.

The services to be obtained under this procurement are for Financial, Program and Business Analysis Support Services. This requirement will provide support to the Naval Air Warfare Center Aircraft Division (NAWCAD) Comptroller Department (AD 10.0) and the Program and Business Analysis Division (AD 7.8), which together are known as the Business and Financial Management Community (BFMC), as well as various NAWCAD and Naval Air Systems Command (NAVAIR) competencies. Services include budget formulation and justification; budget execution and tracking; workload planning and resource management; appropriation allocations and funds reporting; accounting and resource operations; financial policies; preparation, submission and justification of appropriation, manpower, and other resource budgets. The period of performance for this requirement is 01 January 2010 through 31 December 2014. The Government contemplates award of a Multiple Award Contract (MAC) Indefinite delivery Indefinite Quantity (IDIQ) contract with Cost Plus Fixed Fee (CPFF) and Firm Fixed Price (FFP) task orders to include a base year and four one year option periods. A properly executed QASP shall assist the Government in achieving the objectives of this procurement.

2.

Authority

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

3.

Scope

To fully understand the roles and responsibilities of the parties, it is important to first define the distinction in terminology between Quality Control Plan and the Quality Assurance Surveillance Plan. The contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the award. The QASP, on the other hand, is put in place to provide Government surveillance oversight of the contractor’s efforts to assure they are timely and effective and delivering the results specified in the award.

4.

Government Resources

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

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 determinations and findings on behalf of the Government. The PCO for this contract is AIR 2.5.1.5. The ACO shall be designated in the resulting award. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

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

5.

Responsibilities

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

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 who 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 Representative (COR) – 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 authorize any changes on the Government’s behalf. Any changes 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 Report System (CPARS) – The CPARS rating shall be one determinant in exercising an option. The Government for this procurement shall address the quality of product or service, schedule, cost control, business relations, management, and other important areas. As this information may affect future source selections throughout DoD, as well as the continuation of the contract, the annual Government assessment shall be used appropriately as an additional performance oversight and communication tool with the QASP.

b. QASP - The below listed methods of surveillance shall be used by the COR in the technical administration of this QASP.

7.

Surveillance Enclosures (1) and (2) set forth the performance standards, incentives for option(s) exercise, and surveillance methods for the contractor and COR, while enclosure (3) provides the checklist and means for the COR to document the results of the surveillance. Enclosure (3) will be provided to the Contracting Officer on a quarterly basis 8.

Documentation

In addition to providing a report to the Contracting Officer, the COR shall maintain a complete Quality Assurance file. The file shall contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function. All such records shall 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.

9.

Enclosures

Enclosure (1) – Performance Standards Enclosure (2) - Incentives, Rating and Definitions

Enclosure (3) – Monthly Surveillance Activity Checklist

PERFORMANCE STANDARDS

See enclosure 2

Provide accounting and financial support in areas of execution of budget programs and policies; research and analysis to complete data calls and documentation for continuing evolution of ERP; obligations, audits, and invoice processing; ledger analysis, fixed asset accounting; labor reconciliation and billing; entitlement process and contract closeout; and management support including analysis and planning in the use of standardized reporting.

Provide Program and Business Analysis support including administrative support to the budget formulation/execution, accounting, workload, manpower activities, data collection, metric tracking and data calls. Provide support to the JAG in preparation of legal documents, notary services, and tax filing.

Provide Workload Planning support including development of training materials and conducting classroom instruction; support in developing Work Breakdown Structures and Networks and Activities; data collection support and workload analysis studies in support of workload related data calls.

Provide Business Warehouse/Financial Systems support including analysis of BFMC information systems; input for the design, development and implementation of software change requests and database design; support in incorporating new requirements or changes to business practices or processes including requirements analysis, testing, training, and maintaining various business and financial systems.

Provide Workload Planning and Analysis support including the analysis of financial planning data; trend analyses; out year plans; workload analysis by project competency and appropriation; plan vs. actual and work force requirements; and the planning process.

Provide Strategic Operating Plan and Environmental Assessment support in the preparation and development of the NAWCAD Operating Plan including defining the process and developing a format in completing the Plan. Perform an Environmental Assessment including analysis of external sources of information that directly affect financial and technical workload.

Provide analysis and functional support of the Data Warehouse to include all phases of development, testing and maintenance. Provide data collection for data mapping and loading; research data warehouse table discrepancies and perform system and functional validation; prepare test plans and conduct testing; functional support for the redesigning of existing data; perform as a member of the Software Configuration Board.

Conduct analyses in accordance with NAVAIR/NAWCAD policies, goals, and objectives. Products and services are in compliance with Navy policy and are clear and concise and provided on time 100% of the time.

Provide Configuration Management support including the update of planning and process documents; maintain team rosters; update system user ID, repository, and folder privileges; document daily run schedules; monitor and document software activity; enter, update, and maintain version control of various documentation; and maintain hard copy files of manuals, correspondence, System Change Requests and other documentation.

Provide Leadership Teams/Management support including the analysis of specific technical issues; conduct tradeoff analysis and provide recommendations in accordance with DOD/Navy policies, goals and strategies.

Enclosure 1

INCENTIVES, RATINGS AND DEFINITIONS

Incentives

Base:

(-) Does not meet the acceptable performance definition as a condition for exercise of Option I.*

Option 1:

(-) Does not meet the acceptable performance definition as a condition for exercise of Option II.*

(-) Does not meet the acceptable performance definition as a condition for exercise of Option III.*

(-) Does not meet the acceptable performance definition as a condition for exercise of Option IV.*

Option 4:

(-) Negative performance marks which will be reflected in CPARS.

The QASP will be incorporated at the basic contract level, but will be applicable to each task order. Task orders will only be measured on applicable Performance Objectives from this QASP. Additional Performance Objectives may be incorporated at the task order level to supplement the QASP. For task orders that are issued for less than five (5) years, the following will apply:

· Orders without options:

· The Acceptable Performance for all measurement areas must be “Satisfactory” or above.

· The Incentive will be: (+) Positive performance marks which will be reflected in CPARS or (-) Negative performance marks which will be reflected in CPARS.

· Orders with options:

· The Acceptable Performance of all measurement areas must be “Satisfactory” or above for the Base, Option I, and Option II as applicable. Under Option III and Option IV, if applicable, all areas must be at least “Satisfactory” and half or more measurements rated either “Very Good” or “Exceptional”.

· For orders with options, all incentives excluding the final year will be: (+) Meet the acceptable performance definition as a condition for exercise of Option or (-) Does not meet the acceptable performance definition as a condition for exercise of Option*. The incentive for the final year of the task order will be: (+) Positive performance marks which will be reflected in CPARS or (-) Negative performance marks which will be reflected in CPARS.

* The Government will not exercise options under the basic contract or under task orders unless all regulatory requirements are met and the contractor meets the acceptable performance definition as noted above.

All PBWS /CDRL tasks, including PBWS/CDRL sub-tasks, utilizing the following CPARS evaluation ratings, as applicable:

Quality of Product or Service – Assess the contractor’s effort to provide support services that conformed to the Performance Based Work Statement (PBWS). Assess how successfully the contractor meets program quality.

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.

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. For contracts where task or contract sizing is based upon contractor provided person-hour estimates, the relationship of these estimates to ultimate cost should be assessed. 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.

Business Relations – 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.

Management of Key Personnel – Assess the contractor’s performanec in selecting, retaining, supporting, and replacing, when necessary, key personnel.

Utilization of Small Business – Assess compliance with all the terms and conditions in the contract relating to Small Business participation.

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

The CPARS evaluation ratings are as follows:

Exceptional – Performance meets contractual requirements and exceeds many to the Government's benefit. The contractual performance of the element or sub-element 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 element or sub-element 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 appear or were satisfactory.

Marginal - Performance does not meet most 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 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 or were ineffective.

COST MANAGEMENT MATRIX

Enclosure 2

MONTHLY SURVEILLANCE ACTIVITY CHECKLIST

Monthly Surveillance:

The COR will perform a monthly assessment of all areas within the PBWS as applicable utilizing the CPARS evaluation rating definitions listed in Enclosure 2.

Enclosure 3