Attachment_1_Surveillance_Activity_Checklist.pdf

Attachment 1

Surveillance Activity Checklist (SAC)

For the Engineering, Management and Technical Support

Services for the Reliability, Maintainability and System Safety

Engineering Departments

1. Purpose

This Surveillance Activity Checklist (SAC) is a Government developed and applied document used to make sure the 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 performance metrics and the Government receives the quality of services called for in the contract and task orders.

This contract requirement provides for engineering and technical support for reliability, maintainability, testability, quality assurance, diagnostic, and system safety analyses during the design, development production, and in-service cycles of Naval aircraft and their systems. Specifically, the contractor shall provide program/project management, engineering design and integration analysis, test planning, test support, test reporting.

The resulting vehicle will be a performance-based, Cost Plus Fixed Fee Indefinite-

Delivery, Indefinite-Quantity (IDIQ) contract with a five year period of performance. A properly executed SAC will assist the Government in achieving the objectives of this procurement and provide the contractor with clearly defined performance expectations.

2. Authority

Authority for issuance of this SAC is provided in the task order under Section E, Inspection and Acceptance, which provides for inspection and acceptance of the services and documentation required 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 and the SAC. 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 or task orders.

The SAC, executed to provide Government surveillance oversight of the Contractor’s quality control efforts to ensure that they are timely, effective and are delivering the results specified in the contract or task order.

4. Government Resources

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

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 Ms. Melinda K. Stann, AIR-2.5.1.5. The

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

Representative (COR) – An individual appointed in writing by the PCO to act as their authorized representative to assist in administering the contract. The COR will be designated in the resulting contract and individual task orders. The limitations of authority are contained in a written letter of designation.

5. Responsibilities

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

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 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 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 Surveillance

a. Contractor Performance Assessment Report System (CPARS) – The marketplace for contractor support services is very competitive. As such, the successful offeror has a vested interest in the Government-generated CPARS, rating under this contract as a substandard rating could have an adverse impact on future proposal evaluations. An evaluation using the CPARS format will be performed at the midpoint of each contract year. For this procurement, the Government will address the quality of product or service, schedule, cost control, business relations, management of key personnel, and other important areas. As this information may affect future source selections throughout the Department of Defense (DoD) and the continuation of the contract, the annual

Government assessment will be used appropriately as an additional performance oversight and communication tool in addition to the SAC.

b. SAC - The below listed method of surveillance shall be used by the COR in the technical administration of this SAC. In addition to the below instruction, the form to be used for documentation of surveillance is the Surveillance Activity Checklist provided as

Enclosure (2) herein.

7. Identified QA Surveillance Tasks

Enclosures (1), (2), and (3) set forth the performance standards, incentives, and surveillance methods for the contractor and COR while enclosure (4) provides the checklist and means for the COR to document the results of the surveillance. Enclosure

(4) will be provided to the Contracting Officer on a quarterly basis.

8. Documentation

In addition to providing annual reports to the Contracting Officer, the COR shall 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 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 officer at termination or completion of the contract.

9. Enclosures

Enclosure (1) - Reliability, Maintainability and System Safety Support Performance

Standards Enclosure (2) - Data Performance Standards

Enclosure (3) - Incentives

Enclosure (4) - Surveillance Activity Checklist

Enclosure 1

RELIABILITY, MAINTAINABILITY & SYSTEM SAFETY

SUPPORT PERFORMANCE STANDARDS

Description Performance Standard and

Acceptable Quality Level (AQL)

Surveillance

Method/Measure Incentives

Provide engineering design analysis and support

SOW para 4.1.1, 4.1.2, 4.1.7, 4.1.8, 4.2.1, 4.2.2, 4.2.7, 4.2.8, 4.4.1, 4.4.2, 4.4.7, 4.4.8, 4.5.1, 4.5.2, 4.5.7, 4.5.8. 4.6.1, 4.6.6, 4.7.1, 4.7.6, 4.9.1, 4.9.6. 4.10.1, 4.10.6

Support the development of design analysis documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

100% Reviewed by

Contracting Officer

Representative via customer feedback

See enclosure 3.

Provide engineering testing and design verification support

SOW para. 4.1.3, 4.1.4, 4.1.6, 4.1.7, 4.1.8, 4.2.3, 4.2.4, 4.2.6, 4.2.7, 4.2.8, 4.4.3, 4.4.4, 4.4.6, 4.4.7, 4.4.8, 4.5.3, 4.5.4, 4.5.6, 4.5.7, 4.5.8, 4.6.2, 4.6.5, 4.6.6, 4.6.7, 4.7.2, 4.7.5, 4.7.6, 4.7.7, 4.9.2, 4.9.5, 4.9.6, 4.9.7, 4.10.2, 4.10.5, 4.10.6, 4.10.7

Support the development of testing documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

100% Reviewed by

Contracting Officer

See enclosure 3

Provide engineering data documentation and reporting

SOW para 4.1.1, 4.1.2, 4.1.3, 4.1.4, 4.1.9, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 4.2.9, 4.4.1, 4.4.2, 4.4.3, 4.4.4, 4.4.9, 4.5.1, 4.5.2, 4.5.3, 4.5.4, 4.5.9, 4.1.6, 4.6.4, 4.6.6, 4.7.1, 4.7.4, 4.7.6, 4.9.1, 4.9.4, 4.9.6, 4.10.1, 4.10.4, 4.10.6

Develop documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

100% Reviewed by

Contracting Officer

Provide technical support to meetings and design reviews

SOW para 4.1.5, 4.2.5, 4.4.5, 4.5.5, 4.6.3, 4.7.3, 4.8.3, 4.9.3, 4.10.3

Develop documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

100% Reviewed by

Contracting Officer

Provide In-Service engineering analyses

SOW para 4.3.1, 4.3.2, 4.3.3, 4.3.4, 4.3.5, 4.3.6, 4.3.7, 4.3.8, 4.3.9, 4.8.1, 4.8.2, 4.8.3, 4.8.4, 4.8.5, 4.8.6, 4.8.7

Develop documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

100% Reviewed by

Contracting Officer

Enclosure 2

DATA PERFORMANCE STANDARDS

Description Standard AQL Surveillance

Measure Incentives

Technical Report

(Status/Services)

Submission is in accordance with the

DID cited in the

CDRL(A001).

90% acceptable on first submission to

Government100% acceptable on subsequent submission to

Government

100% Inspection by Contracting

Officer

Representative

Progress Status and

Management Report

Submission is in accordance with the

DID cited in the

CDRL(A003)

90% acceptable on first submission to

Government100% acceptable on subsequent submission to

Government.

100% Inspection by Contracting

Officer

Status Report COR

Submission is in accordance with the

DID cited in the CDRL

(A004).

90% acceptable on first submission to

Government100% acceptable on subsequent submission to

Government.

100% Inspection by Contracting

Officer

Enclosure 3

INCENTIVES

The following incentives shall apply to performance under this contract.

Assessment Period Acceptable Performance

Definition How Measured Incentives

Evaluation Period 1

All measurement areas rated “Satisfactory”. See below.

Midpoint of the assessment period (6 month) evaluation using the CPARs format covering the previous 6 months.

(+) award of future orders or exercise of options*

(-) Not awarded future exercising of options and orders unless there is remediation with COR.* (+) Positive performance marks which will be reflected in CPARS.

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

Evaluation Period 2

All measurement areas rated

“Satisfactory”. See below.

period (18 month) evaluation using the CPARS format covering the previous 12

(-)Not awarded future exercising of options and orders unless there is remediation with COR

(+) Positive performance marks which will be reflected in CPARS.

(-) Negative performance marks which will be

Evaluation Period 3

All measurement areas rated at least “Satisfactory”. Three or more measurements rated either “Very Good” or

“Exceptional”. See below.

period (30 month) evaluation using the CPARS format

(-)Not awarded future exercising of options and orders unless there is remediation with COR (+) Positive performance marks which will be reflected in CPARS.

(-) Negative performance marks which will be

Evaluation Period 4 more measurements rated period (42 month) evaluation using the CPARS format

Not awarded future exercising of options and orders unless there is remediation with COR

(+) Positive performance marks which will be reflected in CPARS.

(-) Negative performance marks which will be

Evaluation Period 5 more measurements rated period (54 month) evaluation using the CPARS format

(+) Positive performance marks which will be

(-) Negative performance marks which will be

* The Government may not award orders unless all regulatory requirements are met and the contractor meets the acceptable performance definition.

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

Enclosure 3

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.

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. 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 – 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. 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 appear or were satisfactory.

Marginal - Performance does not meet 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 or were ineffective.

Enclosure 4

SURVEILLANCE ACTIVITY CHECKLIST

Quarterly Surveillance:

The COR will perform a quarterly assessment of Quality, Schedule, Cost Control, Business Relations, Management, and Other Areas as applicable utilizing the

CPARS evaluation rating definitions listed in enclosure 3.

Description Surveillance Method/

Measure

Date

Planned Date

Completed Quality Schedule

Cost -

Control Mgmt Other

Business

Relations

Provide engineering design analysis and support SOW para 4.1.1, 4.1.2, 4.1.7, 4.1.8, 4.2.1, 4.2.2, 4.2.7, 4.2.8, 4.4.1, 4.4.2, 4.4.7, 4.4.8, 4.5.1, 4.5.2, 4.5.7, 4.5.8. 4.6.1, 4.6.6, 4.7.1, 4.7.6, 4.9.1, 4.9.6. 4.10.1, 4.10.6

Support the development of design analysis documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

TBD

Provide engineering testing and design verification support

SOW para. 4.1.3, 4.1.4, 4.1.6, 4.1.7, 4.1.8, 4.2.3, 4.2.4, 4.2.6, 4.2.7, 4.2.8, 4.4.3, 4.4.4, 4.4.6, 4.4.7, 4.4.8, 4.5.3, 4.5.4, 4.5.6, 4.5.7, 4.5.8, 4.6.2, 4.6.5, 4.6.6, 4.6.7, 4.7.2, 4.7.5, 4.7.6, 4.7.7, 4.9.2, 4.9.5, 4.9.6, 4.9.7, 4.10.2, 4.10.5, 4.10.6, 4.10.7

Support the development of testing documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time 100% of the time

Provide engineering data documentation and reporting

SOW para 4.1.1, 4.1.2, 4.1.3, 4.1.4, 4.1.9, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 4.2.9, 4.4.1, 4.4.2, 4.4.3, 4.4.4, 4.4.9, 4.5.1, 4.5.2, 4.5.3, 4.5.4, 4.5.9, 4.1.6, 4.6.4, 4.6.6, 4.7.1, 4.7.4, 4.7.6, 4.9.1, 4.9.4, 4.9.6, 4.10.1, 4.10.4, 4.10.6

Develop documents through the coordination of requirements, data collection and review of business processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time

100% of the time

Provide technical support to meetings and design reviews

SOW para 4.1.5, 4.2.5, 4.4.5, 4.5.5, 4.6.3, 4.7.3, 4.8.3, 4.9.3, 4.10.3 processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time

100% of the time

TBD

Provide In-Service engineering analyses

SOW para 4.3.1, 4.3.2, 4.3.3, 4.3.4, 4.3.5, 4.3.6, 4.3.7, 4.3.8, 4.3.9, 4.8.1, 4.8.2, 4.8.3, 4.8.4, 4.8.5, 4.8.6, 4.8.7 processes. Products and services reflect the attention to detail and are in compliance with DOD and Navy policy and are clear and concise and provided on time

100% of the time

Technology Reviews, Reports and Papers (CDRL

A001)

90% acceptable on first submission to

Government100% acceptable on subsequent submission to Government.

TBD

Progress Status and

Management Report

(CDRL A003)

90% acceptable on first submission to

Government100% acceptable on subsequent submission to Government

TBD

Status Report COR

(CDRL A004)

90% acceptable on first submission to

Government100% acceptable on subsequent submission to Government

Monthly Summary of Ratings:

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 Business Relations

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 _____

Annual Surveillance Summary:

The COR will perform an annual assessment of overall contract performance utilizing the CPARS evaluation rating definitions listed in Enclosure (3) and the monthly summary of ratings. This annual assessment will occur at the midpoint of each period and cover the previous 12 months, except for the base period which will cover only the previously six months.

Description Surveillance Method/

Measure

Date Planned Date

Completed

Summary Rating/ Results

Quality of Service Review of Monthly Ratings TBD

Schedule Review of Monthly Ratings TBD

Cost Control Review of Monthly Ratings TBD

Business Relations Review of Monthly Ratings TBD

Management Review of Monthly Ratings TBD

Other Areas Review of Monthly Ratings TBD