Attachment_1_SAC.docx

Surveillance Activity Checklist/Quality Assurance Surveillance Checklist Sustainment Maintenance Department Multiple Award Contract (MAC) Indefinite Delivery Indefinite Quantity (IDIQ) Contract (For Informational Purposes Only)

1. Purpose This Surveillance Activity Checklist/Quality Assurance Surveillance Checklist is a Government developed and applied document used to make sure the systematic quality assurance assessment methods are used in the administration of the Statement of Work (SOW)/Performance Work Statement (PWS) to provide logistics and technical support services for the Sustainment Maintenance Department (SMD). The intent is to ensure that the Government receives the quality of services and products for tasks identified in the SOW.

The Naval Air Systems Command (NAVAIR) SMD has a follow-on requirement for contractor support services (CSS) for logistics and technical support services in the areas of planning, analysis, development, training, support equipment management, facilities and execution in direct support of NAVAIR Program Executive Offices (PEO) and Program Manager, AIR (PMA) logistics teams.

The resultant multiple award Indefinite Delivery-Indefinite Quantity (IDIQ) contract level of effort will contain a cost-plus-fixed-fee (CPFF) CLIN for labor, and cost-reimbursable CLINs for Other Direct Costs (ODCs) to include travel and material. This contract will have a five (5) year ordering period and an option for an additional three year ordering period, and individual task orders will be executed as requirements are so identified by SMD. A properly executed checklist will assist the Government in achieving the objectives of this procurement.

2. Authority Authority for the issuance of this Surveillance Activity Checklist is provided under Section E – Inspection and Acceptance, which provides for inspections and acceptance of the services and documentation called for in 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 Surveillance Activity Checklist/Quality Assurance Surveillance Checklist. 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.

The Checklist is put in place to provide Government surveillance oversight of the Contractor’s efforts to assure that they are timely, effective and are delivering the results specified in the contract.

4. Government Resources Outlined below are the following definitions of the roles and responsibilities for Government resources as applicable to this Surveillance Activity Checklist:

Contracting Officer – A person duly appointed with the authority to enter into (Procuring Contracting Officer (PCO)) or administer (Administrative Contracting Officer (ACO)) contracts/task orders and make related determination and findings on behalf of the Government. The PCO for this contract is AIR-2.5.1.14. The ACO will be designated in the resulting order. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

Contracting Officer’s Representative (COR) – (formerly Task Order Manager (TOM)). An individual appointed in writing by the PCO to act as their authorized representative to assist in administering the contract/task order. The COR will be appointed in the resulting contract. The limitations of authority are contained in a written letter of appointment.

Alternate Contracting Officer’s Representative (ACOR) - An individual appointed in writing by the PCO to act as their authorized representative, in the absence of the COR, to assist in administering the contract. The ACOR will be appointed in the resulting contract. 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 Surveillance Activity Checklist.

Contracting Officer – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract/task order 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/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) – The COR is responsible for technical administration of the contract/task order 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/task order price, terms, or conditions shall be referred to the Contracting Officer for action.

Alternate Contracting Officer’s Representative (ACOR) – The ACOR is responsible for technical administration of the contract and assures proper Government surveillance of the Contractor’s performance in the absence of the COR. The ACOR 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

1. Methods of Surveillance

a. Contractor Performance Assessment Reporting System (CPARS) – The marketplace for logistic and technical service is very competitive. As such, the successful offeror has a vested interest in the Government-generated CPARS ratings under this contract. Additionally, the CPARS ratings will be the determinant in exercising an option or award term. For this procurement the Government will 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, and the continuation of the task order, the annual Government assessment will be used appropriately as an additional

b. Surveillance Activity Checklist/Quality Assurance Surveillance Checklist – The below listed methods of surveillance (Enclosure 1) will be used by the COR and ACOR in the technical administration of this checklist. In addition to the below instructions, the form to be used for documentation of quality assurance surveillance is the hybrid checklist provided herein.

The Surveillance Activity Checklist, 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 meeting the quality standards set forth by the task order.

8. Documentation In addition to providing quarterly reports 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. All such records will be maintained for the life of the task order. The COR shall forward these records to the Contracting Officer at termination or completion of the order.

9. Enclosures Enclosure (1) Surveillance Activity Checklist – Level of Effort (LOE) and Performance Based Enclosure (2) Annual Surveillance Summary Enclosure (3) Quality Standards PWS (Performance Based)/SOW (Non Performance Based) Enclosure (4) CDRL Data Quality Standards (Performance Based) Enclosure (5) Incentives

Source Selection Information 2 For Official Use Only See FAR 3.104 and 2.101

2 For Official Use Only

SURVEILLANCE ACTIVITY CHECKLIST (Enclosure 1) – Level of Effort (LOE) and Performance Based

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.

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.

Management – Assess the integration and coordination of all activity needed to execute the contract or order, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the Contractor’s history of reasonable and cooperative behavior (to include timely identification of issues in controversy), customer satisfaction, timely award and management of subcontracts.

Assess the timeliness, completeness, and quality of problem identification, corrective action plans, proposal submittals (especially responses to change orders, Engineering Change Proposals (ECPs), the Contractor's history of reasonable and cooperative behavior, effective business relations, and customer satisfaction. Consider the Contractor’s responsiveness to the program as it relates to meeting contract or order requirements during the period covered by the report.

Assess the extent to which the Contractor: discharges its responsibility for integration and coordination of all activity needed to execute the contract or order; identifies and applies resources required to meet schedule requirements; assigns responsibility for tasks and actions required by contract or order; communicates appropriate information to affected program elements in a timely manner. Assess the Contractor’s risk management practices, especially the ability to identify risks, and to formulate and implement risk mitigation plans. If applicable, identify any other areas that are unique to the contract or order, or that cannot be captured elsewhere under the Management element.

Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

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

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

Monthly Surveillance:

The COR will perform a monthly assessment of Quality, Schedule, Cost Control, Business Relations, Management, and Other Areas as applicable utilizing the CPARS evaluation rating definitions listed below.

The evaluation ratings definitions 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 (1) Surveillance Activity Checklist – LOE and Performance Based The COR will perform a monthly assessment of Quality, Schedule, Cost Control, Business Relations, Small Business Subcontracting, Regulatory Compliance, and Other Areas as applicable utilizing the CPARS evaluation rating definitions listed in enclosure (1)

Measure

Monthly Summary of Ratings:

COR Narrative of Surveillance Activity:

Quality of Product or Service – Schedule – Cost Control – Management or Business Relations – Regulatory Compliance Other areas –

Enclosure (2)

ANNUAL SURVEILLANCE SUMMARY

Surveillance will be completed annually with Contract Performance Assessment Report (CPAR) across all task orders.

· Review of Monthly CDRLS

· Review of COR and Customer Feedback

· Review of Monthly CDRLS

· Review of Monthly CDRLS

· Review of Monthly CDRLS

· Review of Monthly CDRLS

· Feedback

· Review of Monthly CDRLS

· Feedback

Enclosure (2)

Annual Surveillance Summary

The COR will perform an assessment of overall contract performance utilizing the CPARS evaluation rating definitions listed in enclosure (7). This assessment will be completed annually covering the previous 12 months.

Annual Surveillance Completed By:

Date Completed:

Enclosure (3) Quality Standards – PWS/SOW

QUALITY STANDARDS –PWS (PERFORMANCE BASED)

Incentives

PWS/SOW

Para 3.X.X

QUALITY STANDARDS –SOW (LEVEL OF EFFORT)

Incentives

XXX IAW PWS/SOW

Para 3.X.S

Enclosure (4)

Contract Data Requirements Lists (CDRLS Form DD 1423) Data Quality Standards

Metric Summary

Total number of deliverables submitted Total number of deliverables submitted late Total number of deliverables requiring revision

Percentage of Deliverables submitted late Percentage of Deliverables requiring revision

Enclosure (5)

INCENTIVES

The following incentives will apply to performance under this contract.

None of the measurement areas are rated below “Marginal”.

None of the measurement areas are rated below “Marginal”.

(-) Does not meet the acceptable performance definition as a condition for additional tasking.*

(-) Does not meet the acceptable performance definition as a condition for additional tasking.*

N00421-1 -R- Enclosure

(3)

(-) Does not meet the acceptable performance definition as a condition for additional tasking.*

Final CPAR Review

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