Attachment_02_4.0T_CSP_SAC.docx

Contract Surveillance Plan (CSP) for the Naval Air Warfare Center (NAWC-AD) Small Business Innovative Research (SBIR 4.0T) for Science and Technology (S&T) Support Services

Purpose This Contract Surveillance Plan (CSP) and the Surveillance Activity Checklist (SAC) (enclosure 1) is a Government developed and applied document to ensure that 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 SOW and the Government receives the quality of services called for in the contract and resulting task orders.

The Contract requirement is to provide engineering and program management support services to Navy Science and Technology (S&T) management organizations and Small Business Innovative Research (SBIR) / Small Business Technology Transfer (STTR) programs offices. This includes: aligning S&T investments to strategic Naval S&T needs; identifying and pairing innovative technologies and research to warfighter needs; advising and allocating appropriate S&T program funding to Naval capability gaps; monitoring and managing the health of the S&T portfolio; accelerating technology transitions and increasing their success; support SBIR/STTR Phase I, II, and II.5; and to support outreach, communications, training, administration, and management activities of Naval S&T and SBIR/STTR organizations to improve effectiveness of business processes and accelerate technology transition to the warfighter.

The Contractor shall work independently and without direct government supervision. The Contractor shall be responsible for training and equipping its employees to complete the technical requirements in accordance with applicable government laws, regulations, and directives.

The resultant contract is anticipated to be a non-performance based services single award Indefinite Delivery Indefinite Quantity (IDIQ) contract with Cost Plus Fixed Fee (CPFF) Level of Effort (LOE) Contract Line Item Numbers (CLINs) for labor and corresponding cost reimbursable CLINs for materials and travel. The contract period of performance consists of a five-year ordering period. Task orders will be issued as required and the period of performance will be determined upon award of each task order.

A properly executed CSP will assist the Government in achieving the objectives of this procurement and clearly defines performance expectations. Additionally, the contractor will be incentivized to perform successfully by having the quality of performance evaluated and documented. Further, a condition of executing new task orders and exercising option periods will require a rating of satisfactory or better in the CPARS.

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

Scope To fully understand the responsibilities of the parties, it is important to first define the distinction in terminology between the Quality Control Plan and the CSP. 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 and task orders. The SAC is put into place to provide Government surveillance oversight of the Contractor’s efforts to ensure that they are timely, effective, and are delivering the results as specified in the contract and resulting task orders.

Government Resources The following definitions for Government resources are applicable to this CSP:

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 AIR-2.5.1.2. The ACO will be designated in the resulting contract. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

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

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

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 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 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 and task order price, terms, or conditions shall be referred to the Contracting Officer for action. The COR will be appointed at the contract level, meaning the COR will be responsible for technical administration and government surveillance of all resulting task orders.

Methods of QA Surveillance

a. Contractor Performance Assessment Report System (CPARS) – The market place for engineering and technical contractor support services is very competitive. As such, the successful offeror has a vested interest in the Government-generated CPARS ratings for this contract and resulting task orders. For this procurement, the Government will address the quality of product of services, schedule, cost control, regulatory compliance, management, and other pertinent contract areas. As this information may affect future source selections throughout the Department of Defense (DoD), the Government assessment will be used appropriately as an additional performance oversight and communication tool.

b. SAC - The methods of surveillance listed in the SAC (enclosure 1) shall be used by the COR in the technical administration of the task order SOW.

c. Observation, Feedback and Review – Unscheduled observation of products and services provided by the contractor on site and recurring review of the contractor submitted reports and documentation identified in the CDRL(s) will be performed by the COR. Feedback from AIR 4.0T will be collected and used by the COR to document surveillance of performance.

Surveillance The SAC (enclosure 1) will be provided to the Contractor on an bi-annual basis for the first year, and annually for each subsequent option year exercised, as applicable. The SAC will provide feedback on the performance of the Contractors management and quality control actions for services and products provided under this contract and resulting task orders. Enclosure (1) will also be used to document the annual surveillance reporting requirement via CORT.

Documentation In addition to providing annual reports to the Contracting Officer, the COR will maintain a complete quality assurance file in CORT. 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 Contracting Officer at termination or completion of the contract and task orders.

Enclosures Enclosure (1) - Surveillance Activity Checklist

Enclosure (1) Surveillance Activity Checklist 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 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 accuracy of reports/data and how successfully the Contractor meets program quality.

Schedule – Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedules and administrative requirements. This assessment of the contractor’s adherence to the required delivery schedule should include the contractor’s efforts during the assessment period that contribute to or affect the schedule variance. This element applies to contract closeout activities as well as contract performance.

Cost Control – Assess the Contractor’s effectiveness in forecasting, managing, and controlling costs. Assess the contractor’s ability to perform within the total estimated cost; cost growth or under run and applicable causes. Assess any innovative approaches implemented by the Contractor that resulted in cost savings. In addition, assess the extent to which the contractor demonstrates as sense of cost responsibility, through the efficient use of resources in each work effort.

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

Management – Assess the contractor’s success with timely award and management of subcontracts, including whether the contractor met small business participation goals. Discuss the extent to which the contractor discharges its responsibility for integration and coordination of all activities needed to execute the contract and resulting task orders. Discuss the extent to which the contractor identifies and applies resources required to meet schedule requirements, assigns responsibility for tasks/actions required, and 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 individual task orders.

Other Areas – Assess additional evaluation areas unique to the individual task order or that cannot be captured elsewhere.

The evaluation ratings for all areas are as follows:

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

Metrics – Exceptional:

· Quality: Fully meets all quality expectations and requirements more than 95% of the time; and corrective action was acceptable and effective.

· Schedule: Meets all schedule/delivery due dates more than 95% of the time and corrective action taken for past due items was appropriate and effective.

· Cost Control: Cost is within 5% of forecast based on most recent changes approved by the government.

· Regulatory Compliance: The contractor meets all of the government’s expectation for compliance of regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions more than 95% of the time; and corrective action was acceptable and effective.

· Management: Management of subcontracts, coordination of activities, applies resources required to meet schedule and contract requirements; assignment of responsibility for asks/actions; risk mitigation plans; and communication meet expectations and are performed in a timely manner 95% of the time.

· Other: Meets requirements more than 95% of the time.

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

Metrics – Very Good:

· Quality: Fully meets all quality expectations and requirements more than 90% of the time; and corrective action was acceptable and effective.

· Schedule: Meets all schedule/delivery due dates more than 90% of the time and corrective action taken for past due items was appropriate and effective.

· Cost Control: Cost is within 10% of forecast based on most recent changes approved by the government and explanation of cost deviation was acceptable.

· Regulatory Compliance: The contractor meets or exceeds some of the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions more than 90% of the time; and corrective action was acceptable and effective.

· Management: Management of subcontracts, coordination of activity and applies resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communication meet expectations and are performed in a timely manner more than 90% of the time and the Contractor is making necessary adjustments to meet government expectation.

· Other: Meets requirements more than 90% of the time and is taking appropriate corrective action to improve performance.

Satisfactory - Performance meets contractual requirements. The contractual performance of the task/sub-task contains some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

Metrics – Satisfactory:

· Quality: Fully meets all quality expectations and requirements more than 80% of the time; and corrective action proposed/taken is appropriate.

· Schedule: Meets all schedule/delivery due dates more than 80% of the time and time corrective action taken for past due items was appropriate and effective.

· Cost Control: Cost is within 15% of forecast based on most recent changes approved by the government and explanation of cost deviation is acceptable; and proposed cost mitigation is acceptable.

· Regulatory Compliance: The contractor meets the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions more than 80% of the time; and corrective action was satisfactory.

· Management: Management of subcontracts, coordination of activity and applies resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communication meet expectations and are performed in a timely manner more than 80% of the time and the Contractor is making necessary adjustments to meet government expectation.

· Other: Meets requirements more than 80% of the time and the Contractor is taking appropriate corrective action to improve performance.

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

Metrics – Marginal:

· Quality: Meets quality expectations and requirements less than 70% of the time; and corrective action proposed/taken is often not appropriate.

· Schedule: Meets schedule/delivery due dates less than 70% of the time and corrective action taken for past due items was often not appropriate and ineffective.

· Cost Control: Cost was not within 20% of forecast based on most recent changes approved by the government or explanation of cost deviation was not acceptable; or proposed cost mitigation was not acceptable.

· Regulatory Compliance: The contractor meets the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions less than 70% of the time; and corrective action has not yet been taken or actions were marginal or not fully implemented.

· Management: Management of subcontracts, coordination of activity and application of resources to meet schedule and contract requirements; or assignment of responsibility for tasks/actions; risk mitigation plans and communication meet expectations less than 70% of the time and the Contractor is not making necessary adjustments to meet government expectation.

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

Metrics – Unsatisfactory

· Quality: Meets quality expectations and requirements less than 60 of the time; and corrective action proposed/taken is not appropriate or ineffective. Contractor is unlikely to meet quality expectations in the near future.

· Schedule: Does not meet all schedule/delivery due dates less than 60% of the time or corrective action taken for past due items was not appropriate or ineffective. Contractor is responsible for the failure to meet schedule and is likely to continue to fall behind schedule.

· Cost Control: Cost was more than 20% of forecast based on most recent changes approved by the government or explanation of cost deviation was not acceptable; or proposed cost mitigation was not acceptable or ineffective. The Contractor had the opportunity to control and failed to do so and is unlikely reduce cost or maintain the current cost deficit.

· Regulatory Compliance: The contractor meets the government’s expectation for compliance of all regulations and codes related to financial, environmental, safety and labor as well as any reporting requirements as specified in the contract terms and conditions less than 60% of the time; and corrective action was ineffective, not yet taken or unlikely to meet compliance or reporting requirements in the near future.

· Management: Management of subcontracts, coordination of activity and application of resources to meet schedule and contract requirements; or assignment of responsibility for tasks/actions; or risk mitigation plans; or communication to meet expectations are not performed in a timely manner less than 60% of the time or is not making necessary adjustments to meet government expectation. The Contractor is unlikely to establish control in the near future.

· Other: Meets requirements less than 60% of the time or is not taking appropriate corrective action to improve performance. The Contractor is unlikely to meet requirements in the near future.

SURVEILLANCE ACTIVITY CHECKLIST

BI-ANNUAL

The COR will perform a bi-annual assessment of Quality, Schedule, Cost Control, Regulatory Compliance, Management and Other Areas to the PCO for approval via CORT. A yearly summary will be sent to the contractor via CPARS utilizing the evaluation ratings listed above.

PERFORMANCE STANDARDS – TASKS

Technology Idea Exploration Support, SOW para 3.3.1.2

Surveillance by COR, and customer Feedback

Engineering SME Support SOW para 3.3.1.3

Surveillance by COR, and customer Feedback

Technology Scouting Support, SOW para 3.3.1.4

Surveillance by COR, and customer Feedback

Portfolio Management Support, SOW para 3.3.1.5

Surveillance by COR, and customer Feedback

Metrics and Reporting Support, SOW para 3.3.1.6

Surveillance by COR, and customer Feedback

SBIR/STTR Sequential Phase II Support, SOW para 3.3.3.2

Surveillance by COR, and customer Feedback

PERFORMANCE STANDARDS - DATA

SAC Annual Summary of Ratings

For the period of: ____________

SAC ANNUAL SUMMARY OF RATINGS

FOR THE PERIOD OF: _______________

The COR will perform an annual summary of overall contract performance utilizing the CPARS evaluation rating definitions listed above and the SAC Bi-Annual summary of ratings.

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