Attachment_1_CSP_SAC.docx

N00421-19-R-0038 Enclosure (1)

Contract Surveillance Plan (CSP) for the Naval Air Warfare Center (NAWC-AD) Comptroller Department Financial Support Services

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

The contract requirement is for the Comptroller Department and the Program and Business Analysis Department, which are known as the Business and Financial Management Community (BFMC) and provide business and financial services and products that improve performance, quality, timeliness and efficiency throughout the Organization including the Naval Air Warfare Center Aircraft Division (NAWCAD) and the Naval Air Systems Command (NAVAIR).

The scope of this effort is for services in maintaining daily operations. Support services required include administrative functions, data entry accounting processes, interface error research and analysis, process management, deficiency identification, testing of system changes, professional and analytical support, liaison support with the NAVAIR ERP Business Office (PMA203) and the Navy ERP Program Office (PEO-EIS), funds management, financial tracking, internal and external data calls, document and records management, specialized analytical support in meeting financial systems requirements and assessing the financial systems relative to data integrity and corporate and user reporting requirements, and centralized support of travel related processes to include help desk support for the entire NAVAIR Team across all sites.

The effort will be a non-performance based Indefinite Delivery Indefinite Quantity (IDIQ) contract with Cost-Plus-Fixed-Fee (CPFF). The period of performance consists of a five (5) year ordering period.

A properly executed Contract Surveillance Plan (CSP) and attached Surveillance Activity Checklist (SAC) will assist the Government in achieving the objectives of this procurement and clearly defined performance expectations.

95 percent of work will be performed at the Government site. 5 percent of work will be performed at the Contractor site.

2. Authority Authority for issuance of this CSP and attached 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.

3. Scope To fully understand the responsibilities of the parties, it is important to first define the distinction in terminology between Quality Control Plan 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 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.

4. Government Resources The following definitions for Government resources are applicable to this SAC:

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. 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 administration of the contract and resulting task orders. 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 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.

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.

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 the Comptroller Department will be collected and used by the COR to document surveillance of performance.

7. Surveillance The SAC, 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 the services and products provided under this contract and resulting task orders. Enclosure (1) will also be used to document the monthly surveillance reporting requirement via the Contracting Officer Representative Tracking (CORT) Tool.

8. Documentation In addition to providing monthly 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 a hard copy of these records to the Contracting Officer at termination or completion of the contract and task orders.

9. Enclosures Enclosure (1) – Surveillance Activity Checklist (SAC) N00421-19-R-0038

Surveillance Activity Checklist All SOW/CDRL tasks, including SOW/CDRL sub-tasks, will be assessed focusing on the following for the contract and any resulting task order:

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 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, discuss causes, and assess the effectiveness of Contractor corrective actions.

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 timeand 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

MONTHLY

The COR will perform a Monthly assessment of Quality, Schedule, Cost Control, Regulatory Compliance, Management and Other Areas to the PCO for approval via CORT and a Monthly summary to the Contractor utilizing the CPARS evaluation rating definitions listed above.

PERFORMANCE STANDARDS – TASKS

Accounting and Financial Support Services, SOW para 3.3.1

Competency and Program Business Managment Support Services, SOW para 3.3.2

Document and Records Management, SOW para 3.3.3

Financial Systems Management Informaton Systems, SOWpara 3.3.4

Central Travel Agency Support Services, SOWpara 3.3.5

PERFORMANCE STANDARDS – DATA

Help Desk Metrics Refer to SOW paragraph 3.1.3.2 CDRL A002

Quality Assurance Metrics Refer to SOW paragraph 3.1.3.3 CDRL A003

SAC Monthly Summary of Ratings For the period of: ________

SAC Quarterly SUMMARY Of RATINGS

FOR THE PERIOD OF: _______________

The COR will perform an Quarterly summary of overall contract performance utilizing the CPARS evaluation rating definitions listed above and the quarterly SAC summary of ratings.