Attachment_J3_SAC.docx

N00421-19-R-0049 Attachment J3 Surveillance Activity Checklist (SAC) for Naval Air Warfare Center Aircraft Division (NAWCAD) 4.5.14 Anti-Submarine Warfare (ASW) Support Services

Purpose This Surveillance Activity Checklist (SAC) 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 Naval Air Warfare Center Aircraft Division (NAWCAD) requires services to support the organization's mission, management, policy, programs, project management and administration within the Airborne Anti-Submarine Warfare (ASW) Systems Engineering Division (AD-4.5.14) and the Airborne ASW mission area specific efforts provided by the Avionics Systems Engineering Division (AD-4.5.1), Core Avionics Engineering (AD-4.5.3), RADAR and Antenna Systems Engineering Division (AD-4.5.5), Electro-Optic and Special Mission Sensors Engineering Division (AD-4.5.6), and Electronic Warfare Systems Engineering Division (AD-4.5.18) in the Avionics, Sensors and E*Warfare Department (AIR-4.5) of the Naval Air Warfare Center Aircraft Division (NAWCAD). AD-4.5.14, with support from its sister divisions, is responsible for the research, design, development, integration, delivery, and support of unique sensors and mission systems for naval air platforms to include Maritime Patrol and Reconnaissance Aircraft (MPRA), Multi-mission Helicopter (MH-60), and other air platforms related to airborne ASW. AD-4.5.14, with support from its sister divisions, provides affordable, reliable, effective, and flexible avionics and mission systems critical to the implementation of NAVAIR’s strategies for naval aviation ASW. The work and efforts address the full spectrum of activities to be performed on a recurring basis.

The services required will be in support of legacy and new acoustic and non-acoustic sensors, systems and subsystems for naval air platforms and to improve existing maritime patrol and reconnaissance mission systems. Services will be in support of unclassified and classified programs across all phases of the acquisition process including research and development, aircraft and ordnance systems procurement and sustainment, system/platform development and integration, sustainment, continued verification, and training as required. The scope of support will include engineering, scientific and technical labor, materials for technology assessment and development, laboratory and field experiments, ship and air exercises, system integration, and environmental compliance documentation. The scope will also include the capability to arrange for aircraft support and function as project specialists for the purpose of hosting legacy and new sensors for inflight testing in accordance with DFARS 252.228-7001.

Services will include those related ASW functional areas, e.g., administrative, business, engineering, information technology, logistics, and engineering management, necessary to ensure continuity of AD-4.5.14 ASW services. The overarching areas of support shall address technology areas for all acquisition phases, from development through disposal, specifically:

· Airborne ASW Systems, Acoustic and Non-Acoustic

· Airborne Information Processing Systems

· Communication Systems

· Flight Information Systems

· Navigation Systems

· Identification Systems

· Recording Systems

· Airborne Mine Counter Measure Systems

· Avionics and Sensor Systems Engineering

· Radar and Antenna Systems

· Electro Optic (EO) and Infrared Systems

· Electronic Warfare (EW) Systems

· Special Mission Sensors

· Imagery and Video Systems Software Enhancements

· Integration and Interoperability/Integrated Warfare Capability

· Technologies in support of Fixed-Wing Aircrafts

· Technologies in support of Rotary Wing Aircrafts

· Disruptive Technologies

The scope of this effort also includes development support of:

· Signal Processing

· Software development, sustainment and tools

· Avionics and sensor systems simulators and stimulators

· Integration of avionics systems and sensor systems

· Human Factors

· Human Systems Integration

· Acquisition, Design and Technical documentation and data

· Independent studies and analyses

· Analysis and definition of sensor and avionics systems

· Performance analysis and evaluation of avionics and sensor systems

· Risk Assessment and Mitigation

· Environmental Compliance

· Personnel training, System training and in-service support

· Test and evaluation of avionics and sensor systems

· At-sea, in-flight, field and laboratory test support

· System Verification and Validation

· Create, produce, improve or update laboratory facilities

· Cyberwarfare support for avionics and sensors

· System Security and Information Assurance

· Systems Engineering

· Preparation of project technical plans for new and ongoing projects

· Risk Management

· Configuration Management

· Technical Data Management

· Interface Management

· Threat Analysis

· Information Analytics

· Knowledge Management

· Independent Verification and Validation

· Integration and Interoperability

· Life Cycle Management

· Modeling and Simulation

· Prototyping and Fabrication Support

· Requirements Analysis

· Definition of avionics and sensor system and subsystem requirements

· System Design

· Concept definition for advanced avionics and sensor systems

· Operational Concept Analyses for Advanced Avionics and sensor systems

· System Integration

· Architecture Design

· Integrated logistics support for the avionics and sensor systems

· Preparation, review, and maintenance of avionics and sensor systems documentation

· Logistics Management and Support Services

· Logistics Operations Support

· Logistics Operations and Maintenance

· Inventory Management

· Repair and Alteration

· Return on Investment Analysis

· Life Cycle Cost Determination

· Total Ownership Cost Determination

· Affordability Analysis

· Analysis of Cost Alternatives

· Should-Cost Determinations

Inherent to the successful execution of this work are the derived requirements of project management, financial/cost, administrative, scheduling, and other non-technical skills.

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) CLINs for labor and corresponding cost reimbursable CLINs for materials and travel. The contract will consist 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 SAC will assist the Government in achieving the objectives of this procurement and clearly defines performance expectations.

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 the 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 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.

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

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-2.5.1.7. 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 contract. 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 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’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 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 marketplace 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 or service, schedule, cost control, regulatory compliance, management and other important 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 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 AD-4.5.14 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 a monthly basis, as feedback on the performance of their 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 monthly surveillance reporting requirement via CORT.

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 these records to the Contracting Officer at termination or completion of the contract.

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 should include the effectiveness of contractor corrective actions. 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 a 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 expectations for compliance with 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, application of resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communications 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 expectations for compliance with 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 application of resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communications 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 expectations.

· 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 with 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 application of resources required to meet schedule and contract requirements; assignment of responsibility for tasks/actions; risk mitigation plans; and communications 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 expectations.

· 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 or effective.

· 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 with 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; 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 expectations.

· Other: Meets requirements less than 70% of the time and the Contractor corrective actions were often inappropriate and ineffective.

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: Meet 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 25% higher than 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 to 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; assignment of responsibility for tasks/actions; risk mitigation plans; or communications do not meet expectations or are performed in a timely manner less than 60% of the time or Contractor is not making necessary adjustments to meet government expectations. 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. A monthly summary will be sent to the contractor utilizing the evaluation ratings listed above.

PERFORMANCE STANDARDS – TASKS

PERFORMANCE STANDARDS – TASKS

PERFORMANCE STANDARDS – TASKS

PERFORMANCE STANDARDS - DATA

CDRL A001

Contractor’s Monthly Progress, Status & Management Report 100% Inspection by COR and customer feedback

CDRL A002

Phase-Out Transition Plan 100% Inspection by COR and customer feedback

CDRL A003

NAVAIR Operations Security (OPSEC) Plan 100% Inspection by COR and customer feedback

CDRL A004

Technical Report–Study/Services 100% Inspection by COR and customer feedback

CDRL A005

Risk Management Status Report 100% Inspection by COR and customer feedback

CDRL A006

Technical Review Presentation Package 100% Inspection by COR and customer feedback

CDRL A007

Test Plans/ Test Procedures 100% Inspection by COR and customer feedback

CDRL A008

Requirements Traceability Verification Matrix (RTVM) 100% Inspection by COR and customer feedback

PERFORMANCE STANDARDS - DATA

CDRL A009

System Technical Manual 100% Inspection by COR and customer feedback

CDRL A010

Configuration Control Plan 100% Inspection by COR and customer feedback

CDRL A011

Instructional Media Package 100% Inspection by COR and customer feedback

CDRL A012

Software Sustainability Package 100% Inspection by COR and customer feedback

CDRL A013

NAVAIR Cybersecurity Implementation Plan 100% Inspection by COR and customer feedback

SAC Monthly 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 monthly summary of ratings.

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