Att 2 - Contract Surveillance Plan (CSP).pdf

N00421-20-R-0003 Attachment 2

Source Selection Information 1 UNCLASSIFIED//FOR OFFICIAL USE ONLY See FAR 2.101 and 3.104

Contract Surveillance Plan for Command, Control, Communications, Computers, and Intelligence Operational Maintenance & Engineering Training

1. Purpose

This Contract Surveillance Plan (CSP) document is developed and applied by the Government to ensure systematic Quality Assurance (QA) methods are used in the administration and surveillance of tasking under the Contract. The intent is to ensure the Contractor performs In Accordance With (IAW) the Statement of Work (SOW), and the Government receives the quality of services called for in each Task Order (TO) SOW.

The Airborne Systems Integration (ASI) Division is engaged in the research, development, design, integration, test and evaluation, deployment, training, technical management, and maintenance support for integrated Command, Control, Communications, Computers, and Intelligence (C4I) life-cycle engineering systems supporting various sponsors to include Naval Air Systems Command (NAVAIR), Naval Sea Systems Command (NAVSEA), and other Department of Defense (DoD) and federal organizations.

This Contract will provide information management architectures relating to interactive information and learning products to support the warfighter. These services include Maintenance and Material Management (3M) development; the development of logistics packages; software engineering, development, and integration; engineering support; and technical support to Naval Air Warfare Center Aircraft Division (NAWCAD) Webster Outlying Field (WOLF) and its customers.

This Contract will have Cost-Plus-Fixed-Fee (CPFF) term Contract Line Item Numbers (CLINs) for labor and corresponding cost reimbursable CLINs for Other Direct Costs (ODCs) CLINs.

The Contract will have a five-year ordering period. A properly executed CSP will assist the Government in achieving the objectives of this procurement.

2. Authority

Authority for issuance of this CSP is provided under Contract Section E - Inspection and Acceptance which provides for inspections and acceptance of the services, products and documentation called for in the Contract executed by the Contracting Officer (KO) 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 (QCP) and the CSP. The Contractor, and not the Government, is responsible for the QCP, which defines the management and quality control actions necessary to meet the quality standards set forth in the Contract and all resultant orders.

Source Selection Information 2 UNCLASSIFIED//FOR OFFICIAL USE ONLY See FAR 2.101 and 3.104

The CSP provides Government surveillance oversight of the Contractor’s efforts to assure they are timely, effective, and delivering the results specified in the Contract and each TO.

4. Government Resources

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

KO: A person duly appointed with the authority to enter into a contract (Procuring Contracting Officer (PCO)), or a person with the authority to administer contracts (Administrative Contracting Officer (ACO)) and make related determinations and findings on behalf of the Government. The PCO for this Contract is Thomas E. Stann. The ACO will be designated in the resulting Contract. Contracting officers are designated via a written warrant that 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 the 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.

Government Project Lead (GPL): The COR designates individual GPLs to assist in administering of specific efforts under the Contract.

5. Responsibilities

The following Government resources will have responsibility for the implementation of this

CSP:

KO: The KO (PCO or ACO) ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the Contract, and safeguards the interests of the U.S. in the contractual relationship. It is the KO that assures the Contractor receives impartial, fair, and equitable treatment under the Contract. The KO 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 price, terms or conditions shall be referred to the KO for action.

ACOR: The ACOR assists the COR for technical administration of the Contract and assures proper Government surveillance of the Contractor’s performance. The ACOR is not empowered

Source Selection Information 3 UNCLASSIFIED//FOR OFFICIAL USE ONLY See FAR 2.101 and 3.104 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 KO for action.

GPL: The GPL is responsible for assisting in administering of specific efforts under the Contract. A GPL cannot, in any manner, alter the scope of the Contract, make commitments or authorize any changes on the Government’s behalf.

6. Methods of QA Surveillance

a. Contractor Performance Assessment Reporting System (CPARS): The marketplace for this type of effort is very competitive. As such, the successful Offeror has a vested interest in the Government-generated CPARS under this Contract. Additionally, an evaluation using the CPARS format will be performed at the end of each ordering year. This evaluation will be one (1) determinant in the award of future contracts or TOs. The Government will address the quality of product or service, schedule, cost control, business relations, management, utilization of Small Business (SB), and other important areas for this procurement. Some of the monitoring methods to be used will be Government observation, review of reports, customer feedback and review of Contract Data Requirements Lists (CDRLs). As this information may affect future source selections throughout the DoD, as well as the continuation of this tasking, the annual Government assessment will be used appropriately as an additional performance oversight and communication tool within the policies of this CSP.

b. CSP: This document will be used by the COR, ACOR, and GPLs in the technical administration of this Contract. In addition to the below instructions, the form to be used for documentation of QA surveillance is the Surveillance Activity Checklist (SAC).

7. Surveillance

Enclosure (2) sets forth the performance standards, incentives and surveillance methods for the Contractor, the COR, and GPLs while Enclosures (1) and (3) provide the checklist and means for the COR to document the results of the surveillance and will be provided to the KO.

8. Documentation

In addition to providing reports to the KO, the COR will maintain a complete QA file. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Contractor’s performance of the QA function, including the originals of the QA Checklists. All such records will be maintained for the life of the Contract. The COR will forward these records to the KO at termination or completion of the Contract.

9. Enclosures

Enclosure (1): SAC Enclosure (2): Quarterly Evaluation by CDRL Enclosure (3): Annual Surveillance Summary

Enclosure (1)

Source Selection Information 4 UNCLASSIFIED//FOR OFFICIAL USE ONLY See FAR 2.101 and 3.104

ENCLOSURE (1): SAC

Quarterly Surveillance:

The COR will perform a quarterly assessment of Quality, Schedule, Cost Control, Business Relations, Management, Utilization of SB, and Other Areas as applicable utilizing the CPARS evaluation rating definitions listed in Enclosure (3).

QUARTERLY EVALUATION – BY SOW Paragraph

Description Surveillance Method/Measure Dates Quality

Assessment Schedule

Assessment Cost Control Assessment

Business Relations

Assessment

Management Assessment

Utilization of SB

Assessment

Other Areas

Assessment SOW Para 3.3.1 – 3M support

100% Inspection by COR/ACOR and/or GPLs.

SOW Para 3.3.2 - Software engineering, development, and integration support

100% Inspection by COR/ACOR and/or GPLs.

SOW Para 3.3.3 - Engineering support

100% Inspection by COR/ACOR and/or GPLs.

SOW Para 3.3.4 - Technical support

100% Inspection by COR/ACOR and/or GPLs.

Enclosure (2)

Source Selection Information 5 UNCLASSIFIED//FOR OFFICIAL USE ONLY See FAR 2.101 and 3.104

ENCLOSURE (2): QUARTERLY EVALUATION BY CDRL

Description Surveillance Method/Measure

Dates Due

Dates Completed

No.

Submittals

No. of Req’d

Rework

Percentage On Time Comments

Technical Report – Study/Services (A001) 100% Inspection by COR/ACOR and/or GPLs.

Naval Aviation Cybersecurity Risk Management Framework (RMF) Assessment and Authorization Products, and CYBERSAFE Objective Quality Evidence, Assessment & Authorization (A&A) Products (Cybersecurity RMF Assessment and Documentation) (A002)

100% Inspection by COR/ACOR and/or GPLs

Presentation Material (A003) 100% Inspection by COR/ACOR and/or GPLs

Computer Software Product End Items (A004) 100% Inspection by COR/ACOR and/or GPLs

Requirements Traceability Verification Matrix (RTVM) (A005)

100% Inspection by COR/ACOR and/or GPLs

Integrated Program Management Report (Detailed Project Schedule) (A006)

100% Inspection by COR/ACOR and/or GPLs

Contractor’s Progress, Status and Management Report (A007)

100% Inspection by COR/ACOR and/or GPLs

Contracting Officer's Management Report (Segregation of Costs and Invoice Requirements) (A008)

100% Inspection by COR/ACOR and/or GPLs

Contracting Officer's Management Report (Monthly Financial Status Report) (A009)

100% Inspection by COR/ACOR and/or GPLs

Computer Software Product End Items (PMS Force Revisions) (A010)

100% Inspection by COR/ACOR and/or GPLs

Contractor's Risk Management Plan (A011) 100% Inspection by COR/ACOR and/or GPLs

Quality Program Plan (QPP) (Quality Management/Assurance Plan) (A012)

100% Inspection by COR/ACOR and/or GPLs

Inspection and Test Plan (A013) 100% Inspection by COR/ACOR and/or GPLs

NAVAIR Operations Security (OPSEC) Plan (A014) 100% Inspection by COR/ACOR and/or GPLs

Enclosure (2)

Source Selection Information 6 UNCLASSIFIED//FOR OFFICIAL USE ONLY See FAR 2.101 and 3.104

Description Surveillance Method/Measure

Dates Due

Dates Completed

No.

Submittals

No. of Req’d

Rework

Percentage On Time Comments

Computer Software Product End Items (Tailored Force Revisions) (A015)

100% Inspection by COR/ACOR and/or GPLs

Contractor’s Standard Operating Procedures (Process Documentation) (A016)

100% Inspection by COR/ACOR and/or GPLs

Phase-Out Transition Plan (Project Closeout Report) (A017) 100% Inspection by COR/ACOR and/or GPLs

Report, Record of Meetings/Minutes (Trip Report/Meeting Minutes) (A018)

100% Inspection by COR/ACOR and/or GPLs

Phase-Out Transition Plan (A019) 100% Inspection by COR/ACOR and/or GPLs

Software Development Plan (SDP) (A020) 100% Inspection by COR/ACOR and/or GPLs

Software User Manual (SUM) (A022) 100% Inspection by COR/ACOR and/or GPLs.

Software Requirements Specification (SRS) (A023) 100% Inspection by COR/ACOR and/or GPLs.

Software Design Description (SDD) (A024) 100% Inspection by COR/ACOR and/or GPLs.

Database Design Description (DBDD) (A025) 100% Inspection by COR/ACOR and/or GPLs.

Software Test Plan (STP) (A026) 100% Inspection by COR/ACOR and/or GPLs.

Software Test Report (STR) (A027) 100% Inspection by COR/ACOR and/or GPLs.

Metric Summary:

Current Period

Cumulative

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 (3)

Source Selection Information 7 UNCLASSIFIED//FOR OFFICIAL USE ONLY

ENCLOSURE (3): ANNUAL SURVEILLANCE SUMMARY

The COR will perform an assessment of overall contract performance utilizing the CPARS evaluation rating definitions listed in Enclosure (3). This assessment will be completed annually covering the previous twelve (12) months.

Description Surveillance Method/Measure Date Planned Date Completed Summary Rating/Results Quality of Product or Service Review of Quarterly Ratings Schedule Review of Quarterly Ratings Cost Control Review of Quarterly Ratings Business Relations Review of Quarterly Ratings Management Review of Quarterly Ratings Utilization of Small Business Review of Quarterly Ratings

Other Areas Review of Quarterly Ratings

Annual Surveillance Completed By: _______________________

Date Completed: ________________

All SOW and CDRL tasks, including 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.

Source Selection Information 8 UNCLASSIFIED//FOR OFFICIAL USE ONLY

Cost Control: Assess the Contractor’s effectiveness in forecasting, managing and controlling contract cost. Is the Contractor experiencing cost growth or under-run? 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.

Utilization of SB: The Request for Proposal (RFP) and FAR Subpart 19.7 and 15 U.S.C. 637 contains statutory requirements for complying with the SB Subcontracting Program. Assess whether the Contractor provided maximum practicable opportunity for SB (including Alaska Native Corporations (ANCs) and Indian Tribes) (including Small Disadvantaged Businesses (which also includes ANCs and Indian Tribes), Women Owned SBs (WOSBs), HUBZone, Veteran Owned SBs (VOSBs), Service Disabled Veteran Owned SB (SDVOSB), and ANCs and Indian Tribes that are not Small Disadvantaged Businesses (SDBs) or SBs) to participate in contract performance consistent with efficient performance of the Contract. Evaluation will focus on the metrics of actual SB utilization as compared to the Contract required targets and the Contractor’s submitted SB plan.

Other areas: Assess additional evaluation areas unique to the Contract or that cannot be captured elsewhere.

The evaluation ratings are as follows:

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

Source Selection Information 9 UNCLASSIFIED//FOR OFFICIAL USE ONLY

Very Good Performance: Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

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

Marginal Performance: Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated 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.

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