130858_Contract_Administration_Plan_(CAP).pdf

CONTRACT ADMINISTRATION PLAN

Naval Undersea Warfare Center, Division Newport Contract Administration Plan (CAP) for:

1. Background /Scope –

Commander Submarine Force (COMSUBFOR) has a Memorandum of Agreement (MOA) which designates the Naval Undersea Warfare Center Division Newport (NUWCDIVNPT) Code 34, as the Submarine High Data Rate (HDR) National Maintenance Center (NMC). The MOA requires NUWCDIVNPT to conduct maintenance and repair of Submarine HDR Systems, as well as establishing and maintaining a rotatable pool of Submarine HDR assets. The Submarine HDR NMC is also responsible for implementing engineering changes into Submarine HDR Systems to enhance the life of the system in the fleet. It is anticipated that the Submarine HDR NMC will process between 30-40 systems per year for either repair or upgrade. The Submarine HDR System is an acquisition category III program that was acquired by SPAWAR PMW 770 Submarine Communications Program office and the system has a Force Activity Designation of I which authorizes the use of a DX Industrial Priority rating. Additionally; Code 34 of the Naval Undersea Warfare Center Division Newport RI (NUWCDIVNPT) is designated by PEO C4I PMW 770 as the Technical Direction Agent (TDA) for the SubHDR System as well as functioning as the National Maintenance Center (NMC) for the SubHDR Mast Group as defined by a separate MOA.

With regard to the SubHDR system, the contractor shall provide hardware fabrication services in support of Submarine High Data Rate Antenna System ( SubHDR system). The contractor shall provide Firm fixed Priced replacement Mast Motion Sensors (MMS) and MMS components, and conduct repairs and upgrades of returned failed units as requested by the government per task order.

All hardware provided will be in direct sustainment support of the SubHDR antenna systems.

The primary funding sponsor of this contract is Commander Submarine Fleet Maintenance N4, providing OMN funds for the continued maintenance and sustainment of the SubHDR Antenna System. PEO C4I PMW 770 is also a funding sponsor providing OPN funds in support of operational inhancements as defined by GFI in the form of approved field changes. PEO C4I PMW 770 may also supply limited funding in support of FFP component purchases for new construction platforms using SCN funds.

2. This plan covers the repair and new components that the Contracting Officer/Contracting Officer (KO) determines shall be obtained on a, FFP component replacemet spares, basis which are contracted for with a SOW listing part number, drawing number, or component specification for FFP purchases. The contract Statement of Work and/or Specification covers performance of technically complex work, which will involve intensive quality assurance surveillance, cost and performance monitoring by technical specialists with NUWCDIVNPT’s Technical and Business Departments.

Performance of some of the contract administration functions solely by the Defense Contract Management Agency (DCMA) is not practical. Therefore, the contract administration functions will be delegated to a Contracting Officer’s Representative (COR) to assist the KO in administration of the contract.

3. Only those individuals who possess the requisite technical skills, experience, and have received COR training can be appointed a COR under this plan. The Commercial Acquisition Department, Code 59, has the responsibility to ensure that appointed CORs perform duties in accordance with the COR instruction and to verify they are properly monitored to determine they are performing assigned duties. If at any time Code 59 determines assigned duties are not being performed in a satisfactory manner, Code 59 shall take immediate action to advise the respective Department Head so that corrective action (including replacement of personnel, if required) may be taken.

4. A copy of each delegation and rescission of delegation made pursuant to this plan shall be made a part of the contract file.

5. The following individuals are delegated responsibilities as follows:

Contracting Officer (KO) The Contracting Officer ensures performance of all necessary actions for effective contracting, ensuring compliance with the terms and conditions of the contract, and safeguarding the interests of the United States in its contractual relationships.

Acquisition regulations recognize that the Contracting Officer may require the advice of specialists in audit, law, engineering, information security, transportation, safety and occupational health, and other fields, as appropriate to include oversight of contractor performance. Therefore, a Contracting Officer shall appoint a qualified COR for contracts/orders for services and may appoint a qualified COR for contract actions other than those for services. The primary duties and responsibilities of the Contracting Officer relative to a COR are:

All pre-award duties such as solicitation, negotiation and award of contract

Performs post award functions not assigned to a contract administration office

Execute Changes in contract terms and conditions

Execute Contract Action(s) in Response to Recommendations from COR

Appointment of the COR

Contract Specific Orientation Discussion

Post Award conference

Monitor COR Reporting

Surveillance of COR’s Performance

Termination of COR Appointment

Review funding to be applied to contract/orders/modifications to confirm it is consistent with customer, sponsor and program identified in SOW Scope.

Provide subcontractor approval

Review and sign Technical Instructions

Contracting Officer Representative (COR) shall:

Monitor contractor’s technical compliance and progress relative to assigned contract(s)/orders(s).

Maintain a copy of the contract/order and all modifications as part of the COR file (See #11 below)

Monitor contract performance in accordance with Quality Assurance Surveillance Plan

(QASP).

The COR may not direct any changes that “affects price, quality, quantity, delivery, or other terms and conditions of the contract”.

Issue TI(s) when needed and only after review and approval by the Contracting Officer to provide clarity of contract/order technical terms or conditions., Notify the Contracting Officer, requiring activity manager/COR supervisor immediately of any significant event or deficiency associated with contract/order performance.

Submit Monthly Reports to the Contracting Officer with copy to requiring activity manager or COR supervisor.

Obtain a user account in CPARS in order to prepare and submit CPARS performance reports as the “Assessing Official”.

Review and authorize contractor badge requests for access to NAVSEA facilities.

Maintain a log or record of deliverables in accordance with the COR Appointment letter.

Obtain a WAWF Account

Verify costs are fair and reasonable

Review and/or accept invoices in WAWF.

Review and approve/reject reports in eCRAFT.

Annually complete an OGE Form 450 and complete Ethics Training

Obtain COR Refresher Training every three (3) years

Defense Contract Management Administration Office (DCMA) (Identified in Clause G11).

The cognizant DCMA office is identified in block 7 of the Contract/Seaport-e Task Order and is responsible for matters specified in FAR 42.302 except those areas otherwise designated as the responsibility of the Contracting Officer’s Representative (COR) or the KO.

Defense Contract Audit Agency (DCAA) (Identified in Clause HQ G-2-0007 of the contract/order ) is responsible for audit verification/provisional approval of invoices and final audit of this contract prior to final payment to the contractor.

Defense Finance Administration Services (DFAS) (Identified in Clause HQ G-2-0007 of the contract/order) is responsible for making payment of proper invoices after acceptance is documented by the COR.

6. Other Personnel: During the execution of this contract/order, it may be necessary to have other personnel support the COR in his/her duties and responsibilities. Other personnel and their specific role/functions are identified in the Separation of Function Plan (see #8 below)

7. KO/COR Communication Plan: At a minimum, the KO and the COR shall communicate in accordance with the following schedule:

Within two weeks of Contract Award – conduct an orientation discussion.

Monthly – review and discuss Monthly Reports submitted by COR

Annual - formal surveillance review of the COR’s performance and COR file

As issues arise

As needed for any reason

8. Separation of Function Plan: In order to ensure a credible system of checks and balances and effective management oversight controls are in place, the following separation of functions will be adhered to under this contract/order:

FUNCTION

Controls the funding – Individual who is accountable for authorizing allocation of funding for award on a contract. (CANNOT perform any other role/function.

Although this individual may participate in the performance of other functions, this individual shall not have primary decision-making authority for any other function).

Define the Requirement – Individual who is accountable for defining the requirements used to generate the documents (SOW, CDRL’s, ICGE, TI’s, etc.)

that go into the Request for Proposal and eventual contract.

Receipt, Inspection, and Acceptance of Deliverables/End Items – Individual who physically receives the deliverables/end items required by the contract.

Performs the inspection of those deliverables/end items to ensure compliance with requirements contained in contract. Based on results of inspection, makes determination that the deliverable/end items are acceptable or not (complies with requirements of the contract).

Inspection and Acceptance as it pertains to Invoice – Individual who reviews the invoice and required documentation to determine if the charges submitted are acceptable or not based on the effort reported or deliverable received.

NOTE: Under no circumstances may the individual that controls the funding to be applied to the requirement perform any other function.

Attachment # 1 to the CAP identifies the names of the individuals and the roles/functions they will perform in accordance with the above Separation of Function Plan. In the event more than one role/function (excluding controls the funding) is performed by the same individual, the Requiring Department must submit a Risk Mitigation Plan (Appendix A to Attachment #1). The Plan provides identification and assessment of the risks followed by a coordinated effort to minimize, monitor and control the impact of the risk.

Prior to contract award Attachment #2 to the CAP is prepared by the RD which identifies those weaknesses noted during the Technical Evaluation of the Awardees proposal and the plan to mitigate the impact of those weaknesses during contract performance.

9. Quality Assurance Surveillance Plan (QASP)- The quality assurance surveillance plan contained in this contract/order (Attachment #2) shall be used to monitor and document contractor performance, identify any performance issues, communicate such issues to the contractor, document the contractor’s response and develop data to support periodic evaluations of the contractor’s performance to determine that the services and/or supplies conform to contract requirements.

The government will monitor contractor performance on a continuing basis, throughout the period of performance. The government will monitor contractor performance through the use of a surveillance team or assign responsibility to one individual. The surveillance team may consist of the following members: Contracting Officer, Contracting Officer’s Representative (COR) and other Government staff as identified in the QASP.

10. COR Funding/Workload – The Requiring Department anticipates the COR will expend 20% of its scheduled effort in performance of its COR duties on this contract or order.

NOTE: Performance of COR duties is funded by the NUWC Code 59 SCC.

11. COR File: shall include at a minimum the following:

Copy of the COR Nomination letter including certificates of required COR training

Original of the COR Appointment letter (signed and acknowledged)

Copy of contract/order and all modifications

Minutes of Post-Award Conference, if conducted;

Copy of all TIs issued;

Copy of all other correspondence, including e-mails, between COR, KO and the contractor, including any approvals provided

Copy of trip reports of every visit made by the COR to the contractor’s facility

Documentation of significant changes affecting the contract, such as mergers, re-negotiations, labor disputes, plant shutdowns, etc

Log of all deliveries or a record of all DD Form 250 Material Inspection and Receiving Report” forms’

Copy of COR Monthly Reports

Copy of QASP, if applicable

All original signed documents in COR’s possession;

Copy of all contractor data or CDRL submissions formally analyzed by COR with findings documented in writing

Record of any inspections witnessed by the COR under the contract/order including when and how the inspections were accomplished and the results.

Copy of CPAR reports submitted

Copy of all written communications with the Contracting Officer, Requiring Activity Manager, and COR Supervisor

Documentation of deficiencies observed, performance failures, late deliveries, non-conforming items or work, security violations, hazardous working conditions, safety and occupational health violations or any improper use of Government material.

Copy of Strategy Document and PAB Approval Summary Sheet

APPROVAL OF CONTRACT ADMINISTRATION PLAN

SIGNATURE APPROVAL:

Contract Negotiator Date

Contracting Officer Date

Contracting Officer Representative Date

Requiring Department Head Date

Attachment #1 - Names of the Individual who will fulfill the following Roles/Functions:

Controls funding (CANNOT perform any other role/function)

Mr. Thomas Downie Code 3496, TPM

Define the Requirement Mr. Craig Flynn Code 3433

Receipt, Inspection and Acceptance of Deliverables/End Items

Mr. Gerald Cappiello Code 3422, SubHDR NMC System Engineer

Inspection and Acceptance as it pertains to Invoice

Mr. Kevin Fonseca Code 3422, COR

Other Personnel - (e.g ERP PR Creator, Technical Point of Contact (TPOC), Subject Matter Expert (SME), etc.) Identify role/functions they will provide.

Ms. Lisa Reeves PR Creator

Appendix A to Attachment #1 - Risk Mitigation Plan for the Separation of Function

When one individual will perform more than one of the four primary requirements functions, the RD will provide a Risk Mitigation Plan. The four primary requirement functions are:

1) control the funding (cannot perform any other function),

2) define the requirement (develop the procurement package, SOW, CDRL, ICGE, TI, etc.),

3) receipt, inspection and acceptance the deliverables/end items, and

4) inspection and acceptance the invoice via WAWF.

The Plan provides identification and assessment of the risks followed by a coordinated effort to minimize, monitor and control the impact of the risk.

Attachment #2 - Risk Mitigation Plan

Prior to award of the contract, the requiring code will provide a Risk Mitigation Plan (if necessary) which will be Attachment #2 to the CAP of any weaknesses contained in the awardee proposal that were noted in the Technical Evaluation Report.

The Risk Mitigation Plan will provide any weaknesses noted, identification and assessment of the risks followed by a coordinated effort to minimize, monitor and control the impact of the risk.