SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE           JAN 2008


       SYSTEM SURVEILLANCE REPORT (SSR)
             ...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                         JAN 2008


I.   The purpose of this document is to...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                          JAN 2008


                o Independent Data Tra...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                          JAN 2008


          •   The Supplier EVM focal p...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                           JAN 2008




IV.   SURVEILLANCE RESULTS
      Th...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE              JAN 2008


                            TEMPLATE


    DEFENSE...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                            JAN 2008




I.   EXECUTIVE SUMMARY
     The De...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                        JAN 2008


II.   SCOPE OF REVIEW
      In accordanc...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                           JAN 2008


III.   SURVEILLANCE SUMMARIES
       ...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                           JAN 2008


              indicated that multiple...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                           JAN 2008


     MR “harvesting” (moving remainin...
SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE                  JAN 2008


See the completed EV guideline templates (atta...
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DEFENSE CONTRACT MANAGEMENT AGENCY [SITE LOCATION]

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DEFENSE CONTRACT MANAGEMENT AGENCY [SITE LOCATION]

  1. 1. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 SYSTEM SURVEILLANCE REPORT (SSR) INSTRUCTION AND TEMPLATE JANUARY 2008 THE DCMA EVM CENTER DIRECTOR IS RESPONSIBLE FOR ISSUANCE AND MAINTENANCE OF THIS DOCUMENT Rev 1 Jun 08 Added FOUO to Template
  2. 2. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 I. The purpose of this document is to provide instructions and a template for the System Surveillance Report used in conjunction with DCMA Instruction – Earned Value Management System (EVMS) System-Level Surveillance. As stated in the Instruction, the surveillance team will document the results of system surveillance reviews in a written report that is signed and dated by the DCMA surveillance team leader and supplier representative (if employing joint surveillance). The report will be issued in accordance with the annual EVMS surveillance schedule and should include an overall assessment of the supplier’s implementation of the EVMS, scope of the review, personnel interviewed, and findings of deficiency or non-compliance that resulted in CARs. Minimum expectations for documentation to be addressed in the surveillance report include: • Surveillance Selection Risk Matrix(s); • Guidelines or Process(es) reviewed; • PM and CAM(s) interviewed and Control Accounts examined; • Completed Guideline templates for each reviewed Guideline o EV Templates 1-32 • Completed EVMS Description Cross Reference Checklist; and • System deficiencies identified: o Corrective Action Request(s); o CAR(s) entered into central database; o Supplier Corrective Action Plan in place; o Actions taken to correct the deficiency; and o CMO analysis for trends and systemic issues. Sections of the report include: • Executive Summary • Scope • Surveillance Summaries o Interview Summaries
  3. 3. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 o Independent Data Traces & Document Research (sometimes attached to the EV Templates) • Surveillance Results o Findings o Corrective Action Request (CAR) Status • Guideline Compliance Summaries II. THE EXECUTIVE SUMMARY The SSR executive summary should, at a minimum, refer to the established Standard Surveillance Plan (SSP), the supplier, and the members of the surveillance team. It should include the dates of the surveillance and indicate if any deficiencies were found in the implementation of the surveyed EVMS Guidelines. The executive summary should also include: • An impact statement noting significant concerns raised by the surveillance and the potential effects of those concern areas. • A reference to follow on actions or any open items regarding the surveillance. The attached SSR template provides example executive summary language. II. THE SCOPE OF THE SURVEILLANCE The surveillance scope section should include the following: • The start and finish dates of the surveillance • All guidelines and processes reviewed • The Program(s) being reviewed and the respective contract number(s) • The Customer or purchasing organization • An explanation of how the risk assessment results support the scope of this review • An explanation of any revisions or deviations from the approval annual EVMS surveillance schedule. • The DCMA CMO contact information
  4. 4. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 • The Supplier EVM focal point’s contact information III. SURVEILLANCE SUMMARIES The surveillance summary section aligns with the scope of the review. It describes the CAM discussions, the areas identified for independent data traces, and any follow up research that was conducted. The attached SSR template provides example surveillance summary language. A. Interview Summaries Each interview summary should, at a minimum: • Identify the CAM and his/her area of responsibility. • Identify the Guideline or Process area focus of each interview. • Summarize interview discussion points. • Note any findings from the interview. Additional summary information may include, but is not limited to: • An assessment of the interview session tone, i.e., size, length, complexity, extent of cooperation, effectiveness, etc. • Common themes or relationships to other interviews. Examples: WBS elements, technical area, component, etc. • New issues or areas of interest identified as a direct result of the CAM interview. B. Independent Data Traces & Document Research This section should identify any independent data traces or document research done in support of the surveillance. It should discuss the research and data trace objectives in the context of surveillance review scope. Summarize and/or attach select exhibits that support findings or other items in the SSR as necessary. Trace and research material must be dated and sources must be noted to ensure the long term credibility of supporting material. These may be attached to or associated directly with the EV templates for easy reference.
  5. 5. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 IV. SURVEILLANCE RESULTS This section should document all surveillance findings along with their status as of the report date. It should also provide a status of the program’s CARs. The attached SSR template provides example findings language. A. Findings This section should quantify the findings discussed in the surveillance summaries. It should contain succinct statements that communicate EVMS implementation issues across guidelines and processes. Discuss any pending actions or outstanding unresolved surveillance issues. Discuss systemic issue trends. B. Corrective Action Request (CAR) Status List newly issued CAR(s), ongoing/existing CAR(s), and any CAR(s) that were resolved during the reporting period. Briefly summarize the new CAR(s) and note the affected guidelines or processes. Discuss the status of open CAR(s) and the status of their respective corrective action plans (adequacy of CAP, estimated completion, delays, contractor concerns, etc.) The attached SSR template provides example CAR status language. V. GUIDELINE COMPLIANCE SUMMARY This section should identify how many guidelines were found to be compliant during the surveillance. Reference and attach completed guideline compliance summary worksheets for the guidelines included in this review. These forms can be found at EV Templates. Also include the review of the supplier system description as annotated in the completed EVMS Cross Reference Checklist.
  6. 6. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 TEMPLATE DEFENSE CONTRACT MANAGEMENT AGENCY [SITE LOCATION] SYSTEM SURVEILLANCE REPORT (SSR) SURVEILLANCE IMPLEMENTED AT [SUPPLIER NAME] [SITE LOCATION] [PROGRAM(s)/CONTRACT(s) REVIEWED] [DATE OF THIS SSR] FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.
  7. 7. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 I. EXECUTIVE SUMMARY The Defense Contract Management Agency (DCMA) [CMO NAME AND LOCATION] and members from [INCLUDE SUPPLIER IF SURVEILLANCE IS JOINT] comprise the Earned Value Management System (EVMS) Joint Surveillance Team (JST). Surveillance review efforts support the continuing EVMS compliance of [SUPPLIER NAME] at [SUPPLIER LOCATION]. The Surveillance Team conducted an Earned Value Management System (EVMS) review of the [PROGRAM NAME] program and contracts [LIST CONTRACT NUMBERS] during the time period of [START AND FINISH DATES OF REVIEW]. [XX] EVMS Guidelines were reviewed and [XX] deficiencies were found in the implementation of Guidelines [LIST GUIDELINES] in relation to process [NAME OF EVMS PROCESS]. [INSERT IMPACT STATEMENT] {Example: The numerous noted deficiencies raise concerns regarding the reliability and integrity of the Earned Value management processes and practices. Additionally, the deficiencies jeopardize the veracity of the performance measurement data. Without dependable, consistent, and unquestionable EV application to processes, and the resulting EV data, the ability to make prompt and informative management decisions is compromised.} [XX] new CAR(s) was/were issued to address [LIST AREA OF CONCERN such as “change management concerns”], [XX] level [XX] CAR(s) was/were closed, and [XX] corrective action plan(s) regarding [INSERT SUBJECT OF CAP AND STATUS such as “on budget authorization remains outstanding due to an extended contractor approval process.] FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.
  8. 8. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 II. SCOPE OF REVIEW In accordance with the [INSERT APPROVAL DATE] EVMS standard surveillance plan (SSP), the scope of the surveillance spanning [START AND FINISH DATES OF REVIEW] included: • Process [NAME] and Guidelines [XX] • [PROGRAM, CONTRACT NUMBER] • [CUSTOMER NAME(S) AND WHETHER THEY PARTICIPATED OR NOT IN THIS REVIEW] [INSERT STATEMENT EXPLAINING HOW RISKS IDENTIFIED DURING THE RISK ASSEMENT PROCESS RAISED CONCERN IN THE AREA OF THIS REVIEW] {Example: During the risk assessment process, these contracts were rated high risk for work/budget authorization process since they are in the development phase, have contract values at [$XX and $XX] respectively, and have high percentages of remaining subcontract work [XX%], material [XX%], and management reserve [XX%}. Contract [INSERT NUMBER] also was rated moderate risk in this area due to an OTB in [DATE OF OTB]”.} See Attachment A for Surveillance Selection Risk Matrixes for these contracts. [INSERT PARAGRAPH EXPLAINING ANY DEVIATIONS TO THE APPROVED ANNUAL EVMS SURVEILLANCE SCHEDULE]. Any concerns and/or questions regarding the content of this report, or the content and tracking of subsequently issued CARs, should be addressed to the current surveillance focal points listed below. DCMA POC [SUPPLIER] POC [DCMA EVM analyst name] [EVM focal point name] [phone number] [phone number] [email contact] [email contact] FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.
  9. 9. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 III. SURVEILLANCE SUMMARIES [XX] CAM interviews were conducted during this course of this review. [XX] areas were identified for independent data traces, and follow-up research was conducted on [XX] items. A. Interview Summaries [CAM NAME, RESPONSIBILITY] [GUIDELINE OR PROCESS AREA FOCUS] • [SUMMARY OF INTERVIEW, DISCUSSIONS AND FINDINGS] {Example: John Doe, Systems Engineering software development WBS 3.2.5 Guideline 12 • This surveillance interview discussion focused on level of effort work package planning. The interview team noted that the CAM was not familiar with the process for identifying and correcting charge errors.} {Alternative} [AREA OF RESPONSIBILITY] [GUIDELINE OR PROCESS AREA FOCUS] • [LIST OF CAMs] • [SUMMAR OF INTERVIEW, DISCUSSIONS AND FINDINGS] {Alternative Example: Propulsion Integration, WBS: 0205 Planning, Scheduling & Budgeting • Mark Twain, Donna Karan, and Eddie Bauer • The Propulsion area discussions focused on cost and schedule integration with the critical parts suppliers. The majority of the CAMs FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.
  10. 10. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 indicated that multiple scheduling tools were used to status delivery dates and the change request process was not always followed for baseline delivery date modifications.} B. Independent Data Traces & Document Research [GUIDELINE] • [DATA TRACE/DOCUMENTS REVIEWED] • [SUMMARY OF FINDINGS] {Example: Guidelines 6, 7, and 32 • Reviewed the IMS, CAPs and the MR log. • The trace objective was to identify any inconsistencies in the performance measurement baseline and the integrated master schedule as MR was allocated to re-planned activities. Traces indicated that the majority of MR was allocated to planning packages where the IMS reflected significantly lower levels of detail. Research indicated that planning packages were not detail planned in a timely manor. The attached exhibit (Ex01_06/20XX) documents the MR allocation to the PP and the 2 month lag in detail planning identified by IMS progress.} IV. SURVEILLANCE RESULTS A. Findings [INSERT EXPLANATION OF FINDINGS] {Example: A continued lack of horizontal and vertical schedule integration (driven by out of sequence task statusing), inadequate schedule logic, and the inability to validate a critical path through program completion is the most significant issue affecting the Scheduling process. In many cases, budgets were not properly time-phased. FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.
  11. 11. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 MR “harvesting” (moving remaining budget on completed/closed accounts to MR), was evident in several control accounts. The surveillance team will continue to research the derivative impacts of MR harvesting on the program’s revisions and data maintenance processes.} B. Corrective Action Requests (CAR) Status [NEWLY ISSUED CAR(s), TITLES, REFERENCE NUMBERS] [STATUS] {Example: The newly issued CAR affects the Work/Budget Authorization process. The contractor has acknowledged acceptance of the CAR and a corrective action plan is expected no later than [DATE].} [ONGOING EXISTING CAR(s), TITLE] [STATUS] {Example: Two of the 3 open CARs are on track for resolution by next quarter. The corrective action plans have been implemented and metrics indicate substantial improvement. The Budget Authorization CAP has been delayed 30 days as a result of conflicting organizational processes.} [RESOLVED CAR(s), TITLES] [STATUS] {Example: The system description has been revised to reflect the new approved work authorization process. It was approved on [DATE] bringing the work authorization process CAR issued in [DATE] to closure.} V. GUIDELINE COMPLIANCE SUMMARY Guidelines [XX] are found to be compliant. Guidelines [XX] are found to be non- compliant. Research and surveillance findings indicate the program was unable to adequately demonstrate [BRIEF LIST OF KNOWN COMPLIANCE DEFICIENCIES]. {Example: integration of its contract line items, work authorization, planning, scheduling, and budgeting processes with each other.} FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.
  12. 12. SYSTEM SURVEILLANCE REPORT INSTRUCTION/TEMPLATE JAN 2008 See the completed EV guideline templates (attachment B) and EVMS Cross Reference Checklist (attachment C) for additional detail. __________________________________ Date:_______________________ [CMO specialist name] DCMA EVM analyst DCMA [site] __________________________________ Date:_______________________ [Supplier’s representative name] EVM Focal Point [Supplier, location] Attachments: A. Surveillance Section Risk Matrices B. EV Templates for Guidelines [XX] C. EVMS Cross Reference Checklist FOR OFFICIAL USE ONLY. [INSERT NAME OF SUPPLIER] PROPRIETARY. THIS DOCUMENT CONTAINS SUPPLIER INFORMATION WHICH MAY BE PROPRIETARY AND PROTECTED BY THE TRADE SECRETS ACT OR OTHER INFORMATION PROTECTION LEGISLATION. DO NOT RELEASE UNDER FOIA WITHOUT REVIEW AND REDACTION. EXEMPTION B4 MAY APPLY.

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