Attachment 0005 - Quality Assurance Surveillance Plan.pdf

Quality Assurance Surveillance Plan

And

Performance Requirements Summary

For

HEAVY LIFT 9 (HL9)

DATE:

24 January 2023

Coordination and Approvals

Contracting Officer Representative

1st Sustainment Command (Theater) Operational Contracts Support

Administrative Contracting Officer

Quality Assurance Specialist

SUMMARY OF CHANGES

Revision History

REV

Description of Change

Author/ Editor

Effective Date

TABLE OF CONTENTS

Subject Page

1. Overview 5

1.1. Purpose

1.2. Intent

1.3. Scope

1.4. QASP Changes

2. Description of Services 6

3. Roles and Responsibilities 6

4. Roles and Responsibilities of Contractor 7

5. Contract Quality Requirements 7

6. Government Surveillance

6.1. Methods of Quality

Assurance 8

6.2. Monthly Surveillance Schedule 8

6.3. Inspection Instructions/Checklists 9

6.4. Documentation of Inspections 9

6.5. Combat Trafficking in Persons 9

7. Non-Conforming Performance 9

7.1. Customer Feedback/Complaints

7.2. Non-Conformance Reports (NCR)

8. Data Analysis 10

9. Acceptance of Services 11

10. Monthly COR Activity Report 11

11. Contractor Manpower Reporting (CMR) 12

12. Synchronized Pre-deployment and Operational Tracker (SPOT) 13

13. Quality Assurance Surveillance File 13

14. Contractor Performance Assessment Reporting System (CPARS) 13

15. Record Retention 13

16. Reference Materials 13

Attachment: QASP Matrix 14

1. OVERVIEW

1.1. Purpose. The purpose of this plan and Performance Requirements Summary (PRS) is to identify the methods and procedures the Government will use to ensure it receives the services/products under this contract as identified in the Performance Work Statement (PWS).

1.1.1. The purpose of the Quality Assurance Surveillance Plan (QASP) is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards/quality levels identified in the Performance Work Statement (PWS) and the Contractor’s quality control plan (QCP), and to ensure that the Government pays only for the level of services received.

1.1.2. This QASP does not detail how the Contractor accomplishes the work. Rather, the QASP is created with the premise that the Contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

1.2. Intent. The intent of this plan is to hold the Contractor accountable for quality control and to encourage the Contractor to take appropriate steps to control and improve quality. The Contractor is responsible to develop an efficient methodology to ensure they meet and/or exceed the required thresholds of service as outlined in this acquisition. The Government intends to perform surveillances on this contract in accordance with this QASP and PRS items listed in Attachment 1 below, but reserves the right to monitor the contract in any manner necessary, at any times necessary, and at all places necessary to ensure that the rendered services conform to contract requirements. The Government reserves the right to perform quality assurance at the subcontract level and perform quality assurance at the Contractor's place of business, if applicable. Non-conforming services discovered with subcontractors will be addressed with the prime Contractor for resolution.

1.3. Scope. It is important to understand the responsibilities of the parties and distinguish between the quality control plan and the QASP. The Contractor is responsible for managing and developing a quality control (QC) plan to meet the quality standards established in the performance work statement (PWS). The QASP is put in place to provide the Government surveillance and oversight of the Contractor’s efforts in fulfilling the terms of the contract. The QASP is not part of the contract nor is it intended to duplicate the Contractor’s quality control plan.

1.4. QASP Changes. This QASP and PRS is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the Contractor. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the Government officials implementing surveillance activities.

1.4.1. Revisions to this QASP are the joint responsibility of the Requiring Activity, Contracting Officer and Contracting Officer’s Representative. The Contracting Officer’s Representative reviews the PWS and QASP annually or as issued modification change a need and will provide proposed changes, if necessary, through the Requiring Activity Command to the Contracting Officer for review and approval.

2. DESCRIPTION OF SERVICES

2.1. Scope of Work. Heavy Lift Nine (HL9) operations accomplish line haul, heavy lift (HL), and personnel transportation services throughout the U.S. Central Command (CENTCOM) Area of Responsibility (AOR) in support of the Theater Transportation Mission.22521 The Contractor will acquire transportation assets for the movement of various types of equipment, cargo and PAX movement within the Theater of Operations. This shall include all areas within the

CENTCOM AOR, which includes, but is not limited to the following countries: Afghanistan, Bahrain, Egypt, Israel, Iran, Iraq, Jordan, Kazakhstan, Kuwait, Kyrgyzstan, Lebanon, Oman, Pakistan, Qatar, Saudi Arabia, Syria, Tajikistan, Turkmenistan, United Arab Emirates, Uzbekistan and Yemen, as designated by the United States Government (USG).

All vehicles, associated equipment and services provided shall be safely operable; shall meet the intended function and operations of like new conditions, without safety or mechanical defects that affect mission readiness of safe execution thereof; and be in accordance with (IAW) the PWS, the contract and local laws and regulations. Trained, qualified and properly licensed operators will be able to operate vehicles and other items as directed to accomplish the mission. The Contractor will properly secure loads per Army standards and quickly and safely transport loads as directed. The Contactor shall recover disabled equipment and their loads and repair/replace disabled equipment per the intent of this contract. The Contractor shall protect as required the assets and personnel the Government requires to be transported by commercial contract by ensuring all equipment is in proper and safe working condition and all personnel are licensed and trained on equipment being operated.

2.2. Contract. Contract awarded as a Firm Fixed Unit Price (FFUP) Indefinite Delivery Indefinite Quantity (IDIQ) contract subject to FAR Clause 52.246-4, Inspection of Services—Fixed Price.

3. ROLES AND RESPONSIBILITIES

3.1. Contracting Officer (KO). The KO has overall responsibility for overseeing the Contractor’s performance. The KO is responsible for the day-to-day monitoring of the Contractor’s performance in the areas of contract compliance, and contract administration; reviewing the COR’s assessment of the Contractor’s performance; and resolving all differences between the COR’s assessment and the Contractor’s assessment of performance. The KO ensures compliance with the terms of the contract and safeguards the interests of the United States in the contractual relationship. Only the KO is authorized to bind the Government and then, only to the extent of the authority delegated to them through the issuance of a warrant. It is the KO 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.

3.2. Contract Specialist/Administrator. The official Government representative delegated authority by the Contracting Officer to administer a contract. This individual is normally a member of the appropriate Contracting/Procurement career field and advises on all technical contractual matters.

3.3. Contracting Officer’s Representative (COR). The COR is an individual designated in writing by the KO to provide detailed technical oversight of the Contractor’s performance and reports his or her findings to the Contracting Officer in a timely, complete and impartial fashion to ensure the Government receives the services procured in accordance with the PWS. While the COR may serve as a direct conduit to provide Government surveillance and feedback to the

Contracting Officer on the Contractor’s technical performance, he or she is not empowered to make any contractual commitments or authorize any contractual changes on the Government’s behalf. Any changes that may affect contract price, terms, or conditions shall be referred to the Contracting Officer for action.

3.3.1. The COR conducts and maintains surveillance documentation.

3.3.2. The COR recommends improvements to the QASP and PWS throughout the life of the contract.

4. ROLES AND RESPONSIBILITIES OF CONTRACTOR

4.1. Contract Manager. The Contractor shall provide a contract manager who shall be responsible for the performance of the work. The name of this person and an alternate who shall act for the Contractor when the manager is absent shall be designated in writing to the Contracting Officer. Both the contract manager and alternate shall speak, read and write fluently in English and have full authority to act for the Contractor on all contract matters relating to daily operations of this contract. Fluency level is defined in Appendix 5, paragraph 5.4 of the

PWS.

4.2. Project Manager. Project Manager: The contractor shall appoint in writing to the ACO a project manager who shall be the contractor's central point of contact with the USG and shall be authorized to direct performance of all work under the contract. The project manager shall have knowledge of all regulatory and contractual policies, procedures, and documentation relative to or required by the PWS, and shall be responsible for enforcement of all contractual obligations as directed by the contract, the PWS, and ACO. The project manager shall be the contractor’s in-house supervisor in all respects. For example, only the project manager, not USG personnel will have the authority to change an individual contract employee’s work hours, to act upon contract employee’s leave requests, to assign work or to change the nature of a contract employee’s duties. Attempts by USG employees to exercise these functions, other than from the ACO through the project manager as indicated in this paragraph, shall be null and void. The project manager must meet the language requirements in Appendix 5, paragraph 5.4 of the PWS.

4.3. Alternate Project Manager. The Contractor shall appoint in writing to the ACO an alternate project manager who shall be designated to act for the project manager during any absence of the project manager and such person shall be available on site. Contractor shall provide written, advance notice of such designation to the ACO. The alternate project manager must meet the language requirements in Appendix 5, paragraph 5.4 of the PWS.

5. CONTRACT QUALITY CONTROL REQUIREMENTS

5.1. Quality Control Plan. The Contractor's Quality Control Plan (QCP) requirements are defined in Part 1, paragraph 1.6.1 of the PWS. The Contractor shall develop and maintain an effective QCP which incorporates the development and implementation of procedures to identify, prevent, and ensure non-recurrence of defective services. As a minimum the QC plan will address the areas identified in this QASP and Performance Requirements Summary (PRS) (Attachment 1 below). The application of the QC program/procedures will assure the Contractor meets the requirements of this contract. The QC plan will be delivered after award but prior to beginning of performance period.

5.2. Government Quality Assurance. The Government will perform Quality Assurance oversight of the Contractor and Contractor’s QCP IAW with this QASP and FAR Part 46, as it applies, to ensure acceptable levels of contract performance are achieved and that the Contractor is performing acceptable levels of Quality Control to ensure fully acceptable services are provided.

6. GOVERNMENT SURVEILLANCE

6.1. Methods of QA Surveillance. The method of surveillance is based on the performance criteria of the contract terms and specifications. Each requirement will describe the tasks to be performed and the standard for successful performance. The specific surveillance method for each performance standard and acceptable quality level is listed in the “Surveillance Method” column of the QASP Matrix and PRS (Attachment 1 below). The Government intends to monitor and evaluate the Contractor's performance based on any or all of the following four surveillance methods:

6.1.1. 100 Percent Inspection. Performance will be inspected/evaluated at each occurrence as noted on the surveillance schedule. Reserved for the highest risk areas where consequence of failure is high (i.e., life or limbs are threatened) or there is likelihood of mission failure.

6.1.2. Periodic Inspection: This method consists of selected surveillance tasks by the Government, generally on a planned schedule that does not require 100% inspection, or are performed on a random/infrequent basis. The COR will evaluate the Contractors reports, surveys, etc. on a weekly, biweekly, monthly or quarterly basis.

6.1.3. Random Inspections: This method is designed to evaluate the outputs of the award requirement by observation on an unscheduled basis.

6.1.4. Periodic/Random Sampling: A randomization tool such as the one recommended by DAU at http://www.randomizer.org/ shall be used in creating and selecting true random sets.

a. Periodic – Planned sampling of a service at specific predetermined dates and times.

May be appropriate for tasks that occur infrequently.

b. Random - When a service is performed relatively frequently and a statistically valid sample can be selected for audit. The most appropriate method for frequently recurring tasks.

6.2. Monthly Surveillance Schedule: The COR will develop a monthly schedule of surveillance activities based on the Performance Standards as outlined in the QASP Matrix and PRS (Attachment 1 below) as well as any other critical contractual requirements determined to be higher risk requiring oversight. The surveillance outlined in the monthly schedule will be as detailed and in-depth as necessary to provide the Government with the objective quality evidence required to support acceptance of the services provided by the Contractor. The schedule will provide planned periodic surveillance during all required hours of the Contractor’s operation. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized Government personnel. The schedule will identify the method of surveillance, the date of inspection, place of inspection, activity to be monitored, and who will conduct the surveillance (dates and times can be altered without a formal change to the schedule as long as all inspections are performed). The Contracting Battalion surveillance schedule shall be used to plan and scheduled monthly surveillance. The monthly schedule will be completed no later than seven calendar days prior to the beginning of the period it covers, and a copy loaded within the Procurement Integrated Enterprise Environment (PIEE), https://piee.eb.mil, for the KO to review.

http://www.randomizer.org/ https://piee.eb.mil/

Additionally, if any issues are experience with PIEE, these documents will be directly uploaded into the contract Paperless Contract File (PCF) cabinet at https://pcf.army.mil.

6.3. Inspection Instructions/Checklists: The COR will develop inspection instructions/checklists for all planned inspections which may require special instructions on how to perform the inspection, what observations should be made with specific details of what to look for acceptable performance. The Contracting Battalion Surveillance Checklist shall be used for the above purpose.

6.4. Documentation of Inspections: All audits/inspections/observations will be documented and will include as a minimum date and time, who performed the inspection, what was inspected, to what standard and the results. Successful or exceptional performance will be documented as well as deficiencies in Contractor performance. Documentation will be maintained for future reference, audit, proof of inspection, and past performance documentation. The Contracting

Battalion Surveillance Checklist shall be used for the above purpose and filed in PIEE online file (https://piee.eb.mil) and PCF. All inspections documents will be loaded to the file no later than the 25th of each month.

6.5. Combat Trafficking in Persons: See US Department of State website, http://www.state.gov/j/tip/rls/tiprpt/2012/192363.htm for Tier location requirements. The COR shall ensure that contractors are in compliance with FAR 52.222-50 at CTIP Tier 1 locations.

For Tier 2, Tier 2 Watch List (WL), and Tier 3 locations, CORs shall ensure that contractors are in compliance with Tier 1 requirements in addition to performing spot checks, reviews, and assessments of contractor and subcontractor employees to identify indicators of CTIP. In the event indicators are identified, the COR shall notify the KO immediately.

6.5.1. The COR shall use the Contracting Battalion checklist when conducting CTIP surveillance. CTIP surveillance reporting will be completed biannually and submitted to the KO no later than (NLT) the last working day of the months of June and November.

6.5.2. CORs should not personally investigate suspected incidents of Trafficking in Persons but should forward all reported or suspected violations to the Contracting Officer immediately.

7. Non-Conforming Performance. The COR will notify the Contractor, in person, each time an unacceptable observation has been recorded and ask the Contractor to correct the problem or re-accomplish the service. All valid non-conformances observed by the Government will be documented! The COR will record the contract requirement, the specific deficiency to the requirement, the date and time it was discovered, and have the Contractor initial the entry. The Contractor will be given a time line after notification to correct the deficiency in accordance with requirements of the contract. Deficiencies that cannot be corrected within the identified time line will be reported to the KO. The approved Contracting Battalion nonconformance report (NCR) form shall be used to document all contractual nonconformance’ to include issues. All NCRs shall be logged into the NCR Log. Only KOs shall issue NCRs to the Contractor.

7.1. Customer Feedback. For customer feedback or complaints it is recommended that the Customer Complaint Record DA Form 5477 http://armypubs.army.mil/eforms/pdf/A5477.PDF be used. However customer feedback can be in any form, verbal or written but no matter the format the COR will maintain a record of the feedback positive or negative.

https://pcf.army.mil/ https://piee.eb.mil/ http://www.state.gov/j/tip/rls/tiprpt/2012/192363.htm http://armypubs.army.mil/eforms/pdf/A5477.PDF

a. If immediate response to a complaint is required, the COR will provide the response to the requester as soon as practical.

b. The COR will conduct an investigation to determine the validity of any negative comments received. COR has three business days to validate complaints.

c. If the negative comment is determined not to be valid, if possible, the COR will inform customer of the reason(s) as soon as practical.

d. For validated negative comments that are true contractual non-conformances see paragraph 7. If this non-conformance is a more serious (systemic in nature) deficiency or recurring deficiency that could indicate a trend the COR should see paragraph 7.2.

e. The COR will document customer complaints in the Customer Complaint Log. The Customer Complaint Log aggregates the data enabling the COR to note patterns and trends.

f. The COR will follow up with the customer of the corrective action taken by the Contractor, if applicable.

7.2. Non-Conformance Reports (NCR). The COR will report more serious (systemic in nature) deficiencies or recurring deficiencies that could indicate a trend by using the Contracting Battalion non-conformance report. The Non-Conformance Report will state the Contract Requirement, the specific contract reference and the specific violation (s) to the requirement.

7.2.1. The COR will forward copies of Non-Conformance Report to the KO within one working day.

7.2.2. The KO will notify the Contractor and request corrective action to the specific non-conformance, identification of the root cause and corrective action for the root cause with a required suspense date. The KO may require the Contractor to re-perform any services that do not meet contract requirements at no additional cost to the Government.

7.2.3. The Contractor will return a copy of the completed and signed Non-Conformance Report along with their Corrective Action Plan (CAP) to the KO for review, approval and inclusion in the contract/order file.

7.2.4. The KO should include the COR in the review of the CAP and re-inspection of services that were found deficient to ensure the CAP included adequate root cause analysis, corrective action for the root cause and that it was accomplished in the timeframe agreed upon. The KO and COR will not consider the NCR closed until all deficiencies have been corrected and all agreed upon actions of the CAP have been completed. Contractor’s failure to follow through and complete corrective actions will be reported immediately to the KO for further action. (Note:

if the COR has to repeatedly perform re-inspection there could be a Government re-inspection cost which could be recovered from the Contractor).

7.2.5. The COR will also follow-up after the Contractor has completed the corrective action to ensure that the Contractor’s corrective action was sufficient to preclude recurrence.

8. Data Analysis. COR shall perform and document analysis of available data monthly and make adjustments to surveillance schedule as required based on results of analysis. Analysis shall be used to look for and document trends in performance which may indicate shifts in performance risk that could result in increased or reduced surveillance. Data can be based on Government observations or Contractor observations. Negative trends noted using

Government observations could result in issuing Contractor a Contract Deficiency Report (CDR). Trends noted using Contractor data should never result in a CDR unless the Contractor is not addressing the negative trend. Documentation of data analysis will be in the Monthly COR Activity Report.

9. Acceptance of Services. When all services have been deemed acceptable and there is documented objective quality evidence to support acceptable performance the COR will accept the services provided and authorize payment upon satisfactory completion of the work. This is done by approving the Contractor’s invoice in Wide Area Workflow (WAWF) https://wawf.eb.mil/.

10. Monthly COR Activity Report. The COR will submit a brief monthly activity report to the KO which will include the next month’s surveillance schedule, summary of inspections performed with results, summary of customer complaints with analysis, summary of contract discrepancies, results of data analysis, recommended adjustments to surveillance, invoices accepted and any other pertinent contract activities.

10.1. By the 5th day of the month, the COR will complete the Monthly Report and upload to

CORT (or PCF, if necessary) for KO review and acceptance or rejection. The COR will use the criteria listed below when rating the Contactor’s Quality of Work. In the Contactor’s Quality of

Work comment box the COR will include a summary of inspections performed, summary of customer complaints, summary of contract discrepancies, recommended adjustments to surveillance and any other pertinent contract activities. In the individual question comments box, the COR will include a detailed summary of observations as it pertains to the individual question.

10.2. Rating Criteria. Contractor quality of work ratings and criteria are described below in accordance with Contracting Officer Performance Assessment Reporting System (FAR Table 42-1):

Rating Definition Note

(a) Exceptional 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.

To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

(b) Very Good 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.

To justify a Very Good rating, identify a significant event and state how it was a benefit to the Government.

There should have been no significant weaknesses identified.

https://wawf.eb.mil/

(c) Satisfactory 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.

To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract/order. There should have been NO significant weaknesses identified. A fundamental principle of assigning ratings is that contractors will not be evaluated with a rating lower than Satisfactory solely for not performing beyond the requirements of the contract/order.

(d) Marginal 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.

To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter).

(e) Unsatisfactory

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.

To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters).

11. Synchronized Pre-deployment and Operational Tracker (SPOT). On 25 January 2007, Office of the Secretary of Defense designated SPOT as the central repository for information on Contractors Authorized to Accompany United States Forces (CAAF). When DFARS Clause 252.225-7039 are applied to the contract the COR shall verify all SPOT data is complete, accurate and up to date on a monthly basis. Verification information shall be included on the Monthly COR report. (Verify applicability IAW COR Appointment Memorandum.)

12. Quality Assurance Surveillance File. The official COR Quality Assurance Surveillance File will be maintained in the on-line COR Management Tool https://arc.army.mil/COR . The Quality Assurance, or COR Surveillance file shall contain the following as applicable:

a. Copy of the COR designation letter from the KO, any changes to that letter, and any termination letters.

b. Training Certifications for COR and refresher training.

c. Copy of the contract and all contract modifications.

d. Copy of the applicable Quality Assurance Surveillance Plan (QASP).

e. Copy of the Contractor’s Quality Control Plan (QCP)

f. All correspondence initiated by authorized representatives (Contractor or Government) concerning performance of the contract.

g. Names, position titles and contact information of all key personnel assigned to this contract both Government and Contractor.

h. Monthly surveillance schedules.

i. Surveillance Checklists

j. Records of all inspections performed and the results.

k. Customer Feedback.

l. Memoranda for record of minutes of any meeting, telephone conversations and discussions with the Contractor or others pertaining to the contract or contract performance.

m. Documentation pertaining to acceptance of services, reports or data

13. Contractor Performance Assessment Reporting System (CPARS). Documented surveillance data IAW this QASP will be used as objective data to support CPARS ratings. The inclusion of detailed documented inspection results provides objectivity to CPARS reporting.

CPARS will be completed in accordance with AFARS, Subpart 5142.15 – Contractor Performance Information. (Verify applicability IAW COR Appointment Memorandum.)

14. Record Retention. All records will be retained for the life of this contract in accordance with FAR Subpart 4.805 – Storage, Handling, and Disposal of Contract Files. The COR/QAE shall ensure all record are uploaded into VCE per Army Contracting Command Pamphlet (ACC Pam) 70-1 and all hard copies will be forward to the KO upon completion of the contract/order.

15. Reference Material.

a. DoD COR Handbook, October 2022

b. AR 70-13 – Management and Oversight of Service Acquisitions, 30 July 2010

c. AR 702-11 – Army Quality Program, 07 NOV 2018

d. ACC Pamphlet 70-1 – Interim Army Contracting Command – Contracting Officer’s

Representative Policy Guide, 26 March 2010 https://arc.army.mil/COR

Attachment 1: QASP and Performance Requirement Summary Matrix

Performance Objective

(The Service required— usually a shall statement)

Reference Standard

Acceptable Quality Level

(AQL)

(This is the maximum error rate. It could possibly be “Zero deviation from standard”)

Method of Surveillance

Incentives or Disincentives

(% Deduction from monthly invoice for not meeting Performance Standards)

1. Combating Trafficking in Persons

FAR 52.222-50

Clauses:

952.222-0001

KSCR1-2

The Contractor shall Notify its employees of

(a) United States Government's zero tolerance policy (b) actions that will be taken against violators. (c) all clauses shall be incorporated in all subcontracts.

100% Compliance

100% Inspection, COR

Validation Bi- Annual (June & November)

Remedies IAW FAR Clause 52.222- 50(e).

2. Shall develop, implement and maintain an effective Quality Control Program

(QCP).

PWS 1.6.1

a. Provide to the Government their quality control documentation after contract award but prior to beginning of performance period. 100%

Periodic

Inspection;

15 days of contract start and annually thereafter or as changes occur.

(October)

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

b. After acceptance of QCP, the contractor shall receive the contracting officer’s acceptance in writing of any proposed change to its QC system.

3. Contracting Manpower Reporting

PWS 5.7 &

Solicitation Provision / Contract Clause

Completely fill in all the information in the format, and reported no later than October 31 of each calendar year.

Inspection, COR

Validation Annually

(November) documented as a

NCR and in

CPARS/PIPRS

4. Usage Report

PWS TE C

Submit the equipment availability/usage report as defined by the COR to

100% Accountabili ty

Periodic Inspection;

verify weekly reports were

Negative performance will be documented as a

NCR and in the Requiring Activity, the ACO/PCO and COR daily via email (copy to each).

received. CPARS/PIPRS

5. Serious Incident Report

(SIR)

PWS Serious Incident Reports 5.5.1, TE (C), Environmenta l Standards

1.6.4, PSC

Reporting Requirements 2.7.4, Clause 952.223-

a. Provide incident information immediately upon knowledge of incident event to the ACO and COR.

100% Accountabili ty

100% Inspection;

verify upon notification time it took to report and compliant to 952.223-001 format.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

b. Any accidents involving civilians will be immediately report to the

COR/ACO.

100% Accountabili ty

100% Inspection;

verify upon notification time it took to report and in compliance to 952.223- 001 format.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

6. Summary Report

PWS TE (C),

5.3.4, 5.5.1, 5.3.4, 5.4.3, 5.5, 4.2.5

Provide a monthly report to the ACO (COR & PCO) summarizing: total miles driven, significant events and incident reports, and mechanical issue trend analysis via email.

Accountabili ty

100% Inspection;

verify once per month.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

7. Personnel Report

PWS

TE C, 1.5 –

1.5.1.5

a. Provide report weekly to the COR/ACO/PCO via email.

95% fill at all times

Periodic Inspection;

verify by the 4th day of the month.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

b. Report shall contain:

all employee’s names, nationality, visa, passport, license, civil ID number & badge expiration date.

Random Sample;

Random lot size of 24 on quarterly basis using

AQL 1%

8. Pre-mission Report

PWS

Customs and

Diplomatic Clearance

1.5 – 1.5.1.5, TE C

Report listing employee’s name, visa number, passport information, license & civil ID number to COR/ACO/ PCO daily via email.

24-hrs prior to mission

Random Sample;

Random lot size of 24 on quarterly basis using

Negative performance will be documented as a

CPARS/PIPRS

AQL 1%

9. Call Forward PWS Mission

Execution 5.3.3, All operators and equipment will be delivered to the designated holding area.

1-hr prior to mission

Random Sample;

Random lot size of 24 on quarterly basis using

AQL 1%

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

10. Kuwait – Call Forward

PWS, Mission Execution 5.3.3

All operators and equipment will be delivered to the designated holding area.

SPOT Time

Random Sample;

Random lot size of

24 on quarterly basis using

AQL 1%

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

11.

Operational Availability

PWS TE B 5.1

Number of vehicles and operators shall be available at all times per task order requirements.

100% per task order

Random Sample;

Random lot size of 24 on quarterly basis using

AQL 1%

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

12. Driver Actions/ Training

PWS

Appendix 5.1, 5.2, 7.2

Maintain trained, qualified and properly licensed operators for assigned vehicles and equipment.

100% per task order

Periodic Inspection during scheduled audits which are based upon risk assessment;

After a valid Customer Complaint.

documented as a

NCR and in

CPARS/PIPRS

PWS App 5.1, 5.2, Annex C TB 55-20

CFR 49,

Sect. 393

Trained on proper block, brace and chain various types of cargo and rolling stock.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS

Appendix 5, 5.1, Special

Qualifications

Understand Army convoy procedures.

100% per task order Periodic

Inspection during scheduled

Negative performance will be

1.8, audits (training record review); After a valid

Customer Complaint

CPARS/PIPRS

PWS Physical Security, 2.7, 5.1, 5.2, Appendix 7

Trained as to proper loading, securing and transporting of designated equipment, vehicles, containers, pallets and other cargo.

100% per task order

Periodic Inspection during scheduled audits (training record review); After a valid

Customer Complaint

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS

Training

5.2

Training plan within 30 days of contract award to

KO.

100% per task order

Periodic Inspection;

45 days of contract award and annually thereafter or as changes occur.

(November) documented as a

NCR and in

CPARS/PIPRS

PWS Driver Health 5.5

Will certify compliance for personnel recovery training for all US national contractor personnel deployed or deploying to COCOM.

100% Compliance

Periodic Inspection during scheduled audits (training record review);

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

13. CCR

Functions

PWS

Contractor

Convoy Representativ e Part 2:

Definitions and Acronyms

a. Lead Driver must be able to speak, read and write in English fluent to Level 6-8.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS

Contractor

Convoy

b. CCR must be familiar with Army Operations.

100% per task order Periodic

Surveillance:

during

Negative

Representativ e Part 2:

Definitions and

Acronyms random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

NCR and in

CPARS/PIPRS

PWS

Contractor

Convoy Representati ve Part 2

c. CCR must have capacity to organize, escort, control and direct other contractor employees while on mission.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS

Contractor

Convoy

d. Each convoy outside of Kuwait will have at least one CCR.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS

Contractor

Convoy

e. Act as convoy Commander when US military do not escort convoy.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

14.Safety PWS Appendix

a. Personal Safety items will be worn at all times during missions in Intra Kuwait and AOR or as determined by the Convoy Commander or

TTP.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer

Negative performance will be documented as a

PWS Appendix

b. PPE at a minimum will consist of: protective lenses, proper footwear, and reflective vest and hard hat.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS Appendix

c. PPE of gloves will be issued and worn during loading, unloading and maintenance procedures.

100% per task order

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

15. CCR

Report

PWS

5.7

Provide CCR report within 24-hours of the close of each mission to the COR, ACO and PCO via email.

100% per task order

Random Sample;

Random lot size of 24 on quarterly basis using

AQL 1%

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

16. Safeguard Property

PWS

Physical Property 1.7.2, Physical Security 1.9, 2.6, 3.7, 4.10

(GFP) 3.1,

(CFP) 4.1

Responsible for safeguarding all government (GFP) and contractor property provided for contractor use.

100% Compliance

Periodic Inspection during scheduled audits; After an accident resulting in damage or loss of GFP.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

17. Contract Manager

PWS 1.11

a. Shall provide a contract manager & alternate by name in writing to Contracting Officer.

100% Compliance

Periodic Inspection;

scheduled audits

Negative performance will be documented as a

PWS

1.11, 5.4,

b. Shall speak, read and write fluently in English to Level 9-12.

100% Compliance

Periodic Inspection during

Negative

10.4 scheduled audits

(training records)

NCR and in

CPARS/PIPRS

18. Project Manager (PM)

PWS 1.0

a. Shall appoint in writing to the ACO and central point of contact with the USG and shall be authorized to direct performance of all work under the contract.

100% Compliance

Periodic Inspection during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

ROLES AND

RESPONSIB

ILITIES OF

CONTRACT

OR 4.1

b. shall have knowledge of all regulatory and contractual policies, procedures, and documentation relative for enforcement of all contractual obligations

100%

Compliance

Periodic

Inspection during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

ROLES AND

RESPONSIB

ILITIES OF

CONTRACT

OR 4.1

c. Shall be the contractor’s in-house supervisor in all respects.

100%

Compliance

Periodic

Inspection during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.11,

10.4

d. Shall speak, read and write fluently in English to Level 9-12.

100%

Compliance

Periodic

Inspection during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

6.24

e. shall appoint in writing to the ACO an alternate PM, act for the PM during any absence, and such person shall be available on site.

100%

Compliance

Periodic

Inspection during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.11,

10.4

f. Shall speak, read and write fluently in English to Level 9-12.

100% Compliance

Periodic

Inspection during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

19. Contractor Personnel/ Employee

PWS 1.12

a. Contractor personnel are required to identify themselves when attending meetings, answering government telephones and any situation contractor

100% Compliance

Periodic Inspection during scheduled audits; After a valid

Customer

Negative performance will be documented as a status is not obvious. Complaint.

PWS 5.5

b. Signature block that clearly identify themselves as contractor employees.

100%

Compliance

Periodic

Inspection during scheduled audits; After a valid

Customer

Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 5.5

c. All briefs prepared by a contractor employee will include a title slide which clearly and unambiguously identifies the brief as having been prepared or delivered by a contractor employee.

100%

Compliance

Periodic

Inspection during scheduled audits; After a valid

Customer

Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.12

d. Contractor employee will clearly and unambiguously identify themselves as a contractor employee supporting Heavy Lift Nine to the audience(s).

100%

Compliance

Periodic

Inspection during scheduled audits; After a valid

Customer

Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

Appendix 6

e. Wear badges that clearly put others on notice that they are contractor employees, conspicuously visible between the waist & chest level while on the installations, visible from a minimum of 10 feet.

100%

Compliance

Periodic

Inspection during scheduled audits; After a valid

Customer

Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.12

f. Shall carry at all times appropriate documentation required by Kuwait law & military regulations to access all camps, outposts, airports, naval/commercial sea ports, including border

100%

Compliance

Periodic

Inspection during scheduled audits; After a valid

Customer

Negative performance will be documented as a crossing documents and driver’s license.

Complaint.

Appendix 5

g. [Personnel originating in the US] Will process through CRC.

*Note: Not applicable to local hires or residents of Kuwait.

100%

Compliance

Periodic

Inspection during scheduled audits; After a valid

Customer

Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

20. Licenses/ Passes

PWS Appendix 5, 5.3

a. All operators/vehicles have required passes, including but not limited to: proper civil identification cards, passports, licenses, visas, fees and permits to allow them to legally operate in Kuwait, Iraq, and the port areas.

*Note: Contractors or trucks with 15 or less days remaining before badge expiration shall not cross the border leaving Kuwait.

100% Compliance

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS

Appendi x 5, 5.3

b. [If] Contractor employees shall be driving a vehicle onto the camp, they shall comply with ACEN- ASG-KU-PMO Annex K and complete an ASG- KU 190-16.2, valid driver’s license, vehicle registration for the vehicle driving, insurance and installation access badge, unless it is in combination with installation access.

100% Compliance

Periodic Surveillance:

during random operator and equipment acceptance surveillance;

After a valid Customer Complaint.

Negative performance will be documented as a

Part 5:

Specific Tasks

The Contractor will provide a quarterly report that details the license, base access and DBIDS status of all contractors and sub-

100% Compliance

Periodic Surveillance:

during random operator and equipment

Negative performance will be documented as a NCR and in contractors. Non-compliant employees will be afforded 90 days to secure necessary badging and licenses as required by Appendix 5 of the PWS.

acceptance surveillance;

After a valid Customer Complaint.

21. Emergency Points of Contact

PWS 1.15.2,

1.15.4, Appendix 6.2.1

a. Shall provide the contracting officer a roster with names and phone numbers for operations personnel in Kuwait.

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.15.4

b. Minimum of three (3) personnel per eight (8) hour shift.

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.15.2,

1.15.4, Appendix 6.2.1

c. Personnel identified on the roster must be available by phone 24 hours per day, 365 days per year (366 during any leap year).

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.15.4

d. Authorized to make decisions during crisis on behalf of the contractor & must speak English fluently.

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 1.15.4

e. Contractor shall respond, as required by the ACO, within one hour from the time of notification.

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

22. Insurance PWS 1.15.7

Insurance for all employees in the event of injury or death during the performance of this

100% Compliance

Periodic Inspection;

45 days of contract start

Negative performance will be service; minimum life insurance per driver is

10,000 KWD.

and on a regularly scheduled audit basis.

CPARS/PIPRS

23.

Maintenance

PWS 4.2.5

a. Provide a plan that demonstrates how both scheduled and unscheduled maintenance will be performed.

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 4.2.5

b. IAW manufacturer specifications and be maintained within same specifications at all time to be considered 100%

FMC.

100% Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 4.2.6

c. Perform daily preventive maintenance checks and services based upon a checklist (agreed upon by GOV and KTR) and forward validation to COR or technical team onsite.

100%

Compliance

Random Sample;

Random lot size of 24 on quarterly basis using

AQL 1%

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 4.2.6

d. Location: Will have an established site for conducting maintenance, dispatch and refit procedures for equipment and personnel within 60kms of Camp Arifjan.

100%

Compliance

Periodic Inspection;

45 days of contract start and on a regularly scheduled audit basis.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

24. Disabled equipment (Kuwait)

PWS Appendix 1: 1.7, Appendix 2:

2.6, Appendix

4: 4.9

a. Respond within two

(2) hours of notification.

100% Compliance

Periodic Surveillance:

during scheduled audits; After a valid

Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS Appendix 1: 1.7, Appendix 2:

2.6, Appendix

4: 4.9

b. Equipment shall be repaired or replaced with like item within four (4) hours for a total down time of six

(6) hours regardless of location within Kuwait.

Surveillance:

during scheduled audits; After a valid

Customer

Negative performance will be documented as a

PWS Appendix 1: 1.7, Appendix 2:

2.6, Appendix

4: 4.9

c. This service shall be available 24 hours a day, 7 days a week anywhere in Kuwait for the duration of the contract.

100% Compliance

Periodic Surveillance:

during scheduled audits; After a valid

Customer Complaint.

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

25. Installation Access Procedures

PWS 5.5.11

a. Shall comply with

ACEN-ASG-KU-PMO

Annex C.

100% Compliance

Periodic Inspection;

during scheduled audits

Negative performance will be documented as a

NCR and in

CPARS/PIPRS

PWS 5.5.11

b. Shall provide adequate…