Attachment 2 - QASP_GFEBS Strategic Integrator_SSI_24 Mar 20.docx

Quality Assurance Surveillance Plan

For

GENERAL FUND ENTERPRISE BUSINESS SYSTEM (GFEBS) STRATEGIC INTEGRATOR

Contract # W9124C-20-D-XXXX

24 March 2020

TABLE OF CONTENTS

Subject Page Number

1. Overview

2. Description of Services

3. Roles and Responsibilities

4. Contract Quality Requirements

5. Government Surveillance

6. Non-Conforming Performance

7. Deduct Plan

8. Data Analysis

9. Acceptance of Services

10. COR Status Report

11. Contractor Manpower Reporting Application (CMRA)

12. Contractor Performance Assessment Reporting System (CPARS)

13. Combating Trafficking In Persons

14. COR/Quality Assurance Surveillance Files

15. QASP Changes

1. Overview.

1.0 1.1. Purpose. This Quality Assurance Surveillance Plan (QASP) is a Government developed document used to ensure that the Government receives quality services, and pays only for conforming services actually provided. The objective of this firm fixed price non-personal service contract is to acquire GFEBS Strategic Integrator services at Fort Jackson, South Carolina as defined in this Performance Work Statement (PWS), section five (5). Government-furnished property and services for those items specified in the PWS are exempt from this QASP. The Contractor shall perform to the standards specified in the GFEBS Strategic Integrator PWS in support of the Soldier Support Institute. This Quality Assurance Surveillance Plan (QASP) identifies the methods and procedures the Government will use to ensure it receives the services to the desired standard, as identified in the PWS.

1.2. Intent. The intent of this QASP is to:

1) Ensure Contractor performance meets or exceeds contract terms, conditions and specifications 2) Hold the Contractor accountable for quality control

3) Encourage the Contractor to take appropriate steps to control and improve quality

4) Ensure all sections of FAR 46 are applied as required and applicable

Accordingly, the Government will perform surveillance on the contract in accordance with this QASP, but reserves the right to monitor the contract in any manner necessary, at any time necessary, and at all places necessary to ensure that the services rendered conform to contract requirements. The Government also reserves the right to perform quality assurance at the Subcontractor level, and at the contractor's place of business. Sub-contract service providers shall be accountable to the Contractor who, in turn is responsible to the Government. Resolution of non-conforming services discovered at the Subcontractor level will be addressed with the prime Contractor. The Government will not exercise any supervisory controls over the contract service providers performing the services herein.

2. Description of Services.

2.1. Scope of Work. The Contractor shall deliver FCS technical, analytic and strategic subject matter expertise (SME) in the development of training strategy plans that fully address the US Army Learning Model (ALM). Within these training strategy plans, the contactor shall address modern training strategies, programs, processes, structures, training, and training systems as it directly relates to the Army-wide FM Transformation (AFMO), ALM, CTSSB, and GFEBS training/implementation considering each of the DOTMLPF- p areas. This will include the following tasks: needs analysis, courseware evaluation, incorporation of adult learning models, integration of educational technology, incorporation of the tenets of Army Learning Concept 2015.

2.2. Type of Contract. This will be a Firm Fixed Price contract.

3. Roles and Responsibilities. The following provides a synopsis for the roles and their respective authority during the performance of the contract:

3.1. Government.

3.1.1. Contracting Officer (KO). The KO is the only person authorized to direct changes in any of the requirements under this contract. In the event the Contractor effects any such change at the direction of any person other than the KO, the change will be considered to have been made without authority, and solely at the risk of the Contractor. No changes in, or deviation from the terms and conditions shall be affected, without a written modification to the contract, executed by the KO authorizing such changes.

3.1.2. Contracting Officer’s Representative (COR). The COR will monitor all technical and performance aspects of the contract, and assist the (KO) in contract administration. The COR is authorized to perform the following functions:

· Assure that the Contractor performs the technical requirements of the contract

· Perform inspections necessary in connection with contract performance

· Maintain written and oral communications with the Contractor concerning technical and performance aspects of the contract

· Issue written interpretations of technical requirements, including Government drawings, designs, and specifications

· Monitor Contractor's performance and documents and notifies both the Contracting Officer and Contractor of all deficiencies

· Coordinate availability of Government furnished property

· Provide site entry of Contractor

ACC and MICC do not use other acronyms to refer to and describe a COR. Terms such as the “COTR, “Onsite COR”, “TM”, etc. will not be used. Some personnel may be assigned as Alternate CORs, but other than a statement to that effect and what actions the KO expects that ACOR to take in the absence of the primary COR, there is no difference between a COR an Alternate COR, or other government surveillance personnel assigned to conduct contract oversight. Throughout the remainder of this QASP, The term “COR’ will be used to refer to all government surveillance personnel assigned to monitor the contractor’s performance on this contract.

A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regard to changes in cost, price, or delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order. The Contracting Officer shall use the Joint Appointment Module (JAM) to electronically track COR nominations, appointments, terminations, and training certifications for each COR appointed to conduct oversight on this contract. The COR will upload their surveillance documents, such as Monthly Status Reports (MSR), COR trip reports, correspondence with the contractor, and other miscellaneous documents into JAM within their online JAM Profile for this contract. Joint Appointment Module is available within the Procurement Integrated Enterprise Environment suite of tools at: https://wawf.eb.mil/piee-landing//piee-landing/ .

3.1.2.1 Alternate Contracting Officer’s Representative (ACOR). The Alternate COR is an employee of the U.S. Government provided by the Requiring Activities (RA) and appointed by the Contracting Officer to provide additional surveillance personnel in monitoring and documenting the contractor’s performance. These alternate surveillance support personnel may serve as on-site representatives of the COR in performance of actual contract surveillance, if they meet all COR training and experience requirements and are appointed by the contracting officer as Alternate CORs (ACOR) in JAM. This term will apply to other government surveillance personnel as defined in Army Regulation 70-13, paragraph 2-2 g.

3.2. Contractor.

3.2.1. Contract Manager (CM) / Alternate Contract Manager (ACM): 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. The contract manager or alternate shall have full authority to act for the contractor on all contract matters relating to daily operation of this contract. The contract manager or alternate shall be available between 0830 - 1700, Monday thru Friday except Federal holidays or when the government facility is closed for administrative reasons

For quick access, the contact information for the performance of this QASP is provided:

Government Personnel:

Table 1; Key Positions for Contract Administration

Contractor Personnel:

4. Contract Quality Requirements.

4.1. Contractor’s Quality Control Plan/Program (QCP). The Government will evaluate the adequacy of the Contractor’s Quality Control Plan (QCP) performance under this contract in accordance with this QASP. The Contractor’s quality control program is the means by which he assures himself that all work complies with the requirement of the contract PWS. It is essential that Government Surveillance Personnel understand that Quality Control (QC) is the responsibility of the contractor, and not the government.

As such, the government will focus their efforts on validating if the contractor is maintaining an adequate quality control inspection systems that ensures the contractor maintains evidence that services provided conform to contract quality requirements. The Contractor shall provide inspection data to the Government on request for validation. The Contractor’s QCP shall include a process that can identify, prevent, and ensure non-recurrence of defective services. See the PWS Part 7.

4.2. Government Quality Assurance. This QASP describes what the Government will do to ensure that the Contractor has performed in accordance with the performance standards within the PWS.

This QASP describes:

· How the performance standards will be applied:

· The Performance Standard for each requirement in the PWS will be applied as prescribed in the PWS. Ensure that each Performance requirement within the PWS includes a Measurable performance standard in terms of quality, timeliness, or quantity.

· Ensure the method of assessing contractor performance against performance standards is included in this QASP

· Ensure each Performance Requirement includes an acceptable quality limit (AQL). AQL is the worst tolerable performance that is still considered acceptable.

For example; if “the contractor shall provide personnel support within 2 hours”, the AQL may be:

+ or - (+/-) 15 minutes. See PWS part 7, Performance Requirements Summary

· Which performance elements will be surveilled (PWS part 7, Performance Requirements Summary)

· All performance activities will be surveilled through-out the Period of Performance, using a risk based approach to selecting Checklist items from Attachment 8, List of Contractor Requirements. The selected items will be populated on the Monthly Checklist and placed on the Surveillance Schedule for each period surveilled.

· When the surveillance will be scheduled (PWS part 7, Performance Requirements Summary)

· A sample of Checklist items will be selected from the PWS part 7, Performance Requirements Summary. These selected items for each month will be placed on the Surveillance Checklist and scheduled surveillance on the Monthly Schedule. Surveillance may be scheduled on a daily, weekly or monthly frequency. However, each contractor requirement must be audited for compliance prior to invoice payment being made.

· The Acceptable Quality Limit (AQL)

· The AQL will be determined by the Requiring Activity, i.e., the COR, and referenced in PWS part 7, Performance Requirements Summary.

· The nature of Government contract quality assurance actions that include the number of observations made and the number and type of defects (defect rate)

· Personnel conducting contractor performance surveillance will answer the Performance question asked, and provide comments in the area provided on the checklist. These comments and metrics from the Checklist will be included on each MSR submitted during the Period of Performance.

5. Government Surveillance.

5.1. Methods of Surveillance. The following Methods of Surveillance may be utilized in monitoring the Contractors’ performance:

NOTE: The performance items selected for surveillance in this QASP should NOT be the same as those listed in the Performance Requirements Summary (PRS). The PRS is a stand-alone document that illustrates to the contractor the few, most salient items the government wishes the contractor to be aware of. The PRS is contained in the contract Performance Work Statement (PWS). This QASP shall not be provided to the contractor. See DA Pamphlet 5-20, para 8-5 (a). See Attachment 1 for PRS items.

1. 100% Inspection will be reserved for the highest risk areas where consequence of failure may affect life or limb, or there is likelihood of mission failure

1. Random Sampling Will be used when a service is performed on a frequent basis and a statistically valid sample can be selected for audit. This is most appropriate method for frequently recurring tasks

1. Periodic Inspection Will be used when planned sampling of a service is at a specific predetermined date and time. This is most appropriate for tasks that occur infrequently, yet on a scheduled basis

1. Customer Feedback. Not a valid method of surveillance, but a good indicator of areas where surveillance should be conducted or intensified.

The DA Form 5477, Customer Complaint Record, will be placed at convenient locations for the end user of these services, and made available to document/record all complaints. The COR will collect the Customer Complaints each surveillance cycle and investigate for validity ASAP.

The following procedures will be followed when a complaint is received.

· The COR/ACOR will investigate to determine the validity of the complaint

· If the complaint is determined to be invalid, the COR will inform the person who submitted the complaint of the reason(s) as soon as practical

· For validated complaints that are true contractual non-conformances, the procedures in paragraph 6 below will be applied

· A Customer Complaint Log will be used to document each validated customer complaint and attached to the COR Monthly Surveillance Report in the JAM.

5.2. Surveillance Schedule. A Surveillance Schedule will be created each month utilizing the DA 5475, COR Surveillance Schedule, or locally generated equivalent. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized Government personnel. Each Month’s Surveillance Schedule will be completed at the beginning of each month during the Period of Performance (PoP) to schedule the upcoming month surveillance activity. Completed Surveillance Schedules will be filed in the online Joint Appointment Module (https://wawf.eb.mil/piee-landing/) file for this contract, either as an attachment to Monthly COR Status Report (MSR) or uploaded separately in the Miscellaneous Documents Section of the CORs’ JAM file.

5.3. Surveillance Checklists. A Surveillance Checklist will be created each month utilizing the DA 5476, COR Surveillance Checklist, or locally generated equivalent. The Checklist is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized Government personnel. Each Month’s Surveillance Checklist will be completed with the Surveillance Schedule. Completed Surveillance Checklist will be filed in the online Joint Appointment Module (https://wawf.eb.mil/piee-landing/) file for this contract, either as an attachment to Monthly COR Status Report (MSR) or uploaded separately in the Miscellaneous Documents Section of the CORs’ CORT file.

Surveillance checklist items will be selected from the List of Contractor Requirements, GFEBS Strategic Integrator PWS Part 7

5.4. Surveillance Documentation. Each months’ Completed Surveillance Documentation, to include the Monthly Surveillance Report (MSR) must be filed in the online Joint Appointment Module ( https://wawf.eb.mil/piee-landing/) file for this contract, either as an attachment to MSR, or uploaded separately in the Miscellaneous Documents Section of the CORs’ online CORT file.

6. Non-Conforming Performance. A Non-conformance occurs when the Contractor fails to meet the terms, conditions and/or specifications of the Contract/Task Order. All instances of non-conformance must be documented by the COR. The COR will provide the details of the non-conformance using the Contract Discrepancy Report (CDR), DA Form 5479, to the KO, who will notify the Contractor of each nonconformance occurrence, unless the KO has authorized the COR to submit directly to the contractor, and copy the KO. Resolution of any non-conformance discovered at the Subcontractor level will be addressed with the prime Contractor.

Non-conformances are classified as either: Level I (Minor); Level II (Major); or Level III (Critical).

6.1. Level I (Minor). Level I non-conformance is not likely to materially reduce the usability of services for their intended purpose or is a departure from established standards having little bearing on completing the contract requirement. Minor non-conformances can usually be corrected on the spot and can be issued to the Contractor through either a verbal or written Contract Discrepancy Report (CDR). However, the Government is required to document verbal Level I CDRs. The COR may issue verbal Level I CDRs directly to the appropriate level of Contractor management. The COR will notify the KO as soon as practical when a verbal Level I CDR is issued and document them in their Monthly Reports. If the non-conformance cannot be corrected on the spot, the Contractor shall be given a suspense date to correct the deficiency. The KO will issue and sign written Level I CDRs.

6.2. Level II (Major). Level II non-conformance is likely to result in failure of the services to meet contract requirements. Also, repeated discrepancies, a large number of documented Level I CDRs and trends indicating failure of the Contractor’s quality control program can be classified as Level II CDRs. The KO issues all Level II CDRs in writing. The COR will notify the KO as soon as practical when a major non-conformance is identified.

6.3. Level III (Critical). Level III non-conformances result in hazardous or unsafe conditions due to the manner in which the services are performed; prevent or impact a vital agency mission as a result of performance; or are for repeated or uncorrected Level II CDRs. The Contracting Office Director or Deputy Director issues written Level III CDRs. The COR is responsible for notifying the KO immediately upon discovery of a critical non-conformance.

6.4. Documenting CDRs. The COR will provide the details of the non-conformance using the Contract Discrepancy Report, DA Form 5479. If the Requiring activity prefers to issue a locally developed CDR, documentation must include as a minimum: the Contract or Task Order number; reference to the specific contract requirement; the specific discrepancy to the requirement; where it was discovered; the date and time it was discovered; Contractor representative who was notified; and the suspense date for Contractor response/corrective action.

6.5. Tracking and Resolving CDRs. All CDRs, verbal and written, regardless of issuer will be included in the COR’s Monthly Report. The COR and KO shall track CDRs to ensure the Contractor identifies and takes appropriate corrective action to the root cause and the specific non-conformance is corrected within the required timeline. The KO will make a final written determination of the Government’s remedies if the non-conformance is not corrected by the Contractor after receiving notice and a reasonable opportunity to correct the work. IAW MICC Desk Book (24 June 2016), 46.102 Policy.

7. Deduct Plan. This acquisition does not include a Deduct Plan.

8. Data Analysis. Data Analysis will be performed to identify trends in cost, schedule and/or performance risks. The results of Data Analysis will be documented in COR Monthly Status Reports (MSR) and may be used to make adjustments to surveillance schedules and/or checklist items to increase or decrease surveillance, based on performance trends. Negative trends noted using Government data/observations could result in issuing the Contractor a Contract Discrepancy Report. Trends noted using Contractor data will not result in a CDR unless the Contractor has not addressed the negative trend. QASP changes based on Data Analysis will be coordinated with the Contracting Officer for approval.

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 to the Contractor. Acceptance and payment will be made by approving the Contractor’s Receiving Reports in Wide Area Workflow at https://wawf.eb.mil/piee-landing// as an iRAPT Inspector, and/or Acceptor.

10. COR Status Report. COR Status Reports, or Monthly Status Reports (MSR) will be submitted on a monthly basis to the Contracting Officer via the JAM Tool. MSR reports must be uploaded into the JAM Tool, using the “Smart Form” Monthly Surveillance Report. MSR reports will be due NLT the 10th day of the month following the month of surveillance. COR Status Reports will provide a synopsis of the Contractors performance for the inclusive dates of the report. The synopsis must contain a summary of surveillances performed, Customer Feedback if any, CDRs if any, an analysis of the Contractors performance, recommended adjustments to surveillance schedules, and any other pertinent contract information IAW FAR 46.104, and the COR Appointment Letter. Completed Surveillance Checklists and CDRs, if any, will be included as attachments to COR Status Reports, or referenced in the MSR for that month and uploaded separately in the Miscellaneous Documents Section of the CORs’ Online JAM file for this contract. See para 4.2.

11. Contractor Manpower Reporting Application (CMRA). Reporting Labor Hours. The Office of the Assistant Secretary of the Army (Manpower & Reserve Affairs) operates and maintains a secure Army data collection site where the Contractor shall report all Contractor manpower (including subcontractor manpower) required for performance of this contract. The Contractor shall completely fill in all the information in the format using the following web address: https://cmra.army.mil.

The required information includes the following:

a. Contracting Officer (KO), Contracting Officer’s Representative (COR) name;

b. Contract number, including task and delivery order number;

c. Beginning and ending dates covered by reporting period;

d. Contractor's name, address, phone number, e-mail address, identity of Contractor employee entering data;

e. Estimated direct labor hours (including sub-Contractors);

f. Estimated direct labor dollars paid this reporting period (including sub-Contractors);

g. Total payments (including sub-Contractors);

h. Predominant Federal Service Code (FSC) reflecting services provided by Contractor (and separate predominant FSC for each sub-Contractor if different);

i. Estimated data collection cost;

j. Organizational title associated with the Unit Identification Code (UIC) for the Army Requiring Activity (the Army Requiring Activity is responsible for providing the Contractor with its UIC for the purposes of reporting this information);

k. Locations where Contractor and sub-Contractors perform the work (specified by zip code in the United States and nearest city, country, when in an overseas location, using standardized nomenclature provided on website);

l. Presence of deployment or contingency contract language; and Number of Contractor and sub-Contractor employees deployed in theater this reporting period (by country).

While inputs may be reported any time during the FY, The COR shall ensure the contractor submits all data shall no later than October 31 of each calendar year. The COR shall verify that the Contactor has complied with the required contractor manpower reporting annually and document the results in the CORs’ Online JAM File, CMRA section. Contracting officers shall ensure that the requirement to report contractor manpower is included in all contracts, task/delivery orders and modifications.

12. Contractor Performance Assessment Reporting System (CPARS). Documented surveillance data (COR Status Reports, Completed Surveillance Checklists, Customer Feedback and CDRs, if any) will be used to support CPARS ratings. CPARS will be completed in accordance with AFARS, Subpart 5142.15 – Contractor Performance Information.

13. Combating Trafficking In Persons (CTIP). In accordance with PGI 222.17 and FAR 52.222-50, the KO will be notified immediately of any information from any source that alleges a Contractor employee, subcontractor and/or subcontractor employee has engaged in conduct that violates the United States Government “zero” tolerance policy regarding trafficking in persons.

14. COR/Quality Assurance Surveillance Files. The official COR/Quality Assurance Surveillance File will be maintained in the on-line JAM Tool, IAW DoDI 5000.72, and DFARS PFI 201.602-2.

15. QASP Changes. This QASP is a living document and, as such, may be changed as needed based on Data Analysis (trends), contract modifications by the KO, etc. The COR will send any recommended changes to the Contracting Officer for approval and the Contracting Officer must approve all changes.

Wendy S. Schultz Contracting Officer Representative

Regina N. Givens.

Contracting Officer

Attachments:

1. Performance Requirements Summary (PRS), DA Form 5473

2. Customer Complaint Record, DA Form 5477

3. Surveillance Schedule, DA Form 5475

4. Surveillance Checklist(s)

5. Contract Discrepancy Report, DA Form 5479

6. Contract Discrepancy Log

7. List of Contractor Requirements

8. QASP Surveillance Item Requirements

Attachment 1

Contract/Task Order Performance Requirements Summary

(PRS)

Required Services

Incentive (Positive and/or Negative)

Attachment 2

Customer Complaint Record, DA Form 5477

Attachment 3

Surveillance Schedule, DA Form 5475

You will need to develop a monthly schedule for conducting surveillance. You can use this form. The date you are going to conduct surveillance would go in the far left column. You would list the PWS, paragraph number for the task you are going to surveil on the top line.

Attachment 4 Surveillance Checklist(s)

COR SURVEILLANCE CHECKLIST Template

COR Name:

Comments:

Comments:

Comments:

Comments:

Comments:

Comments summary, to include, positive trends, negative trends, concerns, customer comments, and any additional COR comments:

To populate the checklist, find in the PWS: "The Contractor Shall...”, Then, make that requirement a checklist item by converting the requirement to a question: “Did the contractor…" Each "Yes" can be graded as a 1, and each NO graded as a 0. Once the checklist is complete, the COR may generate a quantifiable performance rating using these numbers as metrics.

The COR will develop a monthly Checklist for conducting surveillance. The COR may use either of the forms attached. The COR will list the PWS requirements that ARE NOT listed as PRS requirements in the PWS as a pool of surveillance items for each month of surveillance activity you conduct. See attachment 8, List of Contractor Requirements Each month, select the performance requirements you will evaluate from that list.

Attachment 5 Contract Discrepancy Report, DA Form 5479

Attachment 6 Contract Discrepancy Log

Attachment 7 List of Contractor Requirements

Attachment 8

Performance Threshold Method Of Surveillance

QASP Surveillance Item Requirements

This QASP Surveillance Item Requirements Table is provided as an example.

Each performance item from the List of Contractor Requirements (Attachment 7) will be applied to this table with the Performance Objective, Performance Standard, and AQL/Performance Threshold Ensure an AQL is determined and applied to each Performance Objective image1.emf image2.emf image3.emf

DA 5473 PRS .pdf

PERFORMANCE REQUIREMENTS SUMMARY

For use of this form, see DA PAM 5-20; the proponent agency is ACSIM.

REQUIRED

SERVICE

PARAGRAPH

NUMBER STANDARD

MAXIMUM ALLOWABLE

DEGREE OF DEVIATION

FROM REQUIREMENT (AQL)

METHOD OF

SURVEILLANCE

THE PROPORTION

OF REQUIRED

SERVICE TO TOTAL

CONTRACT PRICE

DA FORM 5473, MAR 2008 APD LC v1.00PREVIOUS EDITIONS ARE OBSOLETE.

PERFORMANCE REQUIREMENTS SUMMARY

REQUIRED

SERVICE

PARAGRAPH

NUMBER

STANDARD

MAXIMUM ALLOWABLE

DEGREE OF DEVIATION

FROM REQUIREMENT (AQL)

METHOD OF

SURVEILLANCE

THE PROPORTION

OF REQUIRED

SERVICE TO TOTAL

CONTRACT PRICE

DA FORM 5473, MAR 2008

APD LC v1.00

PREVIOUS EDITIONS ARE OBSOLETE.

1.00

DA FORM 5473-R, NOV 1985

PERFORMANCE REQUIREMENTS SUMMARY

APD

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image4.emf

DATE OF COMPLAINT TIME OF COMPLAINT

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE CONTRACTOR INFORMED COMPLAINT TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer)

RECEIVED AND VALIDATED BY

ORGANIZATION

INDIVIDUAL

NOTE: ( ) Used for in-house operation.

CUSTOMER COMPLAINT RECORD

SOURCE OF COMPLAINT

(Responsible officer) (Responsible officer)

DA FORM 5477, MAR 2008 PREVIOUS EDITIONS ARE OBSOLETE. APD PE v1.01ES initiator:ralph.gaines@us.army.mil;wfState:distributed;wfType:email;workflowId:b71742b09d8a4c49a6eb59ab36d6e236

DATE OF COMPLAINT:

TIME OF COMPLAINT:

ORGANIZATION INDIVIDUAL SOURCE OF COMPLAINT:

NATURE OF COMPLAINT:

CONTRACT REFERENCE:

VALIDATION:

DATE CONTRACTOR INFORMED COMPLAINT Responsible officer:

TIME CONTRACTOR INFORMED OF COMPLAINT Responsible officer:

ACTION TAKEN BY CONTRACTOR Responsible officer:

RECEIVED AND VALIDATED BY:

NOTE Used for inhouse operation:

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DA FORM 5477

DATE OF COMPLAINT TIME OF COMPLAINT

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE CONTRACTOR INFORMED COMPLAINT TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer)

RECEIVED AND VALIDATED BY

ORGANIZATION

INDIVIDUAL

NOTE: ( ) Used for in-house operation.

CUSTOMER COMPLAINT RECORD

SOURCE OF COMPLAINT

(Responsible officer) (Responsible officer)

DA FORM 5477, MAR 2008 PREVIOUS EDITIONS ARE OBSOLETE. APD PE v1.01ES initiator:ralph.gaines@us.army.mil;wfState:distributed;wfType:email;workflowId:b71742b09d8a4c49a6eb59ab36d6e236

DATE OF COMPLAINT:

TIME OF COMPLAINT:

ORGANIZATION INDIVIDUAL SOURCE OF COMPLAINT:

NATURE OF COMPLAINT:

CONTRACT REFERENCE:

VALIDATION:

DATE CONTRACTOR INFORMED COMPLAINT Responsible officer:

TIME CONTRACTOR INFORMED OF COMPLAINT Responsible officer:

ACTION TAKEN BY CONTRACTOR Responsible officer:

RECEIVED AND VALIDATED BY:

NOTE Used for inhouse operation:

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DATE

COR/QAE SURVEILLANCE SCHEDULE

When completed stamp "FOR OFFICIAL USE ONLY"

DA FORM 5475, MAR 2008 APD PE v1.00

PREVIOUS EDITIONS ARE OBSOLETE.

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DA FORM 5475

COR/QAE SURVEILLANCE SCHEDULE

When completed stamp "FOR OFFICIAL USE ONLY"

DA FORM 5475, MAR 2008 APD PE v1.00 image8.emf

DA 5476 Surv Checklist.pdf

CONTRACT

REQUIREMENT

PARAGRAPH

NUMBER

METHOD OF

SURVEILLANCE

ACCOMPLISHED

WHERE

ACCOMPLISHED

COMPLIANCE

SURVEILLANCE ACTIVITY CHECKLIST

DA FORM 5476, MAR 2008 APD LC v1.00PREVIOUS EDITIONS ARE OBSOLETE.

REQUIREMENT

CONTRACT

PARAGRAPH

NUMBER

METHOD OF

SURVEILLANCE

DATE

ACCOMPLISHED

WHERE

ACCOMPLISHED

COMPLIANCE

SURVEILLANCE ACTIVITY CHECKLIST

For use of this form, see DA PAM 5-20; the proponent agency is ACSIM.

DA FORM 5476, MAR 2008

APD LC v1.00

PREVIOUS EDITIONS ARE OBSOLETE.

1.00

DA FORM 5476-R, NOV 1985

SURVEILLANCE ACTIVITY CHECKLIST

APD

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MICC COR Surveillance Checklist Template (Sept 2016).xlsx Surv ChkList

MICC COR SURVEILLANCE CHECKLIST Template

COR Inspection Checklist & Data Report (Fixed Firm Price Contract) Period Of Performance:

Contractor: From:

Contract Number: To:

Service Provided: Meeting Contract Requirements ?

COR Name:

Date:

Select answer in cloumn C or D YES No

Comments:

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Comments summary, to include, positive trends, negative trends, concerns, customer comments, and any additional COR comments:

To populate the checklist, find in the PWS: "The Contractor Shall..." , Then, make that requirement a checklist item by converting the requirement to a question: " Did the contractor…" Each "Yes" can be graded as a 1, and each NO graded as a 0, for example.

From this, the COR may generate a quantifiable performance rating using numbers.

List of Perf Parameters

Surveillance Checklist Questions for QASP

1. Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform grounds maintenance

2. Contractor shall perform to the standards of this PWS.

3. Contractor shall ensure all work accomplished maintains and presents a healthy, clean, neat, and professional appearance to all grounds included and covered by this contract in support of mission requirements for users, residents, and visitors to the installation (in accordance with DA PAM 420-1-1, Housing Management, Table 2-14, 4.Contractor shall maintain Improved, Semi-Improved, and Unimproved Grounds as identified under Technical Exhibit (TE) {X, X, X Insert Installation TEs}, in this PWS, utilizing accepted industry standards and practices, where practical.

5. Contractor shall include mowing grass, edging and trimming grass, removing grass trimmings from paved areas, irrigating, aerating lawn areas, applying fertilizer and/or lime, applying herbicide to lawn and landscape areas, maintaining plants, shrubs, and flowers, performing seasonal planting of plants and flowers, removing leaves, applying mulch, pruning trees, removing grass from cracks in sidewalks and pavements, and litter control.

6. Semi-Improved Areas. These areas are used for operational and maintenance purposes. Erosion control shall be the predominant grounds maintenance work performed in this area by the Contractor. This will include grassed areas, vegetated areas, trees, and pavements. The work performed in these areas by the Contractor shall include mowing grass

7. Contractor shall provide personnel support outside the normal hours of operation as required, including holidays, to support the Directorate of Public Works (DPW) Maintenance Division mission.

8. Prior to performance of services outside the locally established hours of operation, the Contractor shall request and obtain, in writing, approval from the Contracting Officer.

9. The Program/Project Manager or the alternate Project Manager shall be available after normal duty hours to serve as the central point of contact for contractor operations.

10. Contractor personnel shall not be scheduled for overtime work.

11. Contractor shall make available competent personnel trained and capable of dealing with minor personnel injuries.

12. The Contractor or their employees shall immediately notify their supervisor of any accident requiring emergency medical treatment. The Contractor will, in turn, notify the Contracting Officer (KO) or Contracting Officer’s Representative (COR) within two (2) hours of the incident.

13. The Contractor shall attend the post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation (FAR) Subpart 42.5.

14. The KO and Contracting Officer’s Representative (COR) shall meet periodically with the Contractor to review the Contractor's performance. Written minutes of such meetings will be recorded by the Government and signed by the Program/Project Manager and the Contracting Officer or COR and distributed within five (5) workdays after the meeting.

15. The Contractor may request a meeting with the Contracting Officer or COR when the Contractor believes such a meeting is necessary.

16. Written minutes of such meetings shall be recorded by the Contractor and signed all participants involved and distributed within five (5) workdays after the meeting. In either case, if the Contractor does not concur with any portion of the minutes, recorded by the Government or the Contractor, such non-concurrence shall be provided in writing to the Contracting Officer within two (2) calendar days following receipt of the minutes.

17. Communications pertaining to contractual administrative matters shall be addressed to the KO.

18. No changes in or deviation from the terms and conditions shall be affected without a written modification to the contract executed by the KO authorizing such changes.

19. The Contractor shall not in any way represent that it is a part of the U. S. Government, or that it has the authority to contract or procure supplies for the account of the United States of America.

20. The Contractor shall develop and maintain a Quality Control Plan acceptable to the Government

21. The Contractor shall develop and implement procedures to identify, prevent, and ensure against recurrence of defective services

22. Contractor shall submit resumes and an organization chart (to include contact info) for initial key personnel and replacements, to the KO.

23. The Contractor shall provide a Program/Project 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.

24. The Program/Project Manager or alternate shall have full authority to act for the Contractor on all contract matters relating to daily operation of this contract.

25. The Program/Project Manager or alternate shall be available between {Insert the hours, i.e., 8:00 a.m. to 4:30p.m.}, Monday through Friday except Federal holidays or when the Government facility is closed for administrative reasons.

26. All contract personnel shall be identified as a Contractor, i.e., badge, company logo, or uniform.

27. Contractor personnel’s conduct shall not reflect discredit upon the Government.

28. The Contractor shall ensure that personnel present a professional appearance.

29. The Contractor’s employees shall observe and comply with all local policies and procedures concerning fire, safety, environmental protection, sanitation, security, and possession of firearms or other lethal or illegal weapons or substance.

30. The Contractor is responsible for ensuring that any Contractor employees providing services under this contract conduct themselves and perform services in a professional, safe, and responsible manner.

31. The Contractor shall remove, from the job site, any employee for reasons of misconduct or security. In accordance with Department of Defense (DOD) Directive 5500.7-R, “Joint Ethics Regulation”, Contractor employees must avoid improperly influenced in the execution of their duties under the contract. Particular attention should be paid to acceptance of gifts/ gratuities, and on non-disclosure of sensitive or classified information.

32. The Contractor shall ensure employee conduct complies with 41 U.S.C. 423 relative to release of acquisition related information or actions or discussions which may prejudice future competitions.

33. The Contractor shall ensure no Contractor employees conduct political related activities or events on the installation.

34. The Contractor shall successfully integrate and coordinate all activity needed to execute the requirement.

35. The Contractor shall manage the timeliness, completeness and quality of problem identification to a degree acceptable to the Government.

36. The Contractor shall provide corrective action plans, timely identification of issues and effective management of subcontractors.

37. The Contractor shall assure customer satisfaction and professional and ethical behavior of all Contractor personnel

38. Contractor and all associated subcontractors’ employees shall comply with applicable installation, facility, and area commander installation/facility access and local security policies and procedures (provided by Government representative).

39. The Contractor shall also provide all information required for background checks to meet installation access requirements, to be accomplished by the installation Provost Marshall Office, Director of Emergency Services, or Security Office, and COR.

40. The Contractor shall safeguard all Government equipment, information and property provided for Contractor use.

41. The Contractor shall maintain a physical security checklist/log (e.g., Army Standard Form (SF) 701 Activity Security Checklist), which will be forwarded to the COR, not later than (NLT) the 10th of each month, following the month of surveillance.

42. At the close of each work period, Government facilities, equipment, and materials shall be secured by the Contractor.)

43. The Contractor shall establish and implement methods of making sure all keys/key cards issued to the Contractor by the Government are not lost or misplaced and are not used by unauthorized persons. NOTE: All references to keys include key cards. No keys issued to the Contractor by the Government shall be duplicated.

44. The Contractor shall develop procedures covering key control that shall be included in the Quality Control Plan. Such procedures shall include turn-in of any issued keys by personnel who no longer require access to locked areas.

45. The Contractor shall immediately report any occurrences of lost or duplicate keys/key cards to the COR.

46. Lost keys shall immediately be reported to the COR, by personal contact via phone and be followed up by written correspondence.

47. In the event keys, other than master keys, are lost or duplicated, the Contractor shall, upon direction of the Contracting Officer, re-key or replace the affected lock or locks; however, the Government, at its option, may replace the affected lock or locks or perform re-keying.

48. When the replacement of locks or re-keying is performed by the Government, the total cost of re-keying or the replacement of the lock or locks shall be deducted from the monthly payment due the Contractor.

49. In the event a master key is lost or duplicated, all locks and keys for that system shall be replaced by the Government and the total cost deducted from the monthly payment due the Contractor.

50. The Contractor shall prohibit the use of Government issued keys by any persons other than the Contractor’s employees.

51. The Contractor shall prohibit the opening of locked areas by Contractor employees to permit entrance of persons other than Contractor employees engaged in the performance of assigned work in those areas, or personnel authorized entrance by the Contracting Officer (KO).

52. The Contractor shall establish and implement methods of ensuring that all lock combinations are not revealed to unauthorized persons.

53. The Contractor shall ensure that lock combinations are changed when personnel having access to the combinations no longer have a need to know such combinations.

54. The Contractor and all associated sub-contractors shall brief all employees on the local iWATCH program (training standards provided by the requiring activity Anti-Terrorism Officer (ATO)). This local developed training will be used to inform employees of the types of behavior to watch for and instruct employees to report suspicious activity to the COR.

55. This training shall be completed within {XX} calendar days (recommend 30) of contract award and within {YY} calendar days (recommend five (5)) of new employees commencing performance with the results reported to the COR not later than {XX} calendar days (recommend 30) after contract award.

56. The Contractor shall safeguard and maintain all Government property and Contractor property, as well as provide for the safety and well-being of personnel employed in the administration of this contract.

57. The Contractor shall comply with the provision of AR 385-10, Army Safety Program.

58. The Contractor shall develop and implement a safety program for employees performing work under this contract.

59. The Contractor shall submit the Safety Plan to the Contracting Officer, or designated representative, for review and acceptance within 10 days of commencement of work.

60. Revisions shall be submitted five (5) calendar days prior to the effective date of change.

61. The Contractor shall comply with the Occupational Safety and Health Administration (OSHA) standards.

62. The Contractor shall be responsible for ensuring adherence to all applicable {insert Installation}, State of {insert State}, and federal rules and regulations.

63. Contractor must be certified/licensed in appropriate Environmental Protection Agency (EPA) and {XX} (fill in the state of performance) Department of Agriculture categories for the application of herbicides.

64. Required documentation of certification or licensure for new Contractor personnel shall be filed with the Contracting Officer or COR within 24 hours prior to performance of service by any Contractor personnel

65. The Contractor shall comply with tenants of the EO and when practicable, shall use:

a. (a) products with post-consumer recycled content

b. (b) products that are recyclable

c. (c) low toxicity or non-toxic products

d. (d) low-maintenance products

66. The Contractor is required to use these recycled or recovered products unless they cannot be procured within a reasonable period of time; at reasonable prices; or the product(s) do not meet technical or performance standards. EPA Guidelines are the minimum requirement.

67. The Contractor shall maintain records and submit an annual report to the COR, along with the annual certification required by FAR 52.223-9 Certification and Estimate of Percentage of Recovered Material Content for EPA Designated Items, upon completion of the basic year and each option year.

68. The Contractor shall comply with all federal, state, local and installation environmental laws, rules and plans.

69. The Contractor shall use and store all materials, chemicals, and equipment used in the performance of services on the installation in accordance with industry standards, local, federal and state laws, and according to manufactures' recommendations.

70. The Contractor will submit Material Safety Data Sheets (MSDS) for approval on all materials, five (5) days before delivery of the material, to the COR.

71. The Contractor shall make all environmental and hazardous material records available at the beginning of the next duty day after the Government’s request to view the records.

72. Discretionary landscaping decisions by the Contractor shall be made in a manner to maintain current grounds appearance, and to maintain an appearance consistent with the surrounding installation.

73. The Contractor shall repair Government property damaged by vehicles, erosion, drought or insect/diseases.

74. The Contractor shall furnish all labor, materials, and equipment to perform the repair work including cultivating and applying seed, sprigging, or placing sod.

75. All turf repair work shall be maintained to ensure successful growth.

76. Contractor shall notify the COR of the extent of the damage and proposed corrective action in the event that the Contractor discovers damages caused by another party.

77. The Contractor shall make no repairs until authorized by the KO or their designated representative.

78. Contractor reimbursement shall be based on itemized proposals negotiated by the Contracting Officer, and shall be executed under the Damage Repair Contract Line Item Number (CLIN).

79. Damages caused by Contractor employees during the execution of Contractor provided services shall be repaired at no cost to the Government.

80. The Contractor shall notify the COR and shall return the damaged area to its previous condition.

81. The Contractor shall submit a monthly damage report to the COR that annotates the damage, corrective action, and date corrected

82. The Contractor shall plow the snow and remove ice in all paved driving/parking areas and side streets as annotated on TE {X} automatically during the winter season when snow height is 2” or above, or when 0.25 inch of ice accumulation occurs.

83. The Contractor shall snow shovel all stairs and sidewalks and apply ice melt as needed for each building.

84.