Attachment 3 - QASP - HVAC.pdf

Attachment 3 - W912CM-24-Q-0020 - M&R HVAC Systems

409th CSB QASP Template Version: 20240229

Quality Assurance Surveillance Plan

For

Preventive Maintenance and Repair of Heating, Ventilating, Air Conditioning (HVAC) and Industrial Appliances Equipment within USAG Wiesbaden, Germany

W912CM24Q0020

07/22/2024

TABLE OF CONTENTS

Subject Page Number

1.0 Overview 3

2.0 Description of Services 4

3.0 Roles and Responsibilities 4

4.0 Contract Quality Requirements 5

5.0 Government Surveillance 6

6.0 Non-Conforming Performance 8

7.0 Data Analysis 9

8.0 Acceptance of Services 10

9.0 COR Monthly Status Report (MSR) 10

11.0 Contractor Performance Assessment Reporting System (CPARS) 10

12.0 Combating Trafficking In Persons (CTIP) 10

13.0 COR/Quality Assurance Surveillance Files 11

14.0 QASP Changes 11

15.0 Attachments 12

1.0 Overview.

1.1 Purpose. The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to ensure it receives the services under this contract as identified in the Performance Work Statement (PWS). This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

• What will be monitored?

• How monitoring will take place.

• Who will conduct the monitoring?

• How monitoring efforts and results will be documented.

• When and how often monitoring will take place.

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. The QASP should recognize that unforeseen and uncontrollable situations may occur.

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government’s surveillance of the contractor’s performance to assure that it meets contract standards. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s quality control plan. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

This is a non-personal service(s) contract to provide preventive maintenance, density checks, hygienic inspections, on demand repair services and inventory and labeling of Heating, Ventilation & Air Conditining (HVAC), Walk-In Refrigerators and Freezers. The Contractor shall provide services as defined in this Performance Work Statement (PWS) and shall perform to the minimum standards in this contract.

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; and 3) encourage the Contractor to take appropriate steps to control and improve quality.

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 times necessary, and at all places necessary to ensure that the rendered services conform to contract requirements. The Government also reserves the right to perform quality assurance at the

Subcontractor level and perform quality assurance at the contractor's place of business, if applicable. Resolution of non-conforming services discovered at the Subcontractor level will be addressed with the prime Contractor.

1.3 Authority. Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides for inspection, acceptance, and documentation of the service called for in the Task Order or contract. This acceptance is to be executed by the contracting officer or a duly authorized representative.

2.0 Description of Services

2.1 Scope of Work. The Contractor shall provide non-personal service(s). The Contractor shall provide non-personal services for PM and on demand repairs, including inventory and labeling of HVAC Walk-In Refrigerators, and Freezers. The Contractor shall provide all necessary management, personnel, supervision, tools, parts, materials, general and specialized equipment, electronic communication, reporting, and transportation necessary to perform preventive maintenance and on demand repair services at the facilities and for equipment listed in Exhibit E.

The Contractor shall have dequate personnel for maintenance and repair facilities and allow for services to be carried out on several items of equipment at varying locations simultaneously.

The Contractor shall comply with existing applicable laws and regulations for equipment, including Deutsches Institut fuer Normung (DIN), Verband der Elektrotechnik Elektronik Informationstechnik e.V. (VDE), Verband deutscher Maschinen und Anlagenbau (VDMA), environmental laws, and accepted commercial standards and practices.

2.2 Type of Contract. Hybrid FFP & T&M

3.0 Roles and Responsibilities.

3.1 Government.

3.1.1 Contracting Officer (KO). The KO is the only person with the authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the Government. Note: The only individual who can legally bind the Government.

Assigned KO: Aaron Ritter Organization or Agency: 409th CSB Telephone: (314)-546-6702 Email: aaron.m.ritter.civ@army.mil

3.1.2 Contracting Officer’s Representative (COR). The (COR) will be identified by separate letter. The COR monitors all technical aspects of the contract and assists 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 aspects of the contract: issue written interpretations of technical requirements, including Government drawings, designs, specifications: monitor Contractor's mailto:aaron.m.ritter.civ@army.mil performance and reporting early identification of performance problems to the Contracting Officer and Contractor; coordinate availability of Government furnished property, and provide site entry of Contractor personnel. The COR shall keep a surveillance file in Procurement Integrated Enterprise Environment – Surveillance and Performance Monitoring Application (PIEE-SPM) that accurately documents the contractor’s performance. The COR is required to provide monthly performance assessments to the KO by uploading in PIEE-SPM. 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 or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order.

4.0 Contract Quality Requirements.

4.1 Contractor’s Quality Control Program. The Contractor’s quality control program (IAW FAR Part 46 and applicable 52.246-(Clause(s))) is the means by which the Contractor assures that work complies with the requirement of the contract. The Contractor shall ensure services are performed in accordance with this PWS. The Contractor shall identify, prevent, and ensure non-recurrence of defective services.

4.2 Government Quality Assurance. The Government shall evaluate the Contractor’s performance under this contract in accordance with this QASP. This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance and minimum acceptable defect rate(s).

5.0 Government Surveillance. The Government has the right to inspect all contract deliverables at any time before acceptance. Inspections can be announced or unannounced, but they must not unduly delay work, and they must not include directions that would change the contract. The Government also has the right to reject a deliverable that does not meet contract requirements. For acquisitions of commercial items, FAR Subpart 46.202-1 requires the Government to rely on contractors’ quality assurance systems as a substitute for Government inspection and testing before the items are tendered for acceptance (unless customary practices for the supplies being acquired include in-process inspection). Any in-process inspection by the Government must be consistent with commercial practices. For services, the COR can monitor contractor performance by using a variety of inspection methods. Before an inspection, the COR should check the contract for specific inspection and testing requirements. The COR should use a systematic approach and should ensure that the inspection methods do not interfere with the contractor’s progress or at least disrupt that progress only when absolutely necessary and as minimally as possible.

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

5.1.1 100% Inspection. With this method, performance is inspected/evaluated at each occurrence. This method is often costly (both time and money) but can be necessary due to health, safety and other considerations.

5.1.2 Periodic Inspection. This method, sometimes called “planned sampling," consists planned sampling at specific dates or time intervals. It may be appropriate for tasks that occur infrequently, and where 100 percent inspection or random testing is not desired.

5.1.3 Customer Feedback/Input (Complaints). Although usually not a primary method, this is a valuable supplement to more systematic methods. For example, in a case where random sampling indicates unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations where customers can be relied upon to consistently provide feedback regarding the quality of performance, e.g., dining facilities, building services, customer surveys and customer complaints may be a primary surveillance method, and customer satisfaction an appropriate performance standard.

In all cases, complaints will be documented. The following procedures will be followed when a complaint is received: The COR will document customer complaints of unsatisfactory performance, the validity of the complaint, time and date the responsible official was notified, and the actions taken to correct the problem. Customer complaints shall be handled in the following manner: When a complaint is received, COR personnel will complete appropriate documentation to record the complaint. The COR shall investigate the complaint to determine contract non-conformance. If after investigation the COR determines the complaint as valid, the COR will inform the Contractor’s Quality Manager. If the COR determines the complaint as invalid, the COR shall document their findings and notify the complainant. COR personnel will retain the annotated copy of the written complaint for their file. All customer complaints received, valid and invalid, will be documented.

5.2 Performance Requirements Summary (PRS). The Performance Requirements Summary (PRS) (Attachment 15.1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR PIEE-SPM File. The key elements of this process are PWS tasks risk rated as high or moderate, and included in the Performance Requirements Summary (PRS) which provides the performance objective, performance standard, performance threshold and method of surveillance. The COR will perform surveillance and inspect the compliance of PWS tasks on a monthly basis. Although the PRS contains only those items considered most important for mission accomplishment, the government retains the right to inspect all requirements of the contract. The COR may choose to periodically inspect requirements not listed on the PRS. Non-conformance with any contract requirement, whether specifically addressed in the PRS or not, is still non-conformance (See Para 6.0 Non-Conforming Performance). The intent of the surveillance approach is to gain confidence in the contractor's way of doing business and then adjusting the level of oversight to a point that maintains that confidence. With this intent, the surveillance approach may not be one that stays the same throughout the duration of the contract.

All Government evaluators should be prepared to periodically update the surveillance approach as required.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The PRS should be used to form the foundation of the COR’s inspection checklist(s).

5.3 Surveillance Schedule. The COR shall complete a Quality Assurance Surveillance Schedule (QASS) on a monthly basis. The completed QASS form shall be uploaded into PIEE- SPM in the Surveillance Documents section as a Surveillance Schedule. The QASS ensures the KO that the COR has scheduled and documented the specific dates and times contractor surveillance was performed. Sample COR Surveillance Schedule, Attachment 15.2.

5.4 Performance Rating Definitions. In evaluating the quality of contractor’s performance, the following performance ratings IAW FAR 42.1503, Table 42-1will be used.

Performance Rating Criteria

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.

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.

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.

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.

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.

6.0 Non-Conforming Performance & Corrective Action Request (CAR). CARs are used in evaluating the contractor’s corrective action and determining if an appropriate root cause has been assigned and effective timely corrective action has been taken by the contractor to prevent or reduce recurrence in the same or other similar services or products and to assure that adequate remedial action has been taken to remove existing faults. There are four Levels of CARs which are used and issued to the contractor. CARs must be submitted to the contractor in a timely manner after non-conforming performance has been identified. If the number of non-conformances/discrepancies exceeds the performance threshold for any item in the PRS, approved Government representatives will determine the possible cause of this unacceptable performance. Government-caused defects/discrepancies shall not be counted against the contractor. The same applies to any other requirement of the contract when Government-caused defects/discrepancies are the cause of unacceptable contractor performance. If the contractor’s performance is judged unacceptable on the PRS items or any other requirement of the contract by the appointed COR, they will inform the contractor’s on-site representative. If the contractor disputes the results of surveillance, the COR will refer the contractor to the KO for resolution.

The COR shall notify the KO for appropriate action in accordance with FAR 52.212.4, or the appropriate inspection of services clause.

6.1. Level I - A Level I CAR describes a deficiency on a product or service and is not a systemic breakdown of a process or system. It includes those nonconformances that are minor in nature and can be promptly corrected by the contractor, present no need for root cause analysis, no determination if other contract requirements are affected, present no need for further preventive action, and do not materially reduce the usability of the supplies, services, construction, or deliverables. While the Government must document the nonconformance and the contractor must correct the nonconformance, further actions and Government follow-up are not required, and no written response from the contractor is needed. Level I CARs are considered closed immediately upon issuance.

6.2. Level II - A Level II CAR describes deficiencies in a contractor’s processes or systems but are not a significant deficiency. Some examples of systems affected may be quality inspection / management systems, and CBS identified in DFARS 242.70, or issues such as:

• Multiple deficiencies on products or services indicating a systemic issue throughout the process, or

• An escalation of repetitive Level I CARs for the same or similar nonconformance demonstrating the contractor is failing to institute effective corrective action and/or failing to implement effective quality and/or internal control(s).

• Level II CARs shall require the contractor to correct the nonconformance, perform root cause, and develop and provide a corrective action plan (CAP) acceptable by the government.

6.3 Level III - Level III – A Level III CAR describes deficiencies in a contractor’s system that is affecting a contract or program ability to meet cost, schedule, or performance requirements, or are:

• A significant deficiency pursuant to DFARS 252.242-7005, “Contractor Business Systems” (CBS) or

• A failure to respond to Level II CARs, or to remedy a recurring nonconformance.

• If not resolved satisfactorily, a Level III CAR may result in the initiation of available contractual remedies, such as reductions of payments, cost disallowances, revocation of government assumption of risk of loss, or business management system disapprovals, etc.

• Contractor shall be required to provide a CAP that is acceptable by the government.

6.4 Level IV - A Level IV CAR documents a critical nonconformance of such serious nature that is issued to the contractor’s business segment or corporate management for their attention to both the nonconforming condition and the company’s corrective action, or when a Level III CAR has been ineffective. A Level IV CAR will result in a mandatory review of available contractual remedies, such as cost disallowance, reduction or suspension of payments, revocation of government assumption of risk of loss, CBS disapproval, or suspension of all product and service acceptance activities. Contractual remedies will be implemented IAW applicable FAR/DFARS clauses and/or ACC Acquisition Instructions if applicable. Action to suspend product or service acceptance will be accomplished via a Level IV CAR. Contractor shall be required to provide a CAP that is acceptable to the government.

6.5 CAR System of Record (SOR)

• SOR. The PDREP CAR Module is the SOR for CAR’s processed and issued on ACC administered contracts. The CAR Module is one of the applications housed in the Product Data Reporting and Evaluation Program (PDREP) Automated Information System (AIS) located on-line at: https://www.pdrep.csd.disa.mil/default.htm .

• Access. For access to this system, go to the PDREP website and click on the “REQUEST ACCESS” button and follow the directions for “US Government Access”. The website also includes user guides and manuals under the “REFERENCES” button. Review the “DoD Corrective Action Request” Manual for guidance on access and how to use this PDREP-AIS. Accessing the CAR Module will be enabled through PIEE in early calendar year 2024. To access through PIEE, add the appropriate role following the PIEE process.

After the PIEE single sign on is enabled, the SOR may be accessed either through PIEE or PDREP.

• User Roles. Refer to Table 1.1 of the DoD CAR Manual or Table 8.1 of this acquisition instruction for a description of the functions available to each role. NOTE: ensure COR’s register as a Functional Specialist under the contracting office DoDAAC they will support.

• Proprietary Information. Do not include any proprietary information as part of the CAR in the SOR. It should normally be included only by reference (cite specific document and identifying paragraph number). Consult with your supporting legal office when determining if information is suspected to be proprietary.

• Classified information. Classified information will not be entered into the CAR module.

6.6 Documenting CARs. CORs will initiate the CAR process using PDREP. The CAR will specify if the contractor is required to conduct and prepare a root cause analysis and corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor must present this corrective action plan. The Government will review the contractor's corrective action plan to determine acceptability.

Once the contractors Quality Manager or representative has issued a corrective action plan for the CAR the Government will review, and determination of the need for further correction action. PDREP will notify the contractor representative of the determination within 5 (five) business days. CARs will be accumulated and analyzed by the KO, COR and QAS to determine when further corrective action is needed. Further corrective action requests will be documented and submitted to the KO for coordination with the contractor.

7.0 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 the COR Monthly Status Report(s) and may be used to make adjustments to surveillance schedules, increase or decrease surveillance, if deemed appropriate. Negative trends noted using Government data/observations could result in issuing the Contractor a Non-Conformance Report (Refer to Para 6.0 Non- Conforming Performance & Non-Conformance Report (NCR)). Trends noted using Contractor data will not result in a NCR unless the Contractor is not addressing the negative trend.

8.0 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 of the Contractor. This is accomplished by approving the Contractor’s Receiving Reports in PIEE - Wide Area Work Flow, https://wawf.eb.mil/.

9.0 COR Monthly Status Report (MSR). No later than the 15th of the month, the COR will document the contractor’s performance by completing a Monthly Status Report (MSR) in PIEE- SPM for the previous months surveillance. MSRs will provide a synopsis of the Contractors performance for the inclusive dates of the report. The synopsis will contain a summary of:

surveillances performed; Customer Feedback, if any; NCRs, if any; an analysis of the Contractors performance; recommended adjustments to surveillance schedules; and any other pertinent contract information. The Monthly Status Report will not be considered finalized until reviewed and approved by the contracting officer.

11.0 Contractor Performance Assessment Reporting System (CPARS). Documented surveillance data (COR MSRs, Completed Surveillance Checklists, Customer Feedback and NCRs, if any) will be used to support CPARS ratings. CPARS will be completed in accordance with AFARS, Subpart 5142.15 – Contractor Performance Information. The COR shall document that CPARS, if required, was completed in PIEE-SPM.

12.0 Combating Trafficking In Persons (CTIP). If CTIP is checked "Yes" on the COR Appointment Letter, the COR shall perform the following:

Read and understand the CTIP FAR clause 52.222-50 in the basic contract or at http://farsite.hill.af.mil/ and describe how you will monitor the contractor's performance regarding trafficking in persons (CTIP). For FAR 52.222-50 (February 2009), verify paragraph

(c) and (f) of the clause are being complied with. For FAR 52.222-50 (March 2015), verify paragraph (c), (h), and (i) are being complied with. Document surveillance results on the MSR and the COR CTIP Checklist, Attachment 15.4. Bring any potential issue in this area to the https://wawf.eb.mil/ immediate attention of the KO before engaging the contractor in reference to these activities.

Document any validated non-compliance on a NCR IAW paragraphs 6.0 of this QASP.

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.

13.0 COR/Quality Assurance Surveillance Files. The official COR/Quality Assurance Surveillance File will be maintained in PIEE-SPM, IAW DoDI 5000.72, DoD Standard for COR Certification. At a minimum, the CORs PIEE-SPM file(s) contents will include:

A current QASP COR appointment letter (if originally appointed outside of PIEE) Evidence of Monthly Surveillance Documentation Evidence of Funds/Expenditure tracker (If other than Firm Fixed Price Contract) Correspondence pertaining to cost, schedule and performance NCR’s (if applicable) Evidence of required documentation IAW PWS (CDRLs) (Refer to Attachment 15.3) Evidence of SCR data validation Evidence of CPARS data validation (if applicable) Evidence of Quality Assurance Surveillance Schedule (QASS) for each month

All such records will be retained for the life of this contract.

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

15.0 Attachments.

15.1 Performance Requirements Summary (PRS)

15.2 Sample Surveillance Schedule

15.3 Deliverables Table (CDRLs)

15.4 CTIP Checklist

15.5 Surveillance Checklist

Attachment 15.1

Requirements Table

The contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Performance Objective

Standard Performance Threshold

Method of Surveillance

PRS #1 – PWS para 1.5.1.2 (Quality Control Plan)

Contractor shall report disruptions, or potential disruptions, to contract performance IAW the COR.

Contractor shall verbally inform the COR of issues, or potential issues, within two (2) working hours of identifying issues.

>98% compliance 100% Inspection

Contractor shall follow up by written report within two (2) working days of identifying issues.

PRS #2 – PWS para 1.5.4 (Operating Hours)

Contractor shall maintain an adequate workforce, for uninterrupted performance of all tasks IAW the PWS.

Contractor shall maintain a Work Plan and provide workforce availability between 0700 & 1600 Mon through Fri (exceptions defined in

PWS).

>95% compliance during first three months of base contract; >98% compliance after

100% Inspection

PRS #3 – PWS para 1.5.7 (Special Qualifications)

Contractor shall provide fully qualified personnel IAW the PWS.

Contractor shall maintain all host nation licensing IAW the PWS.

100% Percent Compliance

Contractor shall provide qualified on-site and technical personnel IAW the PWS.

100% Percent Compliance

PRS #4 – PWS para 1.6 (Security Requirements)

Contractor and Contractor/ Subcontractor employees shall comply with the security requirements IAW the PWS.

All personnel in support of this contract shall be in compliance with all security requirements IAW the PWS, to include:

• Pass logs.

• Turn-in of terminated, expired, cancelled employee passes.

• Background Checks

• Physical security of

Government equipment/property

0 incidents in violation of security requirements

PRS #5 – PWS para 1.21 (Safety) comply with the safety and accident prevention requirements IAW the PWS.

Contractor shall comply with all host national and USG regulations/policies regarding safety.

0 safety violations that threat life, limb, or property

100% Inspection

PRS #6 – PWS para 1.22 (Environmental) comply with the environmental requirements IAW the PWS.

Contractor shall comply with all host national and USG regulations/policies regarding environmental compliance.

0 environmental discrepancies

PRS #7 – PWS para 1.23 (Required Training)

Contractor shall comply with the training requirements IAW the

PWS.

Contractor shall submit reports to the COR documenting training completion within ten (10) days following contract award and new hire for the following:

- AT Level I

- OPSEC

- iWATCH

- IA (as applicable)

100% compliance 100% Inspection

PRS #8- PWS Part 3 (Government Property and Services)

Contractor shall comply with PWS provisions relating to Government Furnished Item and Services

Contractor shall maintain workspace in proper, damage-free, and safe working order.

0 discrepancies 100% Inspection

Random Inspections

Contractor shall repair/replace damage at no USG expense.

Contractor shall be accountable and securely maintain all GFP (workstations, monitors, etc.)

100% Inspection

PRS #9 – PWS Part 4 (Contractor Furnished Items & Services) provisions relating to Contractor Furnished Items and Services.

Contractor shall furnish supplies (including those required under German accident and safety regulations), equipment, facilities, and services required as outlined in the

PWS.

Contractor parts and materials utilized for this contract shall be factory new and original.

100% compliance

PRS #10 – PWS para 5.2.1 (Recurring Services) provisions relating to Recurring Services

Contractor shall ensure all work meets the level of service, timelines, performance standards, or tolerances specified in the PWS, or in any applicable referenced documents.

>95% compliance rate within base contract;

>98% compliance for any subsequent performance periods.

PRS #11 – PWS para 5.2.1.5 (Repair Services) provisions relating to Repair Services

Contractor shall ensure all work meets the level of service, timelines, performance standards, or tolerances specified in the PWS, or in any applicable referenced documents.

>95% compliance rate within base contract;

>98% compliance for any subsequent performance periods.

Attachment 15.2

Sample Quality Assurance Surveillance Schedule (QASS)

ATT 13 COR

MONTHLY SURVEILLA

Monthly Quality Assurance Surveillance Schedule (QASS) for conducting surveillance. The date surveillance conducted goes in the far left column. List the PWS, paragraph number for the task surveillance was performed in the top row. Then place an “X” in the box where the date and PWS, paragraph number intersect to reflect the date during the month surveillance was actually conducted.

Fill out/complete a Quality Assurance Surveillance Schedule for the first month of Contractor performance and include it here as Attachment 15.2 to the QASP. The Highlights pre-filled information is for reference only.

Surveillance Schedule

“FOR OFFICIAL USE ONLY” (When Completed )

1) Contract #: 2) Contractor:

3) Functional Area: 4) Surveillance Period:

5) COR/QAE:

7) Planned Date for Surveillance

8.a)

PWS#

5.14

8.b)

PWS#1.6.8

8.c)

PWS

#1.6.9.1

8.d)

PWS #

1.6.10

8.e)

PWS

#1.6.18

8.f)

PWS

#5.2

8.g)

PWS

#5.3

8.h)

PWS

#5.10

8.i)

PWS

#1.6.1

8.j)

PWS

#5.11

8.k)

PWS

#5.20

2 May 19

X

6 May 19

15 May 19

X X

19 May 19 X

Attachment 15.3

DELIVERABLES TABLE (CDRLS)

Deliverable Frequency # of Copies Medium/Format Submit To #1 Quality Control Plan IAW para 1.5.1

Within ten (10) workdays after contract award; USG shall accept or provide comments in five (5) workdays; Contractor shall submit revised version in five (5) workdays.

1 PDF KO & COR

#2 Contract Performance Issue IAW para 1.5.1.2

Within two (2) workdays after initial notification to COR of issue.

1 Verbal notification followed by written format (email, memo, etc.)

COR

#3 Contractor Work Plan IAW para 1.5.4.3.1

Within fifteen (15) workdays after contract award; Updated as necessary.

1 PDF KO & COR

#4 Installation Pass Log IAW para 1.6.3.1

Within five (5) workdays after contract award;

Updated as necessary.

1 PDF KO & COR

#5 – Background Check US IAW para 1.6.4.1

Within ten (10) workdays after contract award;

Submitted as needed for new employees within ten

(10) workdays.

1 Approved Contractor Format

COR

#6 – Background Check German IAW para 1.6.4.2

Within thirty (30) workdays after contract award;

Submitted as needed for new employees within thirty (30) workdays.

1 Approved Contractor Format

COR

#7 – Key Control IAW para 1.7

Within ten (10) workdays;

Updated as necessary.

1 PDF COR

#8 – Key Personnel IAW para 1.10

Within ten (10) workdays after contract award;

Updated as necessary.

1 per key personnel

PDF KO & COR

#9 – Workspace Sign IAW para 1.21.1

Within ten (10) workdays after contract award

1 Approved Contractor Format

COR

#10 – Safety Plan IAW para 1.21.1

Within fifteen (15) workdays after contract award; Updated as necessary.

1 PDF KO & COR

#11 – Safety Notifications IAW para 1.21.1.2

Within fifteen (15) workdays after contract award

1 Approved Contractor Format (written)

KO & COR

#12 – AT Level 1 Training IAW para 1.23.1

Within ten (10) workdays after contract award for current employees; Within ten (10) workdays after hiring of new employee.

1 PDF COR

#13 – OPSEC

Training IAW para 1.23.2

Within ten (10) workdays after contract award for current employees; Within ten (10) workdays after hiring of new employee.

1 PDF COR

#14 – iWatch Training IAW para 1.23.3

Within ten (10) workdays after contract award for current employees; Within ten (10) workdays after hiring of new employee.

1 PDF COR

#15 – Cyber Awareness Training IAW para 1.23.4.1

Within ten (10) workdays after contract award for applicable employees

1 PDF COR

#16 – Preventative Maintenance

Within ten (10) workdays after contract award;

Updates as necessary.

Schedule IAW para 5.2.1.1.1

#17 – Work Certificates IAW para 5.2.1.1.3 & 5.2.1.5.2

Within five (5) workdays after performed work

1 PDF COR

#18 – Hygiene Protocol IAW para 5.2.1.3

Within five (5) workdays after receiving lab results.

1 PDF COR

#19 – Cost Estimate for repairs

>€1,000.00 IAW

para 5.2.1.5.3

Within three (3) workdays after initial assessment of repair.

1 PDF COR

#20 – Attendance Report IAW para 5.2.1.7

Every workday, NLT. 0830

(CET)

Attachment 15.4

CTIP INSPECTION CHECKLIST & SURVEILLANCE SUMMARY REPORT

CTIP Surveillance Checklist.xlsx

CTIP INSPECTION CHECKLIST & SURVEILLANCE SUMMARY

REPORT

Method of Surveillance

100% Inspection

Contractor Name:

Contract Number:

Contracting Officer Name:

COR Name:

Supervisor Name:

Service Provided:

Meeting Contract

Requirements

Command:

Directorate:

Military Unit:

Date:

Configuration Number: Rev 4 Revision Date: 20220217

PART 1 General SAT UNSAT

Has the contractor submitted CDRL P-14 Combat Trafficking in Persons (CTIP) Prevention/Audit Plan and Audit Results?

COMMENTS:

Do the compliance plans provide the following at a minimum:

a) Make employees and subcontractors aware of the Human Trafficking rules and requirements;

b) Provide a process for employees to report, without fear of retaliation, including a means to make available to all employees and subcontractors a worry free hotline reporting mechanism and/or the hotline phone number of the Global Human Trafficking Hotline at 1-844-888-FREE and its email address at help@befree.org;

c) A recruitment and wage plan that only permits the use of recruitment companies with trained employees, prohibits charging recruitment fees to the employee, and ensures that wages meet applicable host-country legal requirements or explains any variance; d) A housing plan, if you or your subcontractors intend to provide or arrange housing, that ensures that the housing meets host-country housing and safety standards; e) Procedures to prevent your company, your subcontractors, and agents at any tier and any dollar value from engaging in trafficking in persons and to monitor, detect, and terminate any employees, agents, subcontracts, or subcontractor employees who have engaged in such activities; and

f) Prohibit the use of forced labor in the performance of the subcontract?

COMMENTS:

Verify that the contractor’s subcontract agreements/purchase orders include CTIP FAR clause 52.222-50, Combating Trafficking in Persons, CJTSCC clause 5152.222- 5900 (or successor clause), Prohibition Against Human Trafficking, Inhumane Living Conditions, and Withholding of Employee Passports, which are incorporated in this contract, and the contract PWS/SOW language and CDRL requirements.

Verify that the contractor has informed the contracting officer of any information it receives (including from host country law enforcement) that alleges a contractor employee or subcontractor employee has engaged in conduct violating the CTIP policy.

Verify that the contractor has a policy that prohibits destroying, concealing, confiscating, or otherwise denying access by an employee to the employee’s identity or immigration documents, such as passports or drivers’ licenses, regardless of the issuing authority?

Please confirm that the company shall only hold employee passports and other identification documents for the shortest period of time reasonable for administrative processing purposes.

COMMENTS:

Do the subcontractors provide employees with written employment agreements, recruitment agreements, or other required work documents in writing?

COMMENTS:

Is a copy of the employment agreement, signed by the subcontractor and employee, provided to the employee?

COMMENTS:

Are the agreements in a language that the employee understands?

*Note: All employees must be provided with a signed copy of their employment contract in English and the employee’s native language or a language that the employee understands, that define the terms of their employment and compensation.

If the employee must relocate to perform the work, is the work document provided to the employee at least five (5) days prior to the employee relocating?

COMMENTS:

Do the employment agreements include details about work descriptions, wages, prohibition on charging recruitment fees, work location(s), living accommodations and associated costs, time off, roundtrip transportation arrangements, grievance process, and the contents of applicable laws and regulations that prohibit trafficking in persons?

Will the subcontractor employees be provided with housing that meets the host country standards, including safety standards?

COMMENTS:

Will the employee living space be at least 50 square feet per person?

Verify that the contractor’s Quality Control program incorporates checks of life support areas to ensure compliance with the requirements of this Trafficking in Persons Prohibition.

Does the (Prime) Contractor or, its subcontractors use recruiters to obtain workers?

5a(i) If yes, are the recruiters licensed in the country in which they will be recruiting?

Subcontractor, and its subcontractors, shall not utilize unlicensed recruiting firms.

5a(ii) If yes, do the recruiters comply with the local labor laws of the country in which the recruiting takes place?

Are (Prime) Contractor employees and/or the employees of your subcontractors charged recruitment fees?

* NOTE Recruitment fees are prohibited.

COMMENTS:

Does the (Prime) Contractor or, its subcontractors and agents, have policies that prohibit the use of misleading or fraudulent practices during the recruitment of employees or offering of employment, such as failing to disclose, in a format and language accessible to the worker, basic information or making material misrepresentations during the recruitment of employees regarding the key terms and conditions of employment, including wages and fringe benefits, the location of work, the living conditions, housing and associated costs (if employer or agent provided or arranged), any significant cost to be charged to the employee, and, if applicable, the hazardous nature of the work?

Verify the contractor is not utilizing unlicensed recruiting firms or firms that charge illegal recruiting fees.

COMMENTS:

Has the contractor posted the relevant contents of the compliance plan, no later than the initiation of contract performance, at the workplace (unless the work is to be performed in the field or not in a fixed location) and on the Contractor's Web site (if one is maintained) IAW FAR 52.222-50 para (h) (4) (i).

*NOTE: If posting at the workplace or on the Web site is impracticable, the Contractor shall provide the relevant contents of the compliance plan to each worker in writing IAW FAR 52.222-50 para (g) (iii))

Does the Contractor cooperate fully in providing reasonable access to its facilities and staff (both inside and outside the U.S.) to allow contracting agencies and other responsible Federal agencies to conduct audits, investigations, or other actions to ascertain compliance with the Trafficking Victims Protection Act of 2000 ( 22 U.S.C.

chapter 78), E.O. 13627, or any other applicable law or regulation establishing restrictions on trafficking in persons, the procurement of commercial sex acts, or the use of forced labor IAW FAR 52.222-50 para (h) (4) (i)

TOTALS 0 0

#DIV/0!

All tasks have been inspected in accordance with this checklist per method of surveillance.

Results of inspection and surveillance justify the following rating (SELECT ONE).

Specific details are provided in the "Summary Report" portion below.

Exceptional: Performance meets contractual requirements and exceeds many to the Government’s benefit. 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.

Very Good: Performance meets contractual requirements and exceeds some to the Government’s benefit. 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.

Satisfactory: Performance meets contractual requirements. 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.

Marginal: Performance does not meet some contractual requirements. 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).

Unsatisfactory. Performance does not meet most contractual requirements and recovery is not likely in a timely manner. 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).

Surveillance Summary Report (Required):

Signature and Date of COR:

NAME: DATE:

Attachment 15.5

COR SURVEILLANCE CHECKLIST

ATT 04 COR

Surveillance Checklis

INSPECTION CHECKLIST & SURVEILLANCE SUMMARY REPORT Method of

Surveillance 100%

Inspection Contractor Name:

Contract Number:

Contracting Officer Name:

COR Name:

Supervisor Name:

Service Provided: Meeting

Contract Requirements

Command:

Directorate:

Military Unit:

Date:

Configuration Number: Revision Date:

PART 1 General SAT UNSAT 1 1.5.1.2 Quality Control Plan

COMMENTS:

2 1.5.4 Operating Hours

COMMENTS:

3 1.5.7 Special Qualifications

COMMENTS:

4 Security Requirements

COMMENTS:

5 1.21 Safety

COMMENTS:

6 1.22 Environmental

COMMENTS:

7 1.23 Required Training

COMMENTS:

8 Part 3 Government Property and Services

COMMENTS:

9 Part 4 Contractor Furnished Items and Services

10 5.2.1 Recurring Services

11 5.2.1.5 Repair Services

COMMENTS:

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TOTALS 0 0

#DIV/

0!

All tasks have been inspected in accordance with this checklist per method of surveillance.

Results of inspection and surveillance justify the following rating (SELECT ONE).

Specific details are provided in the "Summary Report" portion below.

Exceptional: Performance meets contractual requirements and exceeds many to the Government’s benefit. 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.

Very Good: Performance meets contractual requirements and exceeds some to the Government’s benefit. 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.

Satisfactory: Performance meets contractual requirements. 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.

Marginal: Performance does not meet some contractual requirements. 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).

Unsatisfactory. Performance does not meet most contractual requirements and recovery is not likely in a timely manner. 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).

Surveillance Summary Report (Required):

Signature and Date of COR:

NAME: DATE:

Signature and Date of Contractor Representative:

DATE: