Attachment 4a QASP-DLA Distributiuon Norfolk VA ESS.docx

Quality Assurance Surveillance Plan (QASP) For Electronic Security Systems (ESS) DLA Distribution Norfolk, Virginia

SP3300-24-Q-0044

1. SCOPE

This Performance Work Statement (PWS) outlines requirements for the preventative maintenance, repair, operations and maintenance sustainment support for DLA Distribution Norfolk for the ACS and IDS, CCTV systems. These ESS include various peripheral edge devices, such as card readers, intercom devices, security controllers, video recorders, security cameras, sensors, central monitoring equipment, and duress alarms.

Specifically, for this effort the Contractor will provide the personnel, hardware, software/firmware, and technical services for DLA Distribution Norfolk. At DLA Distribution Norfolk, the Contractor shall provide services for the Lenel OnGuard, Genetec and Pelco CCTV systems. The Contractor shall provide maintenance support services, to include but not limited to daily operations support in support of achieving, at a minimum, of a 99.6% uptime and system availability metric, providing routine testing, inspection and maintenance of all physical hardware and mechanical items, providing Information Technology (IT) support including cybersecurity, accreditation documentation, upgrades, patches, migrations, enhancements, and technology road map planning.

The DLA Distribution Norfolk Virginia’s equipment inventory lists and maintenance task lists are subject to change by the Government when equipment addition(s) and/or deletion(s) are required due to equipment disposal or replacement.

This PWS contains task requirements for Project Management, Operations, Sustainment and Maintenance, Application Network and Infrastructure, Cybersecurity and Service Call Requirements and Procedures support for a fully functioning site integrated system.

2. PURPOSE

The QASP represents the Government's acceptance and inspection program for performance requirements, and agencies must ensure Government Quality Assurance (QA) is conducted before Contractor products or services are accepted by or under the direction of Government personnel.

The QASP documents this program to provide a measure of the quality and timeliness of products and services provided by the Contractor. The Government, as the recipient of the Contractor’s products and services, retains the responsibility for developing and implementing QA. Implementation of the QASP assists in providing validation that the quantity, quality, and timeliness of products and services received comply with the contract performance requirements, to include DLA Distribution policies and procedures.

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

3. GOVERNMENT ROLES AND RESPONSIBILITIES (AS APPLICABLE)

The following is a listing of responsibilities for the personnel that shall oversee and coordinate surveillance activities. See Attachment 1 for a list of personnel assigned to these roles.

a. CONTRACTING OFFICER (KO) - The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The KO shall also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

b. ACQUISITION SPECIALIST (AS) - The AS acts as an acquisition consultant and serves as liaison between KO, the COR/TPOC/QAE, and the Contractor.

c. CONTRACTING OFFICERS REPRESENTATIVE (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the Contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the KO, the COR shall provide documentation to the KO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The COR shall refer any changes they deem may affect contract price, terms, or conditions to the KO for action. Responsibilities include, but are not limited to:

· Ensuring COR training and other certification requirements are up to date

· Filing required reports and documents with the AS and KO as required

· Preparing and coordinating annual contract performance assessments and reports

· Maintaining file copies of all documents submitted by the Contractor

· Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the AS and KO

· Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

· Performing quality assurance surveillances as required or necessary (i.e. no TPOC or QAEs have been assigned)

d. TECHNICAL POINT OF CONTACT (TPOC) – A TPOC is similar in scope and responsibility to a COR but is usually appointed when services are being provided at multiple locations and the COR is located at a central location. The TPOC must meet the same training requirements and standards as a COR. The TPOC reports through the COR to the KO. If assigned, the TPOCs responsibilities include, but are not limited to:

· Ensuring COR training and other certification requirements are up to date

· Filing required reports and documents with the AS and KO as required; upload documents to CORT as required

· Preparing and coordinating annual contract performance assessments and reports

· Maintaining file copies of all documents submitted by the Contractor

· Reviewing and accepting the Contractor’s Quality Control Plan; rework as necessary

· Becoming thoroughly familiar with all of the terms and conditions of the contract

· Maintaining a copy of the current QASP; understanding the requirements of the QASP

· Participating in requirement teams and coordinating contract modifications

· Coordinating nonconforming surveillance activities with the Contractor

· Reviewing and accepting Corrective Action Plans (CAPs) and monitor through closure

· Performing quality assurance surveillances as required or necessary (i.e. no QAEs have been assigned)

e. QUALITY ASSURANCE EVALUATOR (QAE) - A QAE, if assigned, is typically a technical and subject matter expert in the products or services that are being provided and performed by the Contractor. The QAEs primary role is with the inspection, documentation, and reporting of Contractor performance through the TPOC or COR. If assigned, the QAEs responsibilities include, but are not limited to:

f. QUALITY ASSURANCE TEAM (QAT) – The QAT is comprised of all individuals assigned a role in the quality assurance surveillance and contract oversight process. The size and scope of this team will vary based on the individual characteristics and complexity of the products or services being provided by a contract entity.

4. QUALITY CONTROL AND QUALITY ASSURANCE

a. QUALITY CONTROL - The overall responsibility for performance quality rests with the Contractor. Through their Quality Control Plan (QCP), they are responsible for monitoring, reporting, and correcting performance issues as they are discovered. The QCP is considered a living document (just like this QASP) and should be reviewed and revised as necessary throughout all periods of performance.

b. QUALITY ASSURANCE - The QAT, through assigned QAEs, TPOCs, and COR, are responsible for conducting scheduled and unscheduled performance checks (surveillances) to gauge the effectiveness of the Contractor’s quality program. Findings or nonconformances discovered by the QAT will be shared with the Contractor, as they are discovered, in order to permit the Contractor to both identify corrective actions necessary to improve performance as well as improve their quality control efforts.

5. QUALITY ASSURANCE SURVEILLANCE PROCESS

The foundation to the quality assurance surveillance process is a firm and thorough understanding of the requirements contained in the contract. This includes the Performance Work Statement (PWS) or Statement of Work (SOW), Contract Data Requirements Listings (CDRLs), Technical Exhibits, and any referenced SOPs, Handbooks, Manuals, Instructions, or other guidance cited in the requirement. Additionally, and equally important, a clear understanding of the Contractor’s Quality Control Plan (QCP) is necessary in order to have insight on how the Contractor has proposed to evaluate and report their internal quality efforts.

With this understanding, the individual(s) that will be conducting the quality assurance surveillances can begin their inspection and verification processes. DLA Distribution uses a 7-Step Process to assist in making this easier. The steps are:

· Identify – Precisely identify the objective of the surveillance and the associated standards

· Review – Review the contract, any cited references, and other pertinent documents (CDRLs, QCP, SOPs, Agreements, etc.)

· Conduct – Conduct the surveillance by paying close attention to the object or processes being surveilled to include environmental factors at the time of the surveillance; Be Observant, Objective, and Document all findings both good and bad

· Document – Document your surveillance results as they were observed

· Analyze – Review your documentation and analyze the results looking for missing data. Look for the “Root-Cause” to problems by asking yourself “why” repeatedly until a potential root cause is discovered

· Report – Be clear and concise but thorough when reporting your surveillance results

· File – File your surveillance documentation

6. QUALITY ASSURANCE SURVEILLANCE METHODS

Contract requirements can be surveilled using a variety of techniques and methodologies and many requirements can be surveilled using multiple techniques. It is up to the individual conducting the surveillance to determine the most appropriate method for a particular requirement. DLA Distribution utilizes the four methods below.

· DIRECT OBSERVATION – This method should be used to physically observe a process and procedures being performed

· 100% INSPECTION – Generally the most time consuming surveillance method; ideally used when Lot Sizes are relatively small (25 or less)

· RANDOM SAMPLING – Ideal for use with large Lot Sizes; a statistical sample is selected from the Lot. The table below will be used to determine Sample Size based on a range for the Lot. Accept/Reject numbers are included

Figure 1 - Random Sampling Plan

· VALIDATED CUSTOMER COMPLAINT – A customer complaint that has proven to be valid based on subsequent investigation; not all complaints are valid or reasonable unless they can be verified. Customer complaints should be documented in writing and submitting by the customer. The customer may be any stakeholder in the process and not necessarily the end user customer.

7. DOCUMENTING AND REPORTING PERFORMANCE

All surveillance activities must be thoroughly documented. This is equally important for conforming results as it is for nonconforming results. All surveillance documents become an official part of the Contract File and are preserved throughout the periods of performance, contract closeout, and then further for the required document retention period. For this contract, two types of performance reports will be utilized, Non-Acceptable Performance Level (Non-APL) and Acceptable Performance Level (APL). All non-conforming surveillance outcomes shall include a detailed explanation that clearly identifies the non-conformance or failure of Non-APL Performance or APL Performance requirements in the Monthly COR Report. A “COR Report” template is available in the Surveillance and Performance Monitoring Tool (SPM) in the Procurement Integrated Enterprise Environment (PIEE).

· NON-APL PERFORMANCE - The COR/TPOC will utilize the Contract Oversight Surveillance Report (COSR) to document oversight activities and document contractor non-APL performance. Non-APL surveillances should occur multiple time throughout the month.

· SCHEDULED SURVEILLANCE - The COSR consists of a series of questions that are derived directly from the requirements document (PWS/SOW and other contract references). The questions are broadly written to permit the individual conducting the surveillance to inspect any portion of the requirement.

· CHANCE DISCOVERY (Unscheduled or Chance Surveillance) – A Chance Discovery can be used at any time to document a nonconformance for a requirements for which there isn’t a specific surveillance question, for a condition that is discovered during other than regular scheduled surveillance reporting, or a safety or security issue that needs to be documented. The COSR has blank spaces that can be used to document this Chance Discovery. The process for documenting and methods used are the same as for any scheduled surveillance.

· The COSR is required to be completed on a monthly basis and attached to the “Contracting Officers Representative (COR) Report” (COR Report).

· APL PERFORMANCE – The COR/TPOC will utilize the “APL Report” to document conformance to acceptable performance levels (Conforming/Non-Conforming). The APLs are specific timeliness or quality metrics that are collected and analyzed on a monthly basis to give a general idea of the Contractor’s ability to meet specific measurable targets. APLs are normally only reviewed after the end of the month, as APLs are measured on a full month’s performance.

· The APL Report is required to be completed on a monthly basis and attached to the “COR Report”.

· The QAT is required to provide documentation for both conforming as well as nonconforming performance each month.

· ACCEPTABLE PERFORMANCE (Conforming).

· The Government shall document positive performance within the Contract Oversight Surveillance Report and submit this report to the Contracting Office based on Contract Requirements Monthly.

· UNACCEPTABLE PERFORMANCE (Nonconforming).

· The QAT shall document all unacceptable performance within the Contract Oversight Surveillance Report and submit this report to the Contracting Office based on Contract Requirements Monthly. If the COSR is completed by a QAT member other than the COR, the COSR shall be forwarded to the COR for acceptance. The COR shall inform the contractor within one working day of each non-conforming surveillance. This shall be in writing unless circumstances necessitate verbal communication, which the COR will document. The COR shall retain all documentation regarding surveillance activities and outcomes within the COR file.

· Reporting of non-conforming surveillances is used to determine the appropriate course of action following the documentation of the contractor’s non-compliance and convey the significance of the surveillance, the individual requirement, a count of the consecutive nature of the non-conformance and identifiable trends. If the nonconformance has occurred previously or is an ongoing issue, a trend statement must be included to document the numbers of occurrences of the same nonconformance over a quarterly, semi-annual, or annual basis.

· For each nonconformance (both Non-APL and APL), the Contractor shall prepare and submit a Corrective Action Plan (CAP) to the COR/TPOC. The CAP shall provide detailed information regarding an explanation of what the nonconformance was, root-cause analysis to determine the cause of the probable cause of the nonconformance, corrective/preventive measures the Contractor will follow to correct the problem, and roles and responsibilities associated with getting the nonconformance corrected. The COR/TPOC will evaluate the CAP and accept the CAP if the evaluation determines the CAP should be successful. If the COR determines the CAP will not be successful or there is missing information, the COR/TPOC will return the CAP to the Contractor for re-work. The QAT will conduct surveillance on the accepted and implemented CAP to document the effectiveness of the CAP to correct the non-conformance. If through QA surveillance non-conformances are continue to be identified, the COR/TPOC will discuss with the Contractor and may request a revised CAP or evaluate the non-conformance to the Contracting Officer for other actions.

· The “COR Report”, must be completed monthly basis and includes the completed COSR, APL Report and any CAPs that were prepared during the surveillance reporting period as attachments. The COR/TPOC submits the COR Report to the KO and AS for review and file and uploads the report in PIEE. The COR Report must be submitted NLT the 10th day of the month following the reporting month. All document submissions must be electronic with the COR/TPOC retaining a copy for their records and file.

8. WORKFLOW

9. SPECIAL INSTRUCTIONS/CONTRACT SPECIFIC REQUIREMENTS

None

1. Contract Oversight Surveillance Report (COSR)

2. APL Report

3. Corrective Action Plan (CAP) – blank

10. FAR 52.222-50 Combating Trafficking in Persons (NOV 2021)

(a) Definitions. As used in this clause—

Agent means any individual, including a director, an officer, an employee, or an independent contractor, authorized to act on behalf of the organization.

Coercion means—

(1) Threats of serious harm to or physical restraint against any person;

(2) Any scheme, plan, or pattern intended to cause a person to believe that failure to perform an act would result in serious harm to or physical restraint against any person; or

(3) The abuse or threatened abuse of the legal process.

Commercial sex act means any sex act on account of which anything of value is given to or received by any person.

Commercially available off-the-shelf (COTS) item—(1) Means any item of supply (including construction material) that is—

(i) A commercial product (as defined in paragraph (1) of the definition of “commercial product” at Federal Acquisition Regulation (FAR) 2.101;

(ii) Sold in substantial quantities in the commercial marketplace; and

(iii) Offered to the Government, under a contract or subcontract at any tier, without modification, in the same form in which it is sold in the commercial marketplace; and

(2) Does not include bulk cargo, as defined in 46 U.S.C. 40102(4), such as agricultural products and petroleum products.

Debt bondage means the status or condition of a debtor arising from a pledge by the debtor of his or her personal services or of those of a person under his or her control as a security for debt, if the value of those services as reasonably assessed is not applied toward the liquidation of the debt or the length and nature of those services are not respectively limited and defined.

Employee means an employee of the Contractor directly engaged in the performance of work under the contract who has other than a minimal impact or involvement in contract performance.

Forced Labor means knowingly providing or obtaining the labor or services of a person—

(1) By threats of serious harm to, or physical restraint against, that person or another person;

(2) By means of any scheme, plan, or pattern intended to cause the person to believe that, if the person did not perform such labor or services, that person or another person would suffer serious harm or physical restraint; or

(3) By means of the abuse or threatened abuse of law or the legal process.

Involuntary servitude includes a condition of servitude induced by means of—

(1) Any scheme, plan, or pattern intended to cause a person to believe that, if the person did not enter into or continue in such conditions, that person or another person would suffer serious harm or physical restraint; or

(2) The abuse or threatened abuse of the legal process.

Recruitment fees means fees of any type, including charges, costs, assessments, or other financial obligations, that are associated with the recruiting process, regardless of the time, manner, or location of imposition or collection of the fee.

(1) Recruitment fees include, but are not limited to, the following fees (when they are associated with the recruiting process) for—

(i) Soliciting, identifying, considering, interviewing, referring, retaining, transferring, selecting, training, providing orientation to, skills testing, recommending, or placing employees or potential employees;

(ii) Advertising;

(iii) Obtaining permanent or temporary labor certification, including any associated fees;

(iv) Processing applications and petitions;

(v) Acquiring visas, including any associated fees;

(vi) Acquiring photographs and identity or immigration documents, such as passports, including any associated fees;

(vii) Accessing the job opportunity, including required medical examinations and immunizations; background, reference, and security clearance checks and examinations; and additional certifications;

(viii) An employer's recruiters, agents or attorneys, or other notary or legal fees;

(ix) Language interpretation or translation, arranging for or accompanying on travel, or providing other advice to employees or potential employees;

(x) Government-mandated fees, such as border crossing fees, levies, or worker welfare funds;

(xi) Transportation and subsistence costs—

(A) While in transit, including, but not limited to, airfare or costs of other modes of transportation, terminal fees, and travel taxes associated with travel from the country of origin to the country of performance and the return journey upon the end of employment; and

(B) From the airport or disembarkation point to the worksite;

(xii) Security deposits, bonds, and insurance; and

(xiii) Equipment charges.

(2) A recruitment fee, as described in the introductory text of this definition, is a recruitment fee, regardless of whether the payment is—

(i) Paid in property or money;

(ii) Deducted from wages;

(iii) Paid back in wage or benefit concessions;

(iv) Paid back as a kickback, bribe, in-kind payment, free labor, tip, or tribute; or

(v) Collected by an employer or a third party, whether licensed or unlicensed, including, but not limited to—

(A) Agents;

(B) Labor brokers;

(C) Recruiters;

(D) Staffing firms (including private employment and placement firms);

(E) Subsidiaries/affiliates of the employer;

(F) Any agent or employee of such entities; and

(G) Subcontractors at all tiers.

Severe forms of trafficking in persons means—

(1) Sex trafficking in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such act has not attained 18 years of age; or

(2) The recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

Sex trafficking means the recruitment, harboring, transportation, provision, or obtaining of a person for the purpose of a commercial sex act.

Subcontract means any contract entered into by a subcontractor to furnish supplies or services for performance of a prime contract or a subcontract.

Subcontractor means any supplier, distributor, vendor, or firm that furnishes supplies or services to or for a prime contractor or another subcontractor.

United States means the 50 States, the District of Columbia, and outlying areas.

(b) Policy. The United States Government has adopted a policy prohibiting trafficking in persons including the trafficking-related activities of this clause. Contractors, contractor employees, and their agents shall not—

(1) Engage in severe forms of trafficking in persons during the period of performance of the contract;

(2) Procure commercial sex acts during the period of performance of the contract;

(3) Use forced labor in the performance of the contract;

(4) Destroy, conceal, confiscate, or otherwise deny access by an employee to the employee's identity or immigration documents, such as passports or drivers' licenses, regardless of issuing authority;

(5)(i) Use misleading or fraudulent practices during the recruitment of employees or offering of employment, such as failing to disclose, in a format and language understood by the employee or potential employee, 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 costs to be charged to the employee or potential employee, and, if applicable, the hazardous nature of the work;

(ii) Use recruiters that do not comply with local labor laws of the country in which the recruiting takes place;

(6) Charge employees or potential employees recruitment fees;

(7)(i) Fail to provide return transportation or pay for the cost of return transportation upon the end of employment—

(A) For an employee who is not a national of the country in which the work is taking place and who was brought into that country for the purpose of working on a U.S. Government contract or subcontract (for portions of contracts performed outside the United States); or

(B) For an employee who is not a United States national and who was brought into the United States for the purpose of working on a U.S. Government contract or subcontract, if the payment of such costs is required under existing temporary worker programs or pursuant to a written agreement with the employee (for portions of contracts performed inside the United States); except that—

(ii) The requirements of paragraphs (b)(7)(i) of this clause shall not apply to an employee who is—

(A) Legally permitted to remain in the country of employment and who chooses to do so; or

(B) Exempted by an authorized official of the contracting agency from the requirement to provide return transportation or pay for the cost of return transportation;

(iii) The requirements of paragraph (b)(7)(i) of this clause are modified for a victim of trafficking in persons who is seeking victim services or legal redress in the country of employment, or for a witness in an enforcement action related to trafficking in persons. The contractor shall provide the return transportation or pay the cost of return transportation in a way that does not obstruct the victim services, legal redress, or witness activity. For example, the contractor shall not only offer return transportation to a witness at a time when the witness is still needed to testify. This paragraph does not apply when the exemptions at paragraph (b)(7)(ii) of this clause apply.

(8) Provide or arrange housing that fails to meet the host country housing and safety standards; or

(9) If required by law or contract, fail to provide an employment contract, recruitment agreement, or other required work document in writing. Such written work document shall be in a language the employee understands. If the employee must relocate to perform the work, the work document shall be provided to the employee at least five days prior to the employee relocating. The employee's work document shall include, but is not limited to, details about work description, wages, prohibition on charging recruitment fees, work location(s), living accommodations and associated costs, time off, roundtrip transportation arrangements, grievance process, and the content of applicable laws and regulations that prohibit trafficking in persons.

(c) Contractor requirements. The Contractor shall—

(1) Notify its employees and agents of—

(i) The United States Government's policy prohibiting trafficking in persons, described in paragraph (b) of this clause; and

(ii) The actions that will be taken against employees or agents for violations of this policy. Such actions for employees may include, but are not limited to, removal from the contract, reduction in benefits, or termination of employment; and

(2) Take appropriate action, up to and including termination, against employees, agents, or subcontractors that violate the policy in paragraph (b) of this clause.

(d) Notification. (1) The Contractor shall inform the Contracting Officer and the agency Inspector General immediately of—

(i) Any credible information it receives from any source (including host country law enforcement) that alleges a Contractor employee, subcontractor, subcontractor employee, or their agent has engaged in conduct that violates the policy in paragraph (b) of this clause (see also 18 U.S.C. 1351, Fraud in Foreign Labor Contracting, and 52.203–13(b)(3)(i)(A), if that clause is included in the solicitation or contract, which requires disclosure to the agency Office of the Inspector General when the Contractor has credible evidence of fraud); and

(ii) Any actions taken against a Contractor employee, subcontractor, subcontractor employee, or their agent pursuant to this clause.

(2) If the allegation may be associated with more than one contract, the Contractor shall inform the contracting officer for the contract with the highest dollar value.

(e) Remedies. In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (c), (d), (g), (h), or (i) of this clause may result in—

(1) Requiring the Contractor to remove a Contractor employee or employees from the performance of the contract;

(2) Requiring the Contractor to terminate a subcontract;

(3) Suspension of contract payments until the Contractor has taken appropriate remedial action;

(4) Loss of award fee, consistent with the award fee plan, for the performance period in which the Government determined Contractor non-compliance;

(5) Declining to exercise available options under the contract;

(6) Termination of the contract for default or cause, in accordance with the termination clause of this contract; or

(7) Suspension or debarment.

(f) Mitigating and aggravating factors. When determining remedies, the Contracting Officer may consider the following:

(1) Mitigating factors. The Contractor had a Trafficking in Persons compliance plan or an awareness program at the time of the violation, was in compliance with the plan, and has taken appropriate remedial actions for the violation, that may include reparation to victims for such violations.

(2) Aggravating factors. The Contractor failed to abate an alleged violation or enforce the requirements of a compliance plan, when directed by the Contracting Officer to do so.

(g) Full cooperation. (1) The Contractor shall, at a minimum—

(i) Disclose to the agency Inspector General information sufficient to identify the nature and extent of an offense and the individuals responsible for the conduct;

(ii) Provide timely and complete responses to Government auditors' and investigators' requests for documents;

(iii) 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; and

(iv) Protect all employees suspected of being victims of or witnesses to prohibited activities, prior to returning to the country from which the employee was recruited, and shall not prevent or hinder the ability of these employees from cooperating fully with Government authorities.

(2) The requirement for full cooperation does not foreclose any Contractor rights arising in law, the FAR, or the terms of the contract. It does not—

(i) Require the Contractor to waive its attorney-client privilege or the protections afforded by the attorney work product doctrine;

(ii) Require any officer, director, owner, employee, or agent of the Contractor, including a sole proprietor, to waive his or her attorney client privilege or Fifth Amendment rights; or

(iii) Restrict the Contractor from—

(A) Conducting an internal investigation; or

(B) Defending a proceeding or dispute arising under the contract or related to a potential or disclosed violation.

(h) Compliance plan. (1) This paragraph (h) applies to any portion of the contract that—

(i) Is for supplies, other than commercially available off-the-shelf items, acquired outside the United States, or services to be performed outside the United States; and

(ii) Has an estimated value that exceeds $550,000.

(2) The Contractor shall maintain a compliance plan during the performance of the contract that is appropriate—

(i) To the size and complexity of the contract; and

(ii) To the nature and scope of the activities to be performed for the Government, including the number of non-United States citizens expected to be employed and the risk that the contract or subcontract will involve services or supplies susceptible to trafficking in persons.

(3) Minimum requirements. The compliance plan must include, at a minimum, the following:

(i) An awareness program to inform contractor employees about the Government's policy prohibiting trafficking-related activities described in paragraph (b) of this clause, the activities prohibited, and the actions that will be taken against the employee for violations. Additional information about Trafficking in Persons and examples of awareness programs can be found at the Web site for the Department of State's Office to Monitor and Combat Trafficking in Persons at http://www.state.gov/j/tip/.

(ii) A process for employees to report, without fear of retaliation, activity inconsistent with the policy prohibiting trafficking in persons, including a means to make available to all employees the hotline phone number of the Global Human Trafficking Hotline at 1–844–888–FREE and its email address at help@befree.org.

(iii) A recruitment and wage plan that only permits the use of recruitment companies with trained employees, prohibits charging recruitment fees to the employee or potential employee, and ensures that wages meet applicable host-country legal requirements or explains any variance.

(iv) A housing plan, if the Contractor or subcontractor intends to provide or arrange housing, that ensures that the housing meets host-country housing and safety standards.

(v) Procedures to prevent agents and subcontractors at any tier and at any dollar value from engaging in trafficking in persons (including activities in paragraph (b) of this clause) and to monitor, detect, and terminate any agents, subcontracts, or subcontractor employees that have engaged in such activities.

(4) Posting. (i) The Contractor shall post 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). 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.

(ii) The Contractor shall provide the compliance plan to the Contracting Officer upon request.

(5) Certification. Annually after receiving an award, the Contractor shall submit a certification to the Contracting Officer that—

(i) It has implemented a compliance plan to prevent any prohibited activities identified at paragraph (b) of this clause and to monitor, detect, and terminate any agent, subcontract or subcontractor employee engaging in prohibited activities; and

(ii) After having conducted due diligence, either—

(A) To the best of the Contractor's knowledge and belief, neither it nor any of its agents, subcontractors, or their agents is engaged in any such activities; or

(B) If abuses relating to any of the prohibited activities identified in paragraph (b) of this clause have been found, the Contractor or subcontractor has taken the appropriate remedial and referral actions.

(i) Subcontracts. (1) The Contractor shall include the substance of this clause, including this paragraph (i), in all subcontracts and in all contracts with agents. The requirements in paragraph (h) of this clause apply only to any portion of the subcontract that—

(i) Is for supplies, other than commercially available off-the-shelf items, acquired outside the United States, or services to be performed outside the United States; and

(ii) Has an estimated value that exceeds $550,000.

(2) If any subcontractor is required by this clause to submit a certification, the Contractor shall require submission prior to the award of the subcontract and annually thereafter. The certification shall cover the items in paragraph (h)(5) of this clause.

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