Draft Records Management Services.pdf

PERFORMANCE WORK STATEMENT FOR

RECORDS MANAGEMENT SERVICES

US ARMY CORPS OF ENGINEERS

HUNTSVILLE ENGINEERING & SUPPORT CENTER

W912DY-20-C-TBD

24 April 2026

1.0 SCOPE.

Provide all personnel, supervision, and other services necessary to perform Service Section functions. This involves work tasking/comment retrieval and tracking, and records management services as defined in this performance work statement (PWS) at the U.S. Army Corps of Engineers, Huntsville Engineering and Support Center, Huntsville, Alabama (HNC) located within Redstone Arsenal, AL.

2.0 APPLICABLE DOCUMENTS.

In performance of this effort, comply with the following regulations, guidance, etc.

2.1 AR 25-400-2, “The Army Records Information Management System”, October 2022

2.2 AR 380-5, “Department of the Army Information Security Program “March

2.3 AR 190-13, “The Army Physical Security Program “June 2019

2.4 Official Government publications, Regulations, Quality Policies, Work

Instructions and forms that apply to the PWS will be provided by the Government during the performance period of the contract. The publications and forms have been designated as either mandatory or informational. Follow those publications and use those forms designated as mandatory to the extent specified in other sections of this PWS. Be guided by those publications or use those forms designated as informational to the extent necessary to accomplish requirements in this PWS. The Government will provide additional references and changes to cited references as required.

Supplements or amendments to listed publications from any organizational level may be issued during the contract. Immediately implement those changes that result in a decrease or no change in the contract price and notify the Contracting Officer in writing of such change.

3.0 REQUIREMENTS.

The Army Corps of Engineers Huntsville Engineering and Support Center’s (HNC) Service Section is responsible for the efficient operation of the Electronic Work Request System (EWRS) used by HNC programs to task the Engineering Directorate.

The EWRS is often referred to as the “DF” (Disposition Form) System or “EDT” (Engineering Data Tasker). All work under this PWS requires working closely and extensive coordination with Government personnel.

Processes and procedures to accomplish the Tasks described below are listed in Appendix A: Service Section Procedures. During the performance period of this PWS, Service Section requirements may require adjustment to fit with the evolving needs of HNC programs and projects. This could, in turn, cause some of the listed procedures to require alteration. The Government will notify the Contractor of any adjustments and coordinate to minimize disruption.

3.1 Task 1. The primary Service Section function is efficient operation of an electronic work request system. This system allows HNC programs or work groups to request (task) the engineering department and other assets to provide technical support required by the program’s projects. This system is currently operating on Microsoft SharePoint with automated notification functionality.

3.1.1 Perform Service Section operations in accordance with the procedures provided in Attachment A. Support CEHNC programs and branches with basic instructions on the use of the EWRS.

3.1.2 As the primary point of contact for CEHNC users, troubleshoot problems encountered with the system. If unable to correct the issue, elevate the issue to the appropriate technical POCs for the system or the EDS-E Branch Chief.

3.1.3 Represent the EWRS process if the system technical team must make changes to the request platform to ensure functionality is maintained through any changes. Representing the EWRS process includes coordination with the CEHNC user base to identify and qualify recommended changes as well as provide updates or training to CEHNC users for implemented changes.

4.0 CONTRACTOR PERSONNEL MANAGEMENT.

4.1 Security and Privacy. Provide physical security for all material, equipment, data, and information handled during contract performance, in accordance with AR 190- 13, The Army Physical Security Program, AR 190-51, Security of Unclassified Army Property (Sensitive and Non-sensitive), and command policies, procedures, and regulations.

4.1.1 Perform operations on, have access to, or handle data and information that contains sensitive, proprietary, or private information or data.

4.1.2 The non-information technology positions are designated IT-III.

Individuals who have been barred or were previously barred from the installation pursuant to Title 18 U.S.C. Section 1382 are not allowed to enter or work on the installation. Contractor Personnel must also be able to obtain and maintain a valid Department of War Common Access Card (CAC).

4.1.3 Provide or make available all training to ensure personnel maintain their technical proficiency for the operation and maintenance of the systems and equipment at no additional cost to the Government. Provide or make available all training required for new employees at no additional cost to the Government. One-time training of employees to support performance of services may be authorized and funded by the Government. The Contracting Officer’s Representative (COR) will issue a training request to the Contractor which includes the name(s) of the Contractor-identified employees to be trained, course title, dates, location, cost, and point of contact for registration.

Based on the training request, the Contractor is responsible for course registration and travel arrangements. Provide trained personnel to complete the requirements of this contract at no additional cost to the Government when Government-trained personnel vacate their position.

4.1.4 Safeguard all Government property provided for contractor use. At the end of each work period, all Government facilities, equipment and materials must be secured.

4.1.5 Establish and implement methods of making sure all keys issued by the Government are not lost or misplaced and are not used by unauthorized people. Do not duplicate any keys issued by the Government. Immediately report to the COR or Contracting Officer any occurrences of lost or duplicated keys. In the event keys, other than master keys, are lost or duplicated, the contractor may be required, upon written direction of the Contracting Officer, to re-key or replace the affected lock or locks without cost to the Government.

The Government may, however, at its option, replace the affected lock or locks or perform re-keying and deduct the cost of such from the monthly payment due the contractor. If a master key is lost or duplicated, all locks and keys for that system will be replaced by the Government and the total cost deducted from the monthly payment due the contractor. Prohibit the use of keys issued by the Government by any person other than the contractor’s employees.

Opening of locked areas by contractor employees to permit entrance of persons other than contractor employees or designated Government Officials engaged in performance of contract work requirements in those areas is prohibited.

4.1.6 Access to Protected Information. It is likely that during the performance of this requirement, that personnel may be exposed to protected information, such as trade secrets or proprietary information of other Contractors, Government source selection information, Privacy Act information, or any other information with distribution limited by the Government. In no way divulge any such information except as it relates to the performance of this procurement within HNC itself or otherwise use or disclose this information for personal gain, the gain of their employer, or the gain of anyone else. Notify the Contracting Officer of any potential organizational conflict of interest created by any such access. However, a nondisclosure agreement will not overcome an Organizational Conflict of Interest (OCI) as defined in FAR Part 9.5. Moreover, compliance with the Trade Secrets Act requires the consent of the owner of proprietary information before another non-federal entity may be allowed access to such information. Accordingly, all Government Contractors are required to mark their proprietary information and any time the Contractor is given access to such marked information, it is incumbent upon the Contractor to inform the Contracting Officer of the access.

Contractor personnel are required to sign a nondisclosure agreement before starting work under the contract. Failure to comply with this clause is deemed adequate cause for the removal of a contractor employee. The employment contracts include a provision to provide for the removal under these conditions.

4.2 Hours of Operation. HNC core hours are 0830 to 1530 Monday through Friday, excluding Federal holidays and such other times identified by the Contracting Officer or the COR and the contractor must provide staffing during those core hours and as specified above. Federal holidays are as follows:

New Years’ Day Martin Luther King, Jr. Birthday President’s Day Memorial Day Juneteenth Independence Day Labor Day Columbus Day Veterans Day Thanksgiving Day Christmas Day

4.3 Required Training. Complete annual training covering provisions and requirements of AR 25-400-2, The Army Records Information Management System.

The training may be available from ACE-IT at HNC.

4.4 Place of Performance. Work under this contract is at Huntsville

Engineering and Support Center located at 300 Secured Gateway, Huntsville, AL.

The intent of this contract is to provide support during working hours. The expectation is that one FTE is in person during core hours (0900-1500). Generally, the decision to allow a contractor to work off-site outside of core hours would be made by the contractor’s supervisor in conjunction with the EDS-E Branch Chief/COR.

5.0 Government Property

5.1 Government property will be provided to the contractor for the performance of this contract, it will be incidental to the place of performance as the contract requires contract personnel to be located on the Government site or installation, and the property will be used by the contractor within the location and will remain accountable to the Government IAW FAR Subpart 45(b) (5). This will include office space, computers, printers, and associated peripherals necessary for the tracking of contract files. The contractor shall follow all procedures and guidance set forth by the USACE Property Book Office (PBO), Primary Hand Receipt Holder (PHRH), and Contracting Officer (KO) in reference to the property being provided for contractor use until no longer needed or formally relieved of responsibility by authorized means. The contractor is responsible for keeping enough materials on hand for the performance of the contract according to its terms. If additional materials are needed and authorized by the contract, requests can be made to the COR at least 30 calendar days prior to the delivery date.

5.2 Unless otherwise authorized by the PBO, KO and the Government’s PHRH of the property provided to the contractor, property will NOT be removed from the Government’s facility where the property is located and utilized by the contractor. If any equipment is needed by contractor personnel for offsite use, to include times when telework is authorized, justification and approval will be required through the PBO, KO and the PHRH, documented in the contract file, and will be returned promptly when required.

5.3 At the conclusion of the contract period, including any option periods, the contractor will return all provided property to the Government’s PHRH (HR076). The Government will provide utilities, telephone services, internal mail distribution, custodial services, refuse collection, and insect and rodent control, and grounds maintenance at the Government’s facility within which the services are to be performed.

6.0. QUALITY CONTROL

6.1 Quality Control Plan. Establish and maintain a complete Quality

Control Plan (QCP) to verify that contract performance is achieved as specified.

Provide a copy of the plan or any updates to the plan to the Contracting Officer within 10 business days upon request. Identify personnel performing quality control functions to the COR and give sufficient responsibility, authority, and organizational freedom to identify and evaluate quality problems, initiate, recommend, or provide solutions. As a minimum, describe the Quality Control System that will be used in providing contract services.

6.2 Quality Control System. Utilize a Quality Control System (QCS) covering all services performed by this contract which must specify the areas to be inspected on either a scheduled or unscheduled basis and how often inspections will be accomplished and documented.

7.0 GOVERNMENT QUALITY ASSURANCE.

Performance will be monitored to determine if the contract standards are met via statistical random sampling of recurring service outputs using a statistically based sampling procedure; periodic inspection of the processes; and customer complaints.

The Government will perform QA of the Contractor's performance under this contract using the method of surveillance specified in the Quality Assurance Surveillance Plan (QASP) (Appendix B). The QASP includes the Performance Requirements Summary (including performance metrics), Surveillance Checklist, and Corrective Action Request Form. The Government will conduct QA inspections on all phases and types of work performed. The Government reserves the right to perform QA inspections at any time. If any Government QA review identifies a process/work product failure or noncompliance with safety practices, a Corrective Action Request (CAR) will be issued. Each CAR will be annotated as a Critical nonconformance, Major nonconformance, or Minor nonconformance. Performance of a service will be evaluated to determine whether it meets the performance requirements of the contract. When the performance requirement is not met, a Corrective Action Request (CAR) will be issued to the contractor by the Contracting Officer.

Respond to the CDR and return it to the Contracting Officer within 10 calendar days of receipt.

In the case of CDR’s issue because of other methods of surveillance, the Contracting Officer may take appropriate measures in accordance with the contract clause entitled.

8.0. CONTRACT REQUIREMENTS FOR ANTITERRORISM /

OPERATIONS SECURITY

8.1. AT Level I Awareness Training. All contractor employees, including subcontractor employees, requiring access to Army installations, facilities, controlled access areas, or require network access, must complete AT Level I awareness training within 30 calendar days after contract start date or effective date of incorporation into the contract, whichever is applicable. Upon request, submit certificates of completion for each affected contractor employee and subcontractor employee, to the COR or to the Contracting Officer (if a COR is not assigned), within 5 calendar days after completion of training by all employees and subcontractor personnel. AT Level I awareness training is available at the following website:

http://jko.jten.mil/courses/atl1/launch.html; or it can be provided by the RA ATO in presentation form which will be documented via memorandum.

8.2. SECURITY POLICIES AND PROCEDURES. All contractors and all associated sub-contractor’s employees must comply with applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative). Also provide all information required for background checks or background investigation and to meet installation/facility access requirements to be accomplished by installation Provost Marshal Office, Director of Emergency Services or Security Office. Contractor workforce must comply with all personal identity verification requirements as directed by DOD, HQDA and/or local policy. In addition to the changes otherwise authorized by the changes clause of this contract, should the Force Protection Condition (FPCON) at any installation or facility change, the Government may require changes in contractor security matters or processes.

8.3. Local Suspicious Activity Reporting Program. The contractor and all associated sub-contractors must receive a brief/training (provided by the RA) on the local suspicious activity reporting program. This locally 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 project manager, security representative or law enforcement entity. This training must be completed within 30 calendar days of contract award and within 30 calendar days of new employees commencing performance with the results reported to the COR NLT 5 calendar days after the completion of the training.

8.4. Information Assurance. All contractor employees with access to a government info system must be registered in the Army Training Certification Tracking System (ATCTS) at commencement of services, and must successfully complete the DOD Information Assurance Awareness prior to access to the information systems and then annually thereafter in accordance with personnel security standards listed in AR 25-2 (Information Assurance), an appropriate background investigation will be conducted prior to accessing the government information systems.

8.5. Level I OPSEC Training. All new contract employees must complete Level I OPSEC Training within 30 calendar days of their reporting for duty.

Additionally, all contractor employees must complete annual OPSEC awareness training. Submit certificates of completion for each affected contractor and subcontractor employee, to the COR or to the contracting officer (if a COR is not assigned), within 5 calendar days after completion of training. OPSEC awareness training is available at the following websites: https://www.iad.gov/ioss/ or http://jko.jten.mil/courses/atl1/launch.html%3B http://www.iad.gov/ioss/ http://www.cdse.edu/catalog/operations-security.html%3B http://www.cdse.edu/catalog/operations-security.html; or it can be provided by the RA OPSEC Officer in presentation form, which will be documented via memorandum.

8.6. DOD IA Awareness Training. All contractor employees and associated sub- contractor employees must complete the DoD IA awareness training before issuance of network access and annually thereafter. All contractor employees working in IA/IT functions must comply with DoD and Army training requirements in DoDD 8570.01, DoD 8570.01- M and AR 25-2 within six months of employment.

8.7. E-verify. Pre-screen Candidates using the E-verify Program website (http://www.uscis.gov/e-verify) to meet the established employment eligibility requirements. The Vendor must ensure that the Candidate has two valid forms of Government issued identification prior to enrollment to ensure the correct information is entered into the E-verify system. An initial list of verified/eligible Candidates must be provided to the COR no later than 3 business days after the initial contract award.

http://www.cdse.edu/catalog/operations-security.html%3B http://www.uscis.gov/e-verify)

9.0. CONTRACT DELIVERABLES AND REPORTING REQUIREMENTS.

Under performance of this contract, provide the following reports and/or deliverables as specified:

9.1. Submit a monthly status report to the PM, COR and Contracting Officer.

The format for this report may be at the contractor’s discretion. The report should contain the following at a minimum: number of DF’s received, number of DF’s not assigned within 24 hours, action taken to coordinate with responsible party, and results of coordination.

9.2. Conduct a quarterly coordination meeting with CEHNC. At least one meeting per year in person, the others can be virtual. Meeting attendees include, as a minimum: COR, Technical POC, HNC Project Manager, Service Team, and contractor’s directing authority. Provide a record of the meeting documenting attendance, discussions and decisions within 30 days after the meeting.

10.0. POINTS OF CONTACT

Project Manager: Name:

Joao Carlos Reis Phone: (256) 895-1528 Email: carlos.p.reis@usace.army.mil

Technical Manager/COR:

Name: David Klahn, AE Contracts & Criteria Branch Chief Phone: (256) 324-4076 Email: david.f.klahn@usace.army.mil

Contracting Officer:

Name: Coronica Maehew Phone: (256)895-1198 Email: coronica.l.maehew@usace.army.mil mailto:carlos.p.reis@usace.army.mil mailto:Henrik.h.thomsen@usace.army.mil mailto:coronica.l.maehew@usace.army.mil

11.0 PAYMENTS.

11.1 Payment will be IAW with the following schedule. All days are business days.

Milestone Schedule Description Required Date

Monthly Activities In arrears

11.2 Payments will be divided equally throughout the awarded contract period. Invoice monthly, in arrears, in applicable increments of the contract award amount for the services provided.

12.0 INVOICING INSTRUCTIONS.

All invoices must be submitted electronically for technical review and payment.

Electronic invoice submissions must be created in black and white in Adobe's Portable Document Format (PDF). The contractor should submit invoices to the following email address:

CEHNC-BIO-GSP-INVOICE@usace.army.mil Cc the PM and COR.

Note: Invoices must match purchase order/contract in description. Defective/deficient invoices will be returned.

Invoices submitted for payment must contain the following minimum information:

(1) Name and address of the contractor

(2) Invoice date and number

(3) Contract number, contract line-item number and if applicable, the order number

(4) Description, quantity, unit of measure, unit price and extended price of the item delivered

(5) Shipping and payment terms

(6) Terms of any discount for prompt payment offered

(7) Name and address of official to whom payment will be sent

(8) Payments will be made after submission of a proper invoice and after the Government accepts the services.

mailto:CEHNC-BIO-GSP-INVOICE@usace.army.mil

13.0 SAFETY REQUIREMENTS.

13.1 The Contractor shall comply with FAR 52.236-13 Accident Prevention and execute all work in accordance with (IAW) applicable federal, state, and local safety laws and regulations governing their official worksite(s). The specific EM385-1-1 requirements for an accepted Accident Prevention Plan (APP), Plans, Activity Hazard Analysis (AHAs), and Site Safety and Health Officer (SSHOs) are waived for this contract due to the low hazard nature of the office work to be performed. General accident prevention responsibilities remain applicable.

13.2 The Contractor shall certify that each employee’s workspace—whether located at a government facility, contractor facility, or telework location—meets general office and computer workstation safety requirements. Employers may use any appropriate safety checklists or resources to complete this certification, including but not limited to Department of Defense’s DD Form 2946 (Section II), Secretary of State’s DS Form 193, or other comparable government or private sector telework/office safety resources.

The Contractor shall submit to the KO/COR a signed document and/or completed checklist confirming compliance with, at a minimum, the following requirements:

13.2.1 Ergonomics and Workstation Setup: Workstations shall be configured to support safe and ergonomically appropriate posture and use, including suitable chairs, desks, monitors, lighting, and related equipment.

13.2.2 Electrical and Fire Safety: Workspaces shall comply with basic electrical and fire safety standards, including the use of surge protectors, avoidance of daisy-chained electrical cords, outlets/circuits operating within rated capacities, grounded three-prong plugs or alternative safety-equivalent, and the presence of a functional smoke detector and carbon monoxide monitor, as applicable.

13.2.3 General Safety: Workspaces shall be maintained free of recognized hazards. Some examples are unobstructed exits and walkways, properly loaded and stable file cabinets, removing trip hazards, good housekeeping, and adequate temperature control/ventilation.

14.0 PROSECUTION AND COMPLETION OF WORK

14.1 Prosecute the work under the direction of a responsible representative approved by the Government. Designate a company officer or representative as the Contractor’s Project Manager that is responsible for complete coordination of all work under this contract. Accomplish all work with adequate internal controls, quality assurance processes, and review procedures to ensure technical accuracy and eliminate conflicts, errors, and omissions. The Government may elect to provide third party technical inspection.

14.2 Pay wage rates in accordance with the criteria set forth below:

14.2.1 Utilize Service Contract Labor Standards (SCLS) wage rates for non- professional service-based labor efforts if the work is predominantly services.

14.2.2 SCLS Wage Rate Applicability by Location: SCLS rates are applicable within the United States, Northern Mariana Islands, Guam, Puerto Rico, American Samoa, Johnson Island, the U.S. Virgin Islands, Wake Island, and Outer Continental Shelf Lands.

APPENDIX A

Service Section Procedures

1. The tasker (typically a PM or PEA/Technical Manager) generates a request using the EWRS on the SharePoint site. The Service Team (ST) monitors the EWRS to ensure the request is assigned by the branch listed in the request within 24 hours. If the request has not been assigned, the ST engages the requested office and the tasker to complete assignment of the request.

2. The ST monitors the EWRS for any actions that have passed the action suspense date and engage the assignee and tasker to ascertain why the action has not been completed or closed.

3. The ST maintains a QC Record Log of all emails sent that pertain to the EWRS in MS Teams.

4. The ST maintains a Record Log of all requests with technical issues on MS Teams.

APPENDIX B

PERFORMANCE-BASED

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR HNC RECORDS MANAGEMENT SERVICES

1. INTRODUCTION

This Performance-Based Quality Assurance Surveillance Plan (QASP) has been developed pursuant to the requirements of the Performance Work Statement (PWS) for Contract No. W912DY-20-C-00XX. This plan sets forth procedures and guidelines that the USACE will use in evaluating the technical and safety performance of the Contractor. A copy of the Performance Metrics is furnished in the PWS so that the Contractor will be aware of the methods that the Government will employ in evaluating their performance on this contract.

2. PURPOSE OF THE QASP

The QASP is intended to accomplish the following:

o Define the roles and responsibilities of participating Government officials.

o Define the types of work to be performed with required end results.

o Document the evaluation methods that will be employed by the

Government in assessing the Contractor’s performance.

o Provide the Surveillance Activity Checklists and Corrective Action

Request (CAR) forms that will be used by the Government in documenting and evaluating the Contractor’s performance; and o Describe the process of performance documentation.

o Outline quality assurance procedures to be employed by the

Government during performance of this contract to confirm that the site characterization is conducted utilizing proper procedures and in accordance with the approved work and safety plans.

3. ROLES AND RESPONSIBILITIES OF PARTICIPATING GOVERNMENT

OFFICIALS

The USACE Technical Point of Contact: EDS-E Branch Chief and Contracting Officer Representative:

o Responsible for overall project direction, including technical, contracting and customer-related issues.

o Reviews vouchers and make recommendations to the Contracting

Officer for payment action based on completion of designated milestones.

o Reports problems or discrepancies to the Contracting Officer as soon as possible.

o Overseas the implementation of the QASP.

o Reviews of contractor submittals.

o Schedules and provides labor codes and funding for all surveillance activities with the appropriate USACE Supervisor (Safety Group, Engineering Branch, etc.)

o Initiates periodic contractor evaluations in the Contractor Performance Assessment Reporting System (CPARS).

The USACE Project Manager:

o Responsible for reporting all findings (to include successes, as well as problems and discrepancies) to the USACE Project Manager and Contracting Officer as soon as possible.

o Ensures contractors comply with the work plans and safety plans through random and continuous surveillance activities while in the field.

o Provides quality assurance oversight to ensure the customer’s requirements are met or exceeded and helps to ensure schedules are maintained.

o Provides input to the contractor’s past performance evaluation in the Contractor Performance Assessment Reporting System (CPARS).

o COR may appoint a Technical Monitor (TM) in accordance with CEHNC- WI-74-11 to assist with these duties.

The USACE Contracting Officer:

o Monitors’ contract performance o Maintains central repository for all QA tasks required for payment o Issues all acceptance/rejection statements o Has obligation authority for the Government o Direct the contractor as necessary o Issues modifications to the contract

The USACE Contract Specialist:

o Monitors contract performance.

o Maintains central repository for all QA tasks required for payment.

o Issues all acceptance/rejection statements.

The USACE Safety Manager:

o Participates in preparation of SOW/PWS to ensure that

Safety requirements are adequately addressed.

o Reviews of contractor submittals for compliance with USACE safety requirements.

o Performs safety inspections of contractors as needed to ensure compliance with safety requirements and those related procedures described in the work plan.

o Conducts or supports other surveillance activities as required by the project team.

o Supports on-site QA activities as needed.

The USACE Invoice Processing Team:

o Reviews vouchers and makes recommendations to the Contracting

Officer for payment.

o Reports problems or discrepancies to the Contracting Officer as soon as possible.

4. METHODOLOGIES TO BE USED TO MONITOR THE CONTRACTOR’S

PERFORMANCE

Even though the Government, through its CORs located on site with the contractor, will be monitoring the contractor’s performance on a continuing basis, the volume of tasks performed by the contractor makes technical inspections of every task and step impractical. Accordingly, USACE will use the Surveillance Activity Table (Attachment A) as the basis for monitoring the contractor’s performance under this contract. The contractor’s performance will be evaluated by the Contracting Officer using the Performance Metrics listed in CPARS.

Quality Assurance Surveillance Activities

In general, the work will be evaluated in terms of how well the requirements of the contract are satisfied, the extent to which the work is performed follows the approach found in the contractor’s technical proposal, clarity of documentation, and timeliness of scheduled task accomplishment. At the discretion of the COR or the Contracting Officer or Specialist, other government officials approved by the Contracting Officer or Specialist may be asked to evaluate a particular delivery or set of deliverables. Quality Assurance includes but is not limited to the following:

5. QUALITY ASSURANCE REPORTING FORMS

The forms used to document surveillance activities include Contractor’s Progress Report (Appendix D of CEHNC-WI-74-11), and/or Memorandums for Record.

Nonconformance may be documented on a Corrective Action Request (CAR), see Attachment B. Non-conformances are documented at the discretion of the person conducting the surveillance activity, but should be fair and reasonable. Each CAR will be annotated as a Critical nonconformance, Major nonconformance, or Minor nonconformance. CARs will be provided to the Contracting Officer for distribution to the contractor. All other CARs will provide a reasonable suspense date for the contractor to review and take appropriate action, usually 10 calendar days. The contractor is required to provide written responses to all CARs. Nothing about the CAR process outlined above restricts the Government’s ability to move straight to the cure notice and default provisions of this contract in the event of Contractor nonconformance with the contract.

Completed forms will be consolidated and provided to the Contracting Officer at the end of each month for that month's surveillance activities. These forms, when completed, will document the contractor's compliance with contract requirements and completion of milestone activities. The Contracting Officer will evaluate contractor performance using the definitions contained in the CPARS and the metrics identified in this PWS.

Attachment A Surveillance Activity Table

Definable Feature of Work

Reference

Performance Indicators

Surveillance Method

Performance Documentation

QA

Surveillance Record File

Performance Assessment

Record (PAR) Category

Responsib le QA Team

Member

Work Tasking

Suspense In- Processing

Task 1

Suspense system requests are processed within 24 business hours.

Periodic Inspection and customer feedback

Corrective Action Requests

(CAR),

Memorandum for Record

Quality of Product or Service, Schedule

COR

Suspense Out- Processing

Task 1

Close out suspense record and data transmitted to PM within 2 business days of suspense date.

Periodic Inspection and customer feedback

Corrective Action Requests

(CAR),

Memorandum for Record

Quality of Product or Service, Schedule

Business Relations

Reliability and professional conduct

Contract

Number of customer complaints regarding:

1. Personnel prepared and knowledgeable in areas of expertise.

2. Professional and ethical conduct.

Customer Feedback

Email, letters, customer survey forms;

kept in PM file

Business Relations

Government

PM

Coordination meeting

PWS

Para 9.2

Conducted quarterly

Customer Feedback

Record of Meeting

Business Relations

Management of Key Personnel

Project Management:

Personnel

Contract Number of instances regarding contractor Personnel and them qualifications for filling key positions/functions.

Periodic Inspection CARs; kept in official project file

Management of Key Personnel and Resources

PDT

Safety

Compliance with Federal workplace and HNC Safety Requirements

EM 385-

1-1 and

HNC

Regula tion

Number and type of violations and/or accidents regarding compliance with safety & OSHA requirements.

Periodic Inspection

CARs, Kept in project file

Safety

Government Safety Manager

Attachment B Corrective Action Request

CORRECTIVE ACTION REQUEST |NO. (1,2,3, etc.

Contract) for the

USACE Representative:

Date Issued:

Issued to:

Response Due: (Based on type of nonconformance) Contract #.

Project Name/Location:

Nonconformance Type (circle one): Major Minor Critical Description of Condition Found:

Contractor Representative Signature (Noting that CAR Received):

(The Contractor will provide the following information to the Contracting Officer and USACE PM by the “Response Due” date above. Please contact the USACE Representative listed above if you have any questions)

Actual Cause: (Contractor will investigate and determine cause of condition reported above. Actual cause should be stated as specifically as possible)

Action Taken to Correct Condition: (Corrective Action should address root cause, not the symptom)

Action Taken to Prevent Recurrence:

Action Taken to Monitor Effectiveness of Corrective Action: (Generate data as proof.

State the monitoring method put in place and who is responsible for reviewing data.)

Contractor Representative Signature/Title/Date Signed: (Form must be signed before returning)

(USACE Project Team Use Only) Review of Corrective Action:

Have conditions improved? Yes No Additional corrective action required? Yes, No Comments:

Completed form provided to Contracting Officer: (Date)