JA44_Quality_Assurance_Surveillance_Plan.pdf

DLA Energy Utility Services

Quality Assurance Surveillance Plan

(QASP)

Template (as of 07 May 2025)

(NOTE: In the final QASP document, delete the word “Template” above, and replace with contract number and description using the following format:

Contract No. SP0600-XX-C-XXXX

(Installation Name) – (Name of System(s))

System Owner: (Name of System Owner)

Do not include this note as part of the QASP document.)

(Insert Date – Ex: 19 July 2018)

Defense Logistics Agency Energy, Utility Services Division

Utility Services QASP – Contract No. SP0600XXCXXXX (Installation Name, State) (system(s))

Summary of Changes

05/07/2025 – Added Utility System Condition Assessment (USCA) / Appendix G

02/06/2025 - Revised template with minor grammar and hyperlink updates / Appendix All

02/23/2023 - Added Installation Energy and Water Plans / Appendix H

02/23/2023 - Added Combatting Trafficking in Persons / Appendix I

04/16/2020 - Added America’s Water Infrastructure Act (AWIA) of 2018 / Appendix I

TABLE OF CONTENTS

I. Introduction

a. Purpose

b. Government Roles and Responsibilities

c. System Owner (SO) Roles and Responsibilities

d. General Areas to be Monitored During SO Performance

e. Performance Standards

f. Surveillance/Monitoring Methods

g. Performance-Based Rating System to be Used

h. Performance Documentation

II. Specific Plans/Areas to Be Monitored Under the QASP

a. Operational Transition Plan (NOTE: Remove link and insert “(removed)” after the word “Plan” after successful completion of the Operational Transition

Plan…Do not include this note as part of the QASP document.)

b. Service Interruption Contingency and Catastrophic Loss Plan

c. Operations and Maintenance/Quality Management Plan

d. Initial System Deficiency Corrections/Renewals and Replacements Plan

e. Other Areas to be Monitored

f. Recommended Table of Required Submittals

III. General Methodology Used in Building and Maintaining the Plan-Specific

Checklists (Appendices D through H) in the QASP

IV. QASP Maintenance/Review/Update

V. Summary

Appendices

Appendix A – FORM – QASP Periodic Maintenance, Review and Acceptance

Appendix B – FORM – Performance Report

Appendix C – FORM – Contract Discrepancy Report (CDR) (DD Form 2772)

Appendix D – FORM – COR Monthly Report to the Contracting Officer

Appendix E – CHECKLIST – Operational Transition Plan (NOTE: Upon successful completion of the Operational Transition Period, remove Appendix E links (including table below), and insert the text: “(removed)” after the word “Plan”…Do not include this note as part of the QASP document.)

1. Initial Contract Documentation /

Requirements

7. Joint Inventory

2. Conduct Post-Award Orientation

Conference and Other Meetings

8. Service Requirements

3. Permits and Leases/Easements 9. Records Management

4. Security Requirements 10. Environmental Compliance

5. Budget / IT Requirements 11. Contingency Operations

6. SO Personnel Policies 12. Regulatory Compliance

Appendix F – CHECKLIST – Service Interruption Contingency and Catastrophic Loss

Plan

Appendix G – CHECKLIST – Operations and Maintenance/Quality Management Plan

1. Plans and Operation Initiatives 4. Environmental Compliance

2. System Deficiency Corrections /

Renewals and Replacements

5. Regulatory Compliance

3. Data Transfer

Appendix H – CHECKLIST – Initial System Deficiency Corrections / Renewals and

Replacements Plan

1. Project Review / Master Planning 2. Project Completion Actions

Appendix I – CHECKLIST – Other Areas to be Monitored

Appendix J - Recommended Table of Required Submittals

I. Introduction

a. Purpose:

1) This Quality Assurance Surveillance Plan (QASP) is an instructional/guidance document that will assist the Utility Services (US) Contracting Officer’s

Representative (COR) in technical observation and contract management duties on this US contract. The QASP also serves as an official document informing the System Owner (SO) of those areas of technical observation and contract management for which the COR will be involved. The QASP uses a combination of surveillance methods to adequately assess the technical and management requirements of this contract. The QASP shall be an attachment to the US contract. However, it is important to note that this QASP is a living document that may change as needed or when the current contract is amended or if changes are needed outside the normal scope of the contract directives.

b. Government Roles and Responsibilities:

1) Contracting Officer (KO): Has overall responsibility for overseeing the

SO’s performance. The KO, through an assigned COR, monitors the SO’s performance in the areas of contract compliance, contract administration, and cost control. The KO also reviews the quality of the COR’s assessment of the

SO’s performance, to include resolving any differences between the COR’s and the SO’s version of events. The KO is the only individual authorized to direct the SO in the performance of his duties under the contract and to make interpretations of, and changes to, the contract that bind the Government. No payments will be made for any unauthorized supplies/services or for any unauthorized changes to the work specified herein. This includes any services performed by the SO of its own volition or at the request of an individual other than the duly appointed Contracting Officer. It is very important to remember that the Contracting Officer is the ONLY person that may obligate the US Government for any changes to the contract.

2) Contracting Officer’s Representative (COR): Has the responsibility for technical monitoring of the SO’s performance, as well as assessing, recording, and reporting on the SO’s compliance with the terms and conditions of the contract. The COR will ensure his/her availability to receive mandatory training prior to performing SO surveillance. The COR will maintain surveillance documentation and will notify the Installation Commander

(through the KO) of any significant Performance deficiencies and recommend improvements to the QASP and Contract Requirements throughout the life of the contract. The COR is appointed to represent the Contracting Officer on technical matters and has no authority to bind the government or direct performance not otherwise authorized and stipulated in this contract. This individual has primary responsibility for accepting, rejecting, or requiring correction of any deficiencies found in deliverables unless otherwise defined in this task order. In the event of rejection of any deliverable, the SO will be notified in writing by the Contracting Officer of the specific reasons why the deliverable was rejected.

3) Other Key Government Personnel: Contracting Specialist(s), US COR

Program Manager and the US Contracting Team will provide contractual guidance and requirements when needed or appropriate. Any unforeseen or potential conflicts or problems can be addressed with the individuals listed but for any contractual changes, the Contracting Officer is the ONLY authority to make any change to the contract. If applicable, this QASP will be revised to include relevant POC information.

c. System Owner (SO) Roles and Responsibilities:

1) The SO has the responsibility for complying fully with the terms and conditions of the contract, participating as a member of the multi-functional team in the post-award management phase, maintaining and implementing a

Quality Management Plan that complements the Performance Plans ensuring that non-conforming contract services are identified and corrected. The SO will perform utility services that conform to the contract requirements and recommend changes to the contract that will provide more effective operations or eliminate unnecessary costs. The SO will be responsible for the execution of both the contractual and technical aspects of the contract performance. As the owner of the (insert type(s)) utility system(s), and performing under a utility services contract to the Government, the SO is responsible for all ownership, operations, maintenance, renewals/replacements/system deficiency corrections, and applicable compliance issues related to the system(s).

d. General Areas to be Monitored During SO Performance:

1) Quality of Services Provided

i. Compliance with Contract Requirements

ii. Appropriateness of Personnel for the Task

iii. Technical Excellence

iv. Anticipation of Unquantified (yet reasonably expected) Utility-

Related Issues

2) Schedule / Timeliness of Performance

i. Responsiveness to Technical Direction

ii. Completion of Work Requirements

iii. Reliability

3) Cost Control

i. Demonstration of Daily Operational Efficiencies

ii. Execution of Scoped Renewal and

Replacement/Upgrade/Deficiency Corrections

iii. Incorporation of Innovative Practices Resulting in Cost Savings

iv. Effectiveness in Forecasting, Managing and Controlling Contract

Cost/Price

v. Ability to Keep Within the Total Estimated Cost or Fixed Prices

vi. Accuracy, Completeness and Timeliness of Invoicing

4) Management / Business Relations

i. Management Effectiveness

ii. Flexibility

iii. Customer-focus

iv. Avoidance of Problems

v. Timeliness of Notification and Mitigation of Problems o Effectiveness of SO’s Recommended Solutions o Effectiveness of Execution of Problem Resolution

5) Utilization of Small Business

i. Maximum practicable opportunity

ii. Compliance with terms and conditions

6) Regulatory Compliance

i. Contract clauses

ii. Contract reporting requirements

iii. Quality assurance surveillance plan

iv. Utility industry-related requirements, safety/environmental requirements, and standard and unique contract-specific requirements

(Note: The five general areas listed above may serve to provide helpful structure/direction to the COR when submitting input for the annual SO Performance Assessment and Rating

System (CPARS) assessment required for the contract. Although the above represent major areas to be considered when monitoring SO performance, the list should not necessarily be considered all inclusive…Do not include this note as part of final QASP document.)

Section II of this QASP provides further technical guidance and lists the specific operational plans associated with this Utility Services contract.

e. Performance Standards

1) The Description/Specifications/Work Statement identifies Government objectives and performance standards. The Government will use these standards to assess SO performance against these objectives to ensure performance is, at a minimum, satisfactory.

f. Surveillance/Monitoring Methods

1) Various methods exist to monitor performance. Below are examples of surveillance/monitoring methods the COR may use in the administration of this QASP. Regardless of the surveillance method, the COR will contact the

SO’s designated representative when a problem/defect is identified and provide the representative the details of the identified problem/defect.

Examples of surveillance/monitoring methods include:

i. Direct Observation (e.g., real-time observation of utility system activities or meetings being performed by the SO)

ii. Assessment of Deliverables (e.g., verification of the timeliness and quality/sufficiency of required submittals, such as monthly outage reports or MSPR (Monthly System Performance Reports) and the

Annual Corrections/Upgrades/ Connections/R&R Plan)

iii. Review of Invoices/Payments (e.g., verification of the accuracy of submitted invoices and payments

iv. Random Sample of Reviews (e.g., random sampling of operation and maintenance procedures/plans at an unspecified/unannounced frequency)

The Inspection and Acceptance clauses (or other applicable clauses) become the basis for any actions that the Contracting Officer may deem appropriate when performance requirements are not being met or the quality is of an unsatisfactory level.

g. Performance-Based Rating System to be Used

1) The SO will be annually assessed and rated for its performance and operation of the utility system listed per the contract. The Contractor Performance

Assessment Reporting System (CPARS) will be utilized to perform this assessment:

i. CPARS training can be accessed at: https://www.cpars.gov/ (Use

“Assessing Official Representative” role) (Approx. 2 hrs. to complete)

The COR will establish an account in CPARS in order to officially contribute to the Government’s annual assessment of the SO’s performance. The COR’s input will carry significant weight in the development of the Government’s overall annual rating of the SO’s performance under this contract. The COR will assign a rating to the SO’s performance under the contract using the following table:

EXCEPTIONAL • Performance exceeded many of the contract requirements to the Government’s benefit.

• Few minor problems resulted from the performance; any corrective actions taken were highly effective.

VERY GOOD • Performance exceeded some of the contract requirements to the Government’s benefit.

• Some minor problems resulted from the performance; any corrective actions taken were effective.

SATISFACTORY • Performance met all the contract requirements.

• Some minor problems resulted from the performance;

corrective actions taken were satisfactory.

MARGINAL • Performance did not meet some of the contract requirements, causing impact to the Government.

• Serious problems resulted from the performance, but recovery was still possible; corrective actions taken were either marginally effective or not fully implemented.

UNSATISFACTORY • Performance did not meet most of the contract requirements, causing impact to the Government.

https://www.cpars.gov/

• Serious problems resulted from the performance, and recovery was not considered likely; corrective actions taken were ineffective.

The COR’s assessment and recommended rating will be reviewed by the DLA

Energy Contract Specialist and Contracting Officer to ensure sufficient justification.

2) Upon completion of the Government’s annual assessment and rating of the

SO’s performance, the assessment and rating will be officially recorded in the

Past Performance Retrieval System (PPIRS). Which has merged with the

CPARS application. Information in CPARS/PPIRS will serve as a valuable

Government source of SO past performance information for future solicitations upon which the SO may offer.

i. CPARS can be accessed at:

h. Performance Documentation

1) SO performance on this contract will be documented in the manner described below:

i. Acceptable performance. The Government will document performance that meets or exceeds minimum expectations. A

Performance Report will be used for this documentation effort and is to be used whenever the COR performs monitoring/surveillance

(i.e., inspections, visits, etc.) on the UP contract. A template for this Report can be found at Appendix B. All Performance Report documentation will be placed in the COR file. It is important to note that these Performance Reports can become part of supporting documentation for appropriate actions taken under this contract.

ii. Unacceptable performance. When unacceptable performance is observed, in addition to completing a Performance Report, the

COR will complete a DD Form 2772, Contract Discrepancy

Report (CDR). An example of this form can be found at Appendix

C. This form serves as the official written notification to the SO of an observed contract discrepancy. (Note: Only under unique circumstances will verbal communication be used to initially inform the SO of a potential contract discrepancy. However, in those cases, the COR will follow-up with written notification of the finding as soon as possible, coordinate it through the KO, and provide to the SO.) As part of the CDR process:

o The SO shall acknowledge receipt of the CDR in writing.

o The SO will prepare a corrective action plan to document how the SO shall correct the unacceptable performance and avoid recurrence.

o The CDR will clearly indicate a due date by which the SO has to present this corrective action plan to the COR.

o The Government will review the SO’s corrective action plan to determine acceptability.

iii. Summary of Methodology and Purpose for Performance

Documentation. The reports and forms referenced in this QASP are designed to collectively serve as a traceable documented history of SO performance. These will also support recordkeeping requirements mandated by the DoD Procurement Integrated

Enterprise Environment in the Surveillance and Performance

Monitoring Module (SPM), as well as annual performance assessments mandated by CPARS. Specifically:

o Performance Report (Appendix B) -- Used by the COR whenever performing contract monitoring/surveillance on the

UP contract. Both negative and positive aspects of the SO’s performance are documented. The information recorded in

Performance Reports can serve as a significant source of documented SO performance. This information can subsequently be used in developing the COR Monthly Report to the Contracting Officer.

o DD Form 2772, Contract Discrepancy Report (CDR)

(Appendix C) -- Used by the COR whenever a contract discrepancy is found because of the COR’s monitoring/surveillance activity. CDRs can serves as a significant source of documented deficient SO performance.

Subsequently, CDRs can become part of supporting documentation for appropriate Government actions taken under this contract regarding SO performance or failure to perform. CDRs, together with Performance Reports, should be used in developing the COR Monthly Report to the

Contracting Officer.

o COR Monthly Report to the Contracting Officer (Appendix D)

– Required to be produced by the COR and loaded onto the DoD

Procurement Integrated Enterprise Environment (SPM Module) every month. Report should serve as a compilation/summary of the results and observations from the CORs contract monitoring and surveillance activities from the past month. Both negative and positive aspects of the SO’s performance are documented. The compilation of these monthly reports over the course of annual contract period of performance will serve as a significant source of documentation supporting the Government’s annual CPARS assessment for the SO under this contract.

II. Specific Plans/Areas to Be Monitored Under the QASP

The QASP layout is generally structured to be consistent with the major plans that comprise the majority of the SO’s tasks/responsibilities under this contract.

a. Operational Transition Plan

1) Purpose: This Plan contains the SO’s approach and procedures demonstrating its ability to maintain continuous utility service and minimize service impacts, while smoothly and effectively transferring responsibility and accountability for utility system capital assets, permits, personnel resources, administration, and other system responsibilities adequately and effectively.

2) COR checklist for this Plan can be found at Appendix E.

(Note: Upon completion of the Operational Transition Plan, this section above can be removed from future versions of the QASP used on the contract. Do not include this note as part of the QASP document.)

b. Service Interruption Contingency and Catastrophic Loss Plan its ability (during normal daily operations and during disaster/contingency situations) to receive service requests; to classify their severity (Note: If this self-classification responsibility is in the contract); to appropriately respond to those requests; to provide status to the customer; and to access proper manning, materials, equipment, and vehicles.

2) COR checklist for this Plan can be found at Appendix F.

c. Operations and Maintenance/Quality Management Plan its overall quality philosophy and the adequacy of procedures used to ensure that contract requirements are met (or exceeded) and that the system is being operated and maintained in a manner consistent with its long-term ability to provide reliable, cost-effective, and compliant service. The Plan also demonstrates the SO’s ability to modify service practices and quality management actions as necessary to accommodate changes in legal requirements or industry standards.

2) COR checklist for this Plan can be found at Appendix G.

d. Initial SDC/Upgrades/Connections and Renewals and Replacements Plan the SO’s ability to identify, plan and execute upgrade, renewal, and replacement activities to ensure a long-term efficient utility system. The Plan should demonstrate the comprehensiveness, feasibility, and effectiveness to which these activities are executed.

2) COR checklist for this Plan can be found at Appendix H.

e. Other Areas to be Monitored

1) In addition to the four major plans above, the QASP will also include applicable areas of responsibility/duties for which the COR – serving as the

Contracting Officer’s on-ground representative – should have oversight.

These may include, but not be limited to, general activities such as 1) ensuring the appropriate information exchange occurs between the SO and appropriate

Government representatives on contract/project-related issues, and 2) validating payment invoices submitted by the SO.

2) COR checklist for this Plan can be found at Appendix I.

f. Recommended Table of Required Submittals

1) Table may be found at Appendix J

III. General Methodology Used in Building and Maintaining the Plan-Specific

Checklists (Appendices D through H) in the QASP

(NOTE: As part of the final QASP document, it is beneficial to have a general discussion as to the methodology used in building its content. However, the text below will require modification prior to inclusion in the final QASP document used for a specific contract. Items a through d below, as currently shown, serves as a basis of instruction to aid the COR to initially construct the QASP document, as well as maintain thereafter…Do not include this note as part of final QASP document.)

A deliberate methodology is used to develop and maintain the content of the QASP. At any particular time, the QASP content should reflect the most current and representative areas that require government monitoring, surveillance, and/or coordination to ensure acceptable SO performance. (Note: After the initial QASP is developed, remove the text:

‘develop and’ from the first sentence in this paragraph…Do not include this note as part of the final QASP document.)

a. Review Section L of the RFP

1) This will provide an outline of the major areas to be included in each of the four main Plan-specific checklists (Appendices E though H). (Note: This will help build the initial structure of the checklists to be used in the QASP.

Going forward, after the initial QASP is built, the COR should not have to refer to the RFP for structural guidance on maintaining the contract specific QASP…Do not include this note as part of final QASP document.)

2) Include those identified items in the appropriate Plan checklist(s).

(Note: After the initial QASP is developed, remove this entire Section a. ‘Review

Section L of the RFP’… Do not include this note as part of final QASP document.)

b. Review Section C of the RFP

(Note: After the initial QASP is developed, remove the text: ‘RFP/’from the title of this section to read: ‘Review Section C of the Contract’…Do not include this note as part of the final QASP document.)

1) This will help identify potential surveillance/monitoring/coordination activities to be included in any one of the five QASP checklists, as applicable

(Appendices E through I). (Note: These “Section C” requirements become part of the actual contract upon award.) (Note: After the initial QASP is developed, remove the text: ‘(Note: These “Section C” requirements become part of the actual contract upon contract award.)’…Do not include this note as part of the final QASP document.)

2) Include those identified items in the appropriate Plan checklist(s).

c. Review the Utility-Specific Section JA Attachment

1) This will help identify potential Installation-specific surveillance/monitoring/ coordination activities to be included in any one of the five QASP checklists, as applicable (Appendices E through I) (Note: These “Section JA” requirements become part of the actual contract upon award.) (Note: After the initial QASP is developed, remove the text: ‘(Note: These “Section JA” requirements become part of the actual contract upon contract award.)’…Do not include this note as part of the final QASP document.)

2) Include those identified items in the appropriate Plan checklist(s).

d. Review each of the four main Plans provided by the SO and included in the contract.

1) Review each of the Plans (using the general initial structure provided by

Section L of the RFP – see Section III a. above) and identify any specific items that address products/activities/etc. required of the SO. (Note: After the initial QASP is developed, remove the text: ‘(using the general initial structure provided by Section L of the RFP – see Section III a. above)’…Do not include this note as part of the final QASP document.)

2) Include those identified items in the appropriate Plan checklist(s).

IV. QASP Maintenance/Review/Update

The QASP is a living document that will require periodic review and updating.

a. Revisions to this document may be necessary to adequately reflect associated changes in the contract. The Contracting Officer/Specialist and/or COR will bring to proper attention any potential QASP revisions necessary as a result of any changes in the contract.

b. As a standard, the QASP will be reviewed by the Contracting Officer at least annually. However, an out-of-cycle review may be accomplished if necessary or requested. A sample of a QASP Periodic Maintenance Review and Acceptance form can be found at Appendix A.

V. Summary

The QASP serves as an important guiding document, providing the framework for government monitoring, surveillance, and coordination of the SO’s activities and responsibilities under this Utility Services contract. The typical long-life of a UP contract, its many moving parts, and the fact that the SO owns the utility system(s), requires a close, long-term partnership between the government and the SO. The deliberate and methodical approach to the development and maintenance of this QASP will help ensure this partnership continues to be nurtured, resulting in long-term quality utility service to (insert installation name).

Appendices

Appendix A – FORM – QASP Periodic Maintenance, Review and Acceptance

Appendix B – FORM – Performance Report

Appendix C – FORM – Contract Discrepancy Report (CDR) (DD Form 2772)

Appendix D – FORM – COR Monthly Report to the Contracting Officer

Appendix E – CHECKLIST – Operational Transition Plan (NOTE: Remove link and insert “(removed)” after the word “Plan” after successful completion of the

Operational Transition Plan…Do not include this note as part of the QASP document.)

Appendix F – CHECKLIST – Service Interruption Contingency and Catastrophic Loss

Plan

Appendix G – CHECKLIST – Operations and Maintenance Plan

Appendix H – CHECKLIST – Initial System Deficiency Corrections / Renewals and

Replacements Plan

Appendix I – CHECKLIST – Other Areas to be Monitored

Appendix J – CHECKLIST – Recommended Table of Required Submittals

APPENDICES

Appendix A

QASP PERIODIC MAINTENANCE, REVIEW AND ACCEPTANCE

(NOTE: This Appendix serves as a recommended form to use in formally documenting the review, and acceptance, of the contents of the latest QASP version for the UP contract…Do not include this note as part of the QASP document.)

(Back to Table of Contents)

The functional team members’ signatures below indicate their review and acceptance of the

Quality Assurance and Surveillance Plan, dated _________ , for (insert type utility system) services provided at (insert installation name) under contract (insert contract number). These signatures indicate coordination on this Government QASP at the time of (insert “development” or “revision”) and will remain in effect until the Plan is modified.

Signature/Date Signature/Date (insert name of Government Contracting Officer) (insert name of COR) (insert title and organization)

Appendix B

PERFORMANCE REPORT

(NOTE: This Appendix illustrates the form to be used in the documentation of SO performance on the UP contract…Do not include this note as part of the QASP document.)

The COR shall complete a Performance Report (shown below) whenever the COR performs contract monitoring/surveillance on the Utility Services contract.

Performance Report Form

Appendix C

CONTRACT DISCREPANCY REPORT

(NOTE: This Appendix illustrates the form to be used in the formal documentation of specific

SO performance discrepancies/problems on the UP contract, as they are encountered by the

COR…Do not include this note as part of the QASP document.)

(Back to Table of Contents)

The DD Form 2772, SO Discrepancy Report (CDR), shown below, will be prepared by the COR to formally notify the SO of a pending discrepancy. The purpose of the form is to allow the SO to correct discrepancies with minimal interference from the Government.

A fillable version of these forms can be found at:

http://www.dtic.mil/whs/directives/forms/eforms/dd2772.pdf https://www.esd.whs.mil/Directives/forms/dd2500_2999/ http://www.dtic.mil/whs/directives/forms/eforms/dd2772.pdf https://www.esd.whs.mil/Directives/forms/dd2500_2999/

Appendix D

COR MONTHLY TRANSITION PERIOD REPORT / COR MONTHLY REPORT TO

THE CONTRACTING OFFICER

(NOTE: This Appendix illustrates the forms to be used in the monthly summary of documented SO performance on the UP contract. This is a DoD PIEE (SPM) requirement…Do not include this note as part of the QASP document.)

(Back to Table of Contents)

The COR shall complete either a COR Monthly Transition Report or the COR Monthly Report depending on the phase of the contract to the Contracting Officer (shown below) to document both negative and positive aspects of the SO’s performance for the UP contract. The report shall be submitted to the KO via the SPM module in accordance with a mutually established submittal schedule.

THE CONTRACTING OFFICER

COR Monthly Transition Report to the Contracting Officer (pg. 2)

THE CONTRACTING OFFICER

COR Monthly Report to the Contracting Officer (pg. 2)

These forms can be found at: http://www.dla.mil/Energy/Offers/Services/UtilityServices.aspx http://www.dla.mil/Energy/Offers/Services/UtilityServices.aspx

Appendix E

OPERATIONAL TRANSITION PLAN – CHECKLIST (removed) (Note: Include the text: ‘(removed)’ once the operational transition period is complete, and remove checklist.)

(NOTE: This Appendix serves as a checklist to ensure actions necessary for sufficient monitoring of the SO’s Operational

Transition Plan – and the SO’s associated demonstrated actions for compliance – are accomplished by the COR and other

Government representatives. Upon successful completion of the Operational Transition Period, this appendix can be removed from future versions of the QASP…Do not include this note as part of final QASP document.)

1. Initial Contract Documentation/Requirements:

Item # COR Action / Requirement SO Requirement Frequency of

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. US Contract Document –

DLA Energy Contracting Staff ensures that the US Contract document, with any associated modifications, is provided to the

COR/SO

SO ensures that the current/accurate UP

Contract is received and provide written concurrence to this requirement

Initial Contract Oversight –KO

Acknowledgement and receipt of SO’s written acknowledgement

All Contract Sections

(insert correct reference(s) to be consistent with actual contract)

b. Periodic Deliverables/Report

Submittals – COR will establish operational report requirements with the KO and

SO

• Establish mutual agreement with KO, Installation reps, and SO on the specific format of each required report, as well as

SO will acknowledge and provide comments to report requirements

Initial N/A J/L/C Sections

(insert correct reference(s) to be consistent with actual contract)

J._? (Specific to contract submittal section)

Recommended

Table of

Required

Submittals

OPERATIONAL TRANSITION PLAN -- CHECKLIST (cont’d) confirming frequency of submittal.

c. Initial QASP Development and Implementation – COR and KO will layout detailed plan for QASP implementation with the SO

SO and the KO/COR will discuss all details for QASP guidance and how it relates to the current contract

As required As required J Section

(insert correct reference(s) to be consistent with actual contract)

Attachment JA44

(Quality Assurance

Surveillance Plan -

QASP)

d. Establishment of COR Areas of Inspection List – COR ensures an initial list of representative areas of inspections (i.e., facilities and documentation) is developed.

List is developed through meetings with the SO and appropriate Government representatives.

SO will work with COR and Government representatives to determine an initial array of mutually acceptable areas (facilities and documentation) from which SO performance can be reasonably assessed.

Initial All All Contract Sections

(insert correct reference(s) to be consistent with actual contract and remove title reference)

Section E

Exhibit JE._? (All four listed plan attachments)

Recommended

Table of

2. Conduct Post-Award Orientation Conference and Other Meetings:

Item # COR Action / Requirement SO Requirement Frequency of

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Post-Award Orientation

Conference and Agenda

Development – KO/COR organizes Post-Award

Orientation Conference.

COR coordinates with SO to determine specific SO-recommended agenda items for discussion at conference.

The SO prepares and organizes for the O&M

Transition Meeting, to include provision of recommended meeting topics to the COR.

The SO ensures that all required personnel attend this meeting

Initial N/A C/L Sections

(insert correct reference(s) to be consistent with actual contract)

b. Post-Award Orientation

Conference – The COR will ensure:

• Supporting logistics are arranged (i.e., date/time, agenda, conference room, attendees, etc.) for the UP

Post-Award Orientation

Conference (NOTE: This meeting is the initial meeting between the

Government and the SO --the new owner of the utility system).

• An agenda of initial meeting topics is developed

The SO will ensure that:

• The proper SO personnel attend the

Post-Award

Orientation

Conference

• A recommended list of meeting agenda topics is provided to the COR for coordination with the KO.

Initial start of contact

N/A (insert correct reference(s) to be consistent with actual contract and remove title reference)

C.9._? (Coordination of work) and coordinated with the

US SO and KO

c. Post-Award Orientation

Conference – COR ensures the following actions are initiated at the Post-Award Orientation

Conference: (Note:

Add/subtract listed actions, as applicable.)

• Review/discussion of contract’s Operational

Transition Plan for clarity/understanding

• Other related actions

The SO ensures that all required personnel attend this meeting

Initial N/A J/L/C Sections

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.9._?(Coordination of work)

C.13._? (Operational

Transition Plan)

Exhibit JE._?

(Operational

Transition Plan) attachment d.

Coordination of Installation

Review of the Four Major

Plans – COR coordinates

Installation review (with the appropriate offices) of the four major plans included in the contract:

• Operational Transition Plan

• Service Interruption

Contingency and

Catastrophic Loss Plan

None Initial N/A C/L Sections

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.7._? (Response to

Service

Interruptions/Conting

• Operations and

Maintenance/Quality

Management Plan

• Initial System Deficiency

Corrections/Renewals and

Replacements Plan

COR establishes POCs and coordinates review timetables to ensure timely feedback from

Installation. Installation POCs may include, but not be limited to:

• Fire and Law Enforcement

• Safety

• IT/Communications

• Civil Engineering/DPW

• Environmental

• Installation Leadership

• Hospital encies and

Catastrophes)

C.9_? (Coordination of Work)

C.12._? (Operations and

Maintenance/Quality

Management)

C.13._? (Operational

Transition Plan)

Exhibit JE._? (All four listed plan attachments)

e. Coordination of

Feedback/Discussion of the

Four Major Plans – COR coordinates any resulting feedback/discussion between

SO ensures its availability to answer questions from the

Initial N/A C/L Sections

(insert correct reference(s) to be the Installation and SO from the review of the four major plans in the contract:

• Operational Transition Plan

• Service Interruption

Contingency and

Catastrophic Loss Plan

• Operations and

Maintenance/Quality

Management Plan

• Initial System Deficiency

Corrections/Renewals and

Replacements Plan

Installation review of the plans contract and remove title reference)

C.7._? (Response to

Service

Interruptions/Conting encies and

Catastrophes)

C.9._? ( Coordination of Work)

C.11._?

(SDCs/Upgrades/Con nections and

Renewals and

Replacements)

C.12._? (Operations and

Maintenance/Quality

Management)

C.13._? (Operational

Transition Plan)

Exhibit JE._? (All four listed plan attachments)

f. Utility System Conveyance

Meeting – COR sets up a future

Utility System Conveyance

SO will ensure that all key personnel attend this meeting.

Initial COR will record a

Memorandum for Record

(MFR) for this action

C/L Sections

(insert correct

3. Permits and Leases/Easements:

Meeting between Installation

Personnel and SO consistent with actual contract and remove title reference)

C.2._? (Authority, Scope, and Program

Goal)

Exhibit JE._?

(Operational

Transition Plan) attachment

g. COR/SO Meeting with

Installation’s Engineering and

Planning Staff – COR will coordinate with SO to ensure

SO is invited to applicable planning meetings with the

Installation’s engineering and planning staff.

The SO will ensure they attend the meeting when invited

As needed during

Transition

Direct Observation

(Joint meetings between

Government personnel and the SO)

(insert correct reference(s) to be consistent with actual contract and remove title reference) of Work)

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Identify Permits and

Associated SO Responsibility

– Ensure SO provides specific listing of all permits for which it has responsibility in the ownership, operation, maintenance, and/or upgrade of the specific utility system under the contract.

• Coordinate this list with the appropriate Installation office(s) to ensure concurrence and mutual understanding of responsibilities.

The US SO provides a specific listing to the

COR, along with status, of all permits the SO will be responsible for under the contract.

As required Assessment of Deliverables (insert correct reference(s) to be consistent with actual contract and remove title reference)

C.3._? (Requirement)

C.6_? (Access to the

Utility System)

C.9._? (Coordination of Work)

C.10._?

(Environmental

Compliance)

Exhibit JE._?

(Operational

b. Permit/Lease Applications –

KO/COR ensures that the SO applies for applicable permits and leases.

• The KO/COR provides guidance to the SO, as necessary, for obtaining the permits/leases.

The SO prepares all the required documentation for obtaining the specified permits/leases within the necessary timeframes to ensure/maintain compliance.

Initial - within one week after transition period begins and then.

As Required

As Required C/L Sections

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.3._?

(Requirement)

Exhibit JE._?

(Operational

Transition Plan) attachment

c. Line Locates Plan/Procedures

– KO/COR ensures all specific procedures associated with the

SO’s responsibilities for locating lines in support of the

Installation Digging Permit

Process are clarified and documented

The SO verifies its understanding of the

Installation’s Digging

Permit procedures, to include:

• the Installation office(s) with which to coordinate line locate actions.

• the maximum number of free lines locate actions to be provided under the contract

(i.e. threshold)

• additional costs per locate action (if any) for providing line locates above the established threshold

Monthly

Permit status reports

During and after the Post

Award Orientation

Conference

(insert correct reference(s) to be consistent with actual contract and remove title reference)

d. Review of Current

Agreements for

Appurtenances Attached to

Utility System Infrastructure

– The COR ensures that all applicable Offices of Primary

The SO will:

• confirm understanding of the current agreements and associated attachments

After the Post award

Orientation

Meeting

As required (insert correct reference(s) to be consistent with actual contract and remove title reference)

4. Security Requirements:

Responsibility (OPRs) identify to the SO all items that are current attachments to the SO’s inventory (ex. Cable TV lines, Cell phone antennae, fiber optic lines, etc., that are attached through manholes or strung on top of power poles of the SO’s

Utility System Inventory). The appurtenances must be clearly identified and documented. The

COR ensures that all current agreements associated with each attachment are provided to the SO.

• work with the applicable OPRs, as necessary, to identify any potential issues that may need to be addressed as part of any follow-on agreement (once current agreement expires).

C 4._? (Service Area)

Item # COR Action / Requirement SO Requirement Frequency of

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Security Clearances – COR verifies through the Security

Office that all contracted personnel have the required

JPAS verifications, security clearances and access badges.

The SO prepares and submits all required documentation for obtaining a Government

Security Clearance; SO will ensure that security documentation is filled out correctly and submitted in a timely manner.

As required As required (insert correct reference(s) to be consistent with actual contract and remove title reference)

C 5._? (Utility

System Ownership, Personnel, and

Security)

Exhibit JE._?

(Operational

b. SO Vehicle Registration, Insurance, Installation Access

– COR/KO review the SO confirmation that SO vehicles are registered, meet insurance requirements, and have access stickers for Installation

The SO ensures that its vehicles are currently registered, meet insurance requirements, and have access stickers for Installation access then notifies COR.

At the start of transition period; then for every change in vehicle and/or registration status thereafter

As required (insert correct reference(s) to be consistent with actual contract and remove title reference)

C 5._? (Utility

System Ownership, Personnel, and

Security)

H 2._? (Insurance

Requirements)

5. Budget/IT Requirements:

c. Physical Security and

Restricting Access to Facilities

– COR ensures SO meets with and/or is provided applicable requirements from the Security

Office pertaining to sufficient physical security of, and restrictive access to, utility system and associated facilities.

Based upon discussions and/or information received from the

Security Office, SO will demonstrate how it will satisfy the physical security requirements for its utility system and associated facilities.

As required As required (insert correct reference(s) to be consistent with actual contract and remove title reference)

C 5._? (Utility

System Ownership, Personnel, and

Security)

C 6._? (Access to the

Utility System)

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Summary Budget/

Expenditure Report

Submittal – COR will ensure that the SO provides summary budget/expenditure report to the

KO

The SO will provide a summary budget/expenditure report to the KO.

As required As required (insert correct reference(s) to be consistent with actual

C 11._?

(SDCs/Upgrades/Con nections and

Renewals

/Replacements)

b. Initial IT Requirements

Meeting – The KO/COR conducts initial IT

Communications meeting w/SO to discuss the IT requirements for Communications under the

Utility Services contract.

The SO will inform the

Govt of all IT requirements that will be needed/required and specify all required IT software packages; SO confirms its IT

Communications Plan does not interfere with the Installation’s communications frequencies.

As required As required (insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._ (Utility System

Ownership, Personnel, and

Security)

c. IT/Communications Office

Coordination – The COR ensures appropriate coordination occurs between the

SO and Base

IT/Communications Office regarding the contract’s

Information Technology requirements

The SO/COR will discuss all IT req’s and collaborate on a suggested plan of action for the use of all IT systems and software;

SO will demonstrate to the IT/Communication

Office’s satisfaction that its IT Communications

Plan does not interfere with the Installation’s communications freq’s.

As required As required C/L Sections

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._ (Utility System

Ownership,

6. SO Personnel Policies:

7. Joint Inventory:

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Installation Personnel Policy –

KO/COR will inform the SO about personnel policies pertaining to SO personnel working on the Installation.

The SO will participate in discussions regarding applicable personnel policy requirements and will verify understanding of these policies.

Initial Review and verification of personnel policies with SO

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._? (Utility System

Ownership,

b. Invoice and Payroll

Procedures/ Documentation –

KO/COR will discuss and reach mutual understanding on procedures for accomplishing invoices and payroll-related documentation.

SO shall prepare invoices and payroll-related documentation in accordance with procedure established with the KO/COR.

(Note: Any necessary re-submittals shall be accomplished by the SO at own expense.)

As required Review and verification of samples/procedures submitted by SO

(insert correct reference(s) to be consistent with actual contract and remove title reference)

G.2._? (Submission and Payment of

Invoices)

G.3_? (Wide Area

Work Flow Payment

Instructions)

Item # COR Action / Requirement SO Requirement Frequency of

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Joint Inventory Review and

Documentation – The

KO/COR will conduct and document a government – SO

Joint Inventory of Equipment and Property.

The SO will ensure all pertinent inventory information is captured, recorded and a full concurrence meeting with all parties.

Initial start of contact

Constantly consistent with actual contract and remove title reference)

Exhibit JE._?

(Operational

b. Points of Demarcation (PODs)

– Ensure all PODs are identified, understood, and mutually agreeable. (Note:

PODs identify the physical and geographic limits/boundaries of the utility system being transitioned to the new owner

(i.e., SO).

The SO will ensure all pertinent POD information is captured and recorded and a full mutual concurrence is obtained.

Initial start of contract

Continuously Attachment JAX of

Contract

(insert correct reference(s) to be consistent with actual contract and remove title reference)

c. Reconciliation of Inventory –

The COR/KO will review, verify, and reconcile, as necessary, the SO’s field verified listing of inventory data.

The SO will reconcile/adjust inventory listing, as necessary, to reflect mutually agreed inventory.

Initial start of contact

Joint Reconciliation between Government/SO

C/J/L Sections

(insert correct

8. Service Requirements:

title reference)

C.5._? (Utility

System Ownership, Personnel, and

Security)

C.13._? ( Operational

Transition Plan)

Exhibit JE._?

(Operational

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Verification of Service

Support Requirements –

KO/COR verifies all service

The SO submits a detailed list of all service requirements to COR

As required As required C/J/L Sections

9. Records Management:

requirements from the SO, i.e.

trash, lighting, building location, telephone service, etc.

and KO for review and appropriate action.

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._? (Utility

System Ownership, Personnel, and

Security)

Item # COR Action / Requirement SO Requirement Frequency of

Occurrence

Method of

Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Availability of Government

Utility System Records – The

COR will ensure that all

CADD, GIS, Maintenance

Records, Manuals, and As-Built drawings are made available to the SO upon request.

The SO will submit a detailed list of CADD, GIS, Maintenance

Records, Manuals, and as-built drawings requests to the COR through the KO.

As required As required C/J/L Sections

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._? (Utility System

Ownership,

b. Maps, Building Drawings and

Pertinent Facility

Files/Documents/Manuals –

COR will ensure that the SO has all available maps, building drawings and pertinent facility files/documents/manuals

The SO will ensure that all required maps, building drawings and all pertinent facility files/documents/manuals are received

During

Transition and as applicable thereafter

Assessment of Deliverables and

Direct Observation

(Weekly status meetings)

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._? (Utility System

Ownership, Personnel, and

Security)

Exhibit JE._?

(Operational

c. GIS Data – COR will provide the SO with all available GIS data

The SO will ensure that a list of all required GIS requirements is submitted to the

KO/COR. SO provides acknowledgement of receipt.

During

Transition and as applicable thereafter

Assessment of Deliverables and

Direct Observation

(Weekly status meetings)

(insert correct reference(s) to be consistent with actual contract and remove title reference)

C.5._? (Utility System

Ownership, Personnel, and

Security)

Exhibit JE._?

(Operational

d. Transfer of Permits – COR will facilitate the transfer of permits, as applicable.

The SO will provide the

KO/COR a list of required permits, documents, and manuals that are needed; SO provides acknowledgement of receipt of any permit-related documentation provided by the government; SO will…