Attachment_G3_-_CDRL_SPOT_Instruction_Appen_D_-E.pdf

Defense Transportation Regulation – Part IV 15 February 2012 Personal Property

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APPENDIX D

PRE-AWARD SURVEY GUIDELINES

A. GENERAL

This regulation, and DD Form 1811, Pre-award Survey of Contractor‟s/Carrier‟s Facility and

Equipment, Figure D-1, will be used when making pre-award surveys. Portions of the Federal

Acquisition Regulation (FAR) and supplements thereto may be used by the Regional Program

Manager (RPM) for guidance concerning generally accepted standards of capability, capacity and performance. Since it is not feasible to list all the criteria that makes a warehouse and its management satisfactory or unsatisfactory, the decision as to adequacy is a matter of judgment. The primary overall objectives to be considered involve the following questions: Will the warehouse afford proper protection to the property to be stored? Is the company capable of performing the required services properly? The RPM will be satisfied that the warehouse has adequate:

1. Protection from contamination, theft, fire, flood, rain, moisture, windstorm, or other hazards. The

RPM may request the advice and/or opinion of the law enforcement authority in determining the adequacy of a separate storage location for firearms.

2. Storage methods such as proper stacking, ventilation, locator systems, and access for firefighting and inspection.

B. STRUCTURAL REQUIREMENTS

Facilities may be constructed of any modern building material normally used and generally accepted for the construction of warehouses, transportation terminals, and structures used for similar purposes.

Materials may include, but are not limited to, brick, block, concrete, and rolled sheet metal, which are the most commonly used and accepted materials. As a minimum, the inspecting official will review the following areas during the on-site survey: construction, compliance with local building codes and ordinances, door and window closures, weather tightness, and adequacy of security procedures.

Warehouses rated as „wood-frame‟ or „pole‟ buildings, as determined by the Insurance Services

Office or other cognizant fire insurance rating organization, are not acceptable for the storage of personal property due to the extreme fire hazard associated with this type of construction.

C. ENVIRONMENTAL REQUIREMENTS

1. Facilities will be constructed or equipped with adequate devices which will reasonably ensure property will not be exposed to extreme heat, cold, moisture, high humidity, or other environmental conditions which would cause damage such as mold, mildew, and cracking or separation of finished and glued surfaces. Protective measures may include, but are not limited to, insulation, ventilators, ceiling and floor fans, dehumidifiers, and like devices that are intended to control or regulate the environment within a structure. The requirement for such built-in or external devices will be based on a review of the following factors: geographic location of the facility, weather conditions, previous experience, and incidences of damage claims for facilities within the same area which relate to mold, mildew, or articles which have deteriorated as a result of a climatic condition. Each facility will be evaluated on its own merits considering the above factors.

2. Inspecting officials will consult with local police, fire, and building departments when assessing a facility and further information is needed for approval. Warehouses constructed with exposed

(bare), uninsulated metal walls and/or ceilings will provide a disinterested third party engineer‟s environment report certifying that the facility will provide stored Household Goods (HHG) with protection from extreme heat, cold, moisture, humidity, or other environmental conditions which could produce mold, mildew, and cracking or separation of finished/glued surfaces.

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D. INSECT AND RODENT CONTROL

Warehouses will not show evidence of insect and/or rodent infestation. Warehousemen will have an established program , conducted every 30 days, either self-administered or provided by a reputable outside firm, for the control and extermination of insects and rodents, and will include moth control in all areas utilized for the storage of overstuffed furniture (e.g., couches, chairs), rugs, and pianos.

Warehousemen will keep records to confirm the existence of the program.

E. HOUSEKEEPING

One of the most important items in warehousing is good housekeeping. Survey personnel will assure there are provisions for the collection and disposal of packing materials, crates, and other similar trash; that excessive dust and dirt are not prevalent; that working supplies are properly located; and that equipment is maintained in a sound and orderly condition.

F. REPAIRS

Warehouses which require major repairs to afford proper protection of property will not be approved.

Reinspections will be made only after the RPM has been advised in writing by the Nontemporary

Storage (NTS) Transportation Service Provider (TSP) or Storage In Transit (SIT) provider that repairs have been completed.

G. RESPONSIBLE MANAGEMENT AND OPERATION

Inspection records will contain evidence of good management and operational practices. Such evidence may be obtained through visual observation of the facility, equipment, and personnel and from information relating to credit standing and financial stability. Whenever a state or municipality requires a business firm to be licensed to operate a personal property storage warehouse, possession of such license will be verified. The determination that approved NTS TSPs continues to possess good management, financial stability, and operational practices will be accomplished at least annually by the contracting officer. Additional information with respect to determining the responsibility of prospective NTS TSPs is contained in the FAR, under Qualifications, which may be used by the RPM for guidance and advice.

H. FIRE PREVENTION AND PROTECTION

1. Minimum fire protection standards are based upon fire protection systems, fire insurance rates, and other factors. Warehouses that do not meet these minimum standards will not be approved for participation in the program. For overseas areas fire protection and prevention, standards will be established by the theater commander. Fire risk classifications are as follows:

Limitation

(pounds)

CLASS 1 Fully automatic supervised sprinkler system. 1,500,000

CLASS 2 Fully automatic unsupervised sprinkler system. 1,000,000

CLASS 3 Supervised detection and reporting system. 600,000

NOTE: When the fire risk classification increases or decreases, the warehouse classification will be adjusted. The above class designations and weight limitations apply to NTS facilities only.

a. Fire protection systems will meet the requirement for insurance rate credit by the recognized fire insurance rating organization. Written evidence of the recognition of an installed fire protection system will be obtained by the NTS TSP/SIT provider from the cognizant fire insurance rating organization through the NTS TSP‟s/SIT provider‟s insurance company.

Periodic inspection (bi-annually as a minimum) by the RPM will verify that the warehouseman is having the system properly maintained.

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b. All classes of warehouses will have an adequate source of water for fire-fighting purposes and a responsive fire department. Adequacy of the water supply and fire department will be based upon statements by the fire insurance rating organization, municipal fire department, or local authority having jurisdiction.

c. Weight limitation pertains to a warehouse or a fire separation thereof.

d. The Military Surface Deployment and Distribution Command is authorized to approve deviations from the above standards.

2. Even though a warehouse may fall within an approved fire risk classification, it will not be approved unless it meets all requirements of the Tender of Service, and this Regulation.

3. Warehouses will be approved and utilized In Accordance With (IAW) the standards and provisions of national codes (American Insurance Association, National Fire Protection

Association, American Standards Association) unless local codes are more rigorous with respect to fire prevention and protection requirements; minimum clearance above stacks; width of aisles;

accessibility to fire aisles; distribution of fire extinguishers; and outside storage of combustible materials. IAW national codes, the NTS TSP‟s, or SIT providers storage area will be separated from other occupants of a jointly occupied building by a fire wall or partition having a fire resistance rating sufficient to protect the warehouse from the fire exposure of the other occupant.

The minimum separation will be a solid wall or partition, without windows, doors or other openings, having a fire resistance rating of not less than one hour.

4. A warehouse operational layout fire plan is required as a part of the pre-award survey process.

Additionally, all approved storage facilities will submit an initial and revised fire plan as outlined below. The layout fire plan will show the configuration of pallets or open-stack storage, racks, aisles, deck space, working areas, office space. Respective dimensions inclusive of wall clearances will be shown. This layout fire plan will be reviewed on site and be signed and dated by a fire department official for approval. The approved layout fire plan will be sent to the

Regional Storage Management Office (RSMO) for permanent retention in the NTS TSP SIT providers file. Thereafter any change to the operational characteristic of the warehouse must be submitted to the RSMO in advance of the changes, for the RSMOs review and approval. After the RSMO review, the changes will be reflected on a modified or revised layout fire plan, approved by on-site review, signed, and dated by a fire department official. The modified layout plan will be sent to the RSMO RPM for retention. A copy of the current approved layout fire plan is to be posted in a prominent position within the warehouse to which it applies.

5. The pre-award survey will verify that:

a. HHG are not exposed to hazardous materials or operations inside or outside the warehouse.

b. “No Smoking” signs are conspicuously posted in all storage areas and that “no smoking” restrictions are rigidly enforced.

c. Waste and refuse are removed from storage areas daily and will be kept in metal containers with tight-fitting metal lids.

d. Aisles are kept free of storage and equipment.

e. HHG are stored on skids, dunnage, pallet bases, elevated platforms, or similar aids that provide a two inch minimum clearance from the floor to the bottom-most portion of the property stored and are not in contact with exterior walls. Trash cans, extension ladders, lawn mowers, TV antennas, swing sets, and other like items are excluded from these requirements.

f. The height of HHG stacked loose does not exceed 10 feet.

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g. Heating, electrical, plumbing, and other systems are serviced annually (at a minimum), are maintained in sound condition, and meet all requirements of nationally recognized codes unless local codes or ordinances are more rigorous.

h. Power equipment such as sweepers, pallet jacks, and forklifts are operated and/or garaged

IAW nationally recognized codes, unless local codes and standards are more rigorous. An appropriate fire extinguisher, properly mounted, is required on all motorized warehouse equipment.

i. Installed fire protection systems are serviced and maintained IAW nationally recognized codes, unless local codes are more rigorous, ensuring these systems are operational at all times. As a minimum, fire detection and reporting systems will be inspected every 30 days and sprinkler systems will be inspected every 90 days. A licensed or otherwise qualified, disinterested third party will perform the inspections.

j. Firearms are stored within a member‟s/employee‟s storage lot. In those instances where a firearm will be stored separately (i.e., prescribed by law, firearm is only item in storage), the adequacy of the security area will be approved in writing by local law enforcement authority and the RSMO RPM.

k. Portable containers, commercial or other similar owner loaded storage containers, are not allowed in DOD approved storage facilities without their contents being inspected and verified by the warehousemen. The inspection and verification will attest that there are no non-compatible or hazardous materials within the container. A written record of the inspection and verification, signed by a company official, must be maintained for all owner loaded containers and the record will be available for review by RSMO/TO personnel during an inspection of the facility.

I. SECURITY

Security measures will conform to the following criteria; however, for overseas areas, the theater commander will establish security requirements.

1. Building. The walls and roof will be structurally sound, including windows, doors, and skylights.

2. Security Devices. Utilization of an electronic protection system is mandatory in areas identified by local law enforcement agencies as “high crime” rate areas. A burglar alarm system with

AC/DC alternating power sources; or protective systems such as sound detectors, motion sensors, infrared beam sensors, and closed circuit television; is acceptable only when supervised and monitored at a central station on a 24-hour basis. Additionally, the warehousemen will have a program for the bi-annual inspection and maintenance of these systems.

3. Windows and Doors. All access walk-in doors, warehouse doors, exterior windows, and overhead doors that may permit warehouse entry by simply breaking the glass therein, will require the installation of heavy metal mesh or “chain-link” type fence, or equal materials installed so that they cannot be readily removed from the exterior, or electronic devices that detect the opening and/or the breaking of glass. This requirement does not apply to windows, the base of which is considered to be above the reach of a reasonably determined burglar or vandal.

Skylights, cupolas, and roof vents require the same security measures as windows. When lesser constructed doors (as opposed to heavy duty doors) are used, they will be reinforced with metal bars or steel overlay to defend against forced entry.

4. Locking Devices. All doors and access hatches will have a double keyed locking system as a minimum. Electric controlled overhead doors, unlockable metal pins, or snap fasteners are not recognized locking devices and will not suffice as an alternative locking method. Exterior padlocks will be designed to prohibit the hasp from being cut. The door from the office to the

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warehouse storage area will also be secured with a double-lock system. A double-lock system is not required if the office is within the confines of the warehouse walls and the exterior office doors are double locked. When the warehouse office is not within the confines of the warehouse walls and has a door connecting the office area with warehouse area, a double-lock system is required. This locking system is required on the door permitting entry to the office or the door permitting entry to the storage area. The door with the double-lock system will be metal, solid wood, or reinforced as stated in Paragraph I.3 above. When the doors/access hatches are adequately protected by an electronic protection system as described in Paragraph I.1 above, only one keyed locking device is required.

5. Van Security. Van doors will be secured with heavy duty (case hardened) padlocks or surface key locks.

6. Exterior Area. Recommend heavy-duty fence and lights be used when possible to deter crime.

J. SUBCONTRACTING

When it is in the best interest of the government, the RPM may approve subcontracting IAW the provisions of this regulation. Such approval will be confirmed in writing. Guidance contained in the

FAR concerning Subcontracting Policies and Procedures may be used by the RPM to determine if subcontracting is appropriate.

K. OPERATING AUTHORITY REQUIREMENTS FOR NTS TSPS

A prospective NTS TSP engaged in interstate transportation will be responsible for obtaining a

Certificate of Public Convenience and Necessity from the United States Department of Transportation or, if engaged in intrastate transportation, a certificate issued by the state regulatory body. In those instances where certain states recognize leasing and/or agency agreements to perform drayage services as an alternative to intrastate operating authority, the prospective NTS TSP will be responsible for furnishing such evidence of compliance with state law.

L. EVALUATION OF FLOOD HAZARDS

Prior to final approval, a flood plain report from the Federal Emergency Management Agency, or the

United States Army Corps of Engineers or disinterested third party engineer/surveyor is required to determine if the prospective NTS TSP‟s, or SIT providers facility is in a potential 100-year flood area. Buildings with floor levels below the flood plain levels will not be approved.

M. OTHER CONSIDERATIONS

1. During pre-award surveys, it will be determined if the adjoining occupant is engaged in an operation that is hazardous or nonhazardous to the facility being surveyed. For example, does the adjoining occupant use, store, or manufacture any materials, which would be prohibited in a personal property storage facility? Under nonhazardous conditions, the minimum separation will be a solid wall or partition having a fire resistance rating of not less than one hour. When the adjoining occupant is engaged in a hazardous operation, a judgment will be made as to whether or not the hazard is of such a nature that entry or continued participation in the personal property program will be prohibited.

2. A common problem is the garaging and/or repair/maintenance of vehicles in warehouses. In view of the hazards associated with this practice, NTS TSPs, and SIT providers are not permitted to house or perform maintenance on a vehicle within the part of a structure used for the storage of personal property unless the storage/maintenance area is properly separated from the personal property storage area by walls having the National Fire Code prescribed degree of fire resistance.

However, privately owned vehicles may be stored in the facility without fire wall separation if properly serviced (i.e., gas drained and battery disconnected with the terminals taped). If the vehicle will remain in storage over one year, the battery will be removed.

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N. TEMPORARY APPROVAL OF SIT WAREHOUSES

The RSMO RPM may grant temporary approval when the following conditions have been met.

1. A written formal request from the TO is submitted to the RSMO stating that there is a critical need for storage space or other justification for temporary approval of a SIT facility. In any case it will be in the best interest of the government and not the best interest of the SIT provider.

2. Inspection by the local TO after permission is granted by the RSMO RPM.

3. Preparation of DD Form 1811, Figure D-1, by the TO. This form will be forwarded to the

RSMO.

4. Prior to granting temporary approval, the/SIT provider/warehouseman will have submitted to the

RSMO and have approved all required documentation for warehouse approval. In addition all warehouse deficiencies will be corrected.

5. The RSMO RPM will issue a letter to the SIT provider and the TO granting temporary approval.

6. Permanent approval will be granted after inspection by the RSMO at a future date. In the event the RSMO finds any warehouse deficiencies, the RSMO will suspend temporary approval until such time as all deficiencies are corrected.

O. CARRIER OR AGENT FACILITY REQUIREMENTS

1. Administrative and Warehouse Personnel. The TSP for Carriage or warehouseman‟s warehouse will be staffed at all times during normal working hours with personnel capable of participating in a warehouse facility inspection. They must be able to provide the records and information requested by the RSMO or Personal Property Shipping Office (PPSO) Quality Control inspectors.

They must also be able to perform actions within the warehouse as requested by the inspector

(i.e., retrieve and open storage vaults, retrieve and identify items stored in racks, have access to all areas of the warehouse for visible inspection by the inspector, know location and how to operate all warehouse systems).

2. English Speaking and Writing Employee. All TSPs or their agents will have an English speaking and writing employee available at the warehouse facility during the RSMO/PPSO inspections.

3. Warehouse Manning. All warehouses must be manned during normal business hours. A TSP for

Carriage or warehouseman which has multiple warehouses within the same metropolitan area will have the main warehouse facility staffed during business hours as described in Paragraph O.1.

above. However the additional local facilities need not be staffed but will be inspected by the

TSP for Carriage or warehouseman every normal business day. A written log sheet detailing the physical inspection will be maintained, dated, and signed by a representative of the TSP for

Carriage or warehouseman to ensure compliance. The log will be available to the RSMO/PPSO inspectors during the inspection of the facilities.

4. A facility must be available for inspection by the RSMO/PPSO inspector within 30 minutes of their arrival at the warehouse location. A telephone contact will be provided by the TSP for

Carriage or warehouseman to the RSMO/PPSO which may be utilized by the RSMO/PPSO inspector to request the opening of the facility for an inspection. This telephonic contact is for unmanned locations only; manned location inspections will be available for inspection upon arrival at the location by the RSMO/PPSO inspector. These requirements apply to Continental

United States facilities approved for SIT shipments and only to SIT shipments located within the inspected facilities.

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Figure D-1. DD Form 1811, Pre-Award Survey of Contractor’s/Carrier’s

Facilities and Equipment

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APPENDIX E

WAREHOUSE INSPECTION GUIDE AND INSTRUCTIONS FOR

PREPARATION OF THE WAREHOUSE INSPECTION

REPORT (DD FORM 1812)

A. GENERAL

This appendix provides information and guidance regarding the on-site inspection of commercial warehouses approved for the storage of the Department of Defense (DOD) personal property shipments. This information supplements the criteria outlined in Appendix D, Pre-award Survey

Guidelines, and will be used as a checklist when performing quarterly, semiannual, and other routine warehouse inspections. Activities located outside the Continental United States (CONUS), excluding

Alaska and Hawaii, may deviate from the procedures outlined herein when the theater commander or other designated authority has established warehouse/facility standards to comply with localized practices, trade, and customs.

1. The DD Form 1812, Warehouse Inspection Report, Figure E-1, is to be utilized when performing warehouse inspections. Modern warehousing and storage facilities incorporate various techniques and methods to provide the storage and related services under the applicable Tender of

Service (TOS) or Defense Personal Property Program (DP3) Business Rules. The inspecting official will evaluate numerous areas to ensure that the warehouse complies with all requirements and all stored property is afforded adequate levels of protection in a safe environment. Each warehouse inspection will be preplanned to achieve maximum results. During the pre-trip planning, the inspection official will review previous inspection findings, reports on service failures, customer complaints, claim letters, and other general information. These and related areas can be discussed with a management official of the company during or after the inspection process.

B. GENERAL INSPECTION PROCEDURES

A technique to be followed during on-site inspections is outlined below.

1. On approach to the warehouse, note general activity, status of yard operations, and evidence of security measures.

2. At the warehouse, contact a management official, advise them of the purpose of visit, and set forth procedures of the inspection.

3. As a minimum, the inspection and evaluation process will include a review of the following areas:

a. Fire detection and reporting systems

b. Security systems

c. Structural and electrical systems

d. Storage methods and practices

e. Locator and lot identification systems

f. Documents to include household goods descriptive inventories, weight tickets, and warehouse receipt.

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C. SPECIFIC INSPECTION AREAS

During the inspection process, it is recommended that the inspection official:

1. Open a selected storage lot to observe packaging, marking and stacking methods.

2. Check locator system accuracy by randomly selecting storage lots and crosschecking the information contained in the locator system with the actual location of the property in the warehouse.

3. Review segregated item storage practices for articles such as rugs, sofas, and pianos, if stored in a separate warehouse area.

4. Circle outside of the warehouse doing checks for fire hazards and security conditions.

Combustible materials stored outside will be kept a minimum of 20 feet from the building. Due to the proximity of adjoining buildings, property lines and similar circumstances, this may not be practicable in all areas. Therefore, the inspector will exercise sound judgment in applying this standard.

5. Observe worker activity to include operations associated with the handling in and out of shipments.

6. Check truck and platform scales to ensure they have been inspected in accordance with state, county, or city/country codes.

7. Check to verify that maintenance inspections of fire safety systems are performed. As a minimum, fire detection and reporting systems will be inspected by a professional company monthly and sprinkler systems quarterly.

8. Check to verify that an insect and rodent control program, either self-administered or provided by an outside firm, is in effect with a monthly log available for review.

D. INSPECTION OF A WAREHOUSES AND EQUIPMENT

1. Initial Approval of warehouses. The Regional Storage Management Office (RSMO) and

Transportation Office (TO) (Outside Continental United States [OCONUS only] inspects and approves or disapproves warehouse storage facilities. Only warehouses that meet the standards described in this regulation are considered for acceptance. Upon completion of the inspection, the storage provider must be notified in writing whether the facility is approved or disapproved.

2. Overseas. For warehouse facilities located OCONUS (excluding Alaska and Hawaii), the TO must conduct a pre-award inspection of the facilities and equipment using the pre-award guidelines outlined in Appendix D.

3. Periodic Inspections. The RSMO or TO (OCONUS) or their representative must inspect warehouse facilities at least once every six months following the initial pre-award inspection.

Additional inspections may be conducted by RSMO/TO when in the best interest of the

Government and/or to ensure protection of DOD personal property in storage. If the warehouse facility historical record indicates a total volume of 25 or less shipments annually, and the facility has been awarded a “B” or better, annual inspections may be performed. When deficiencies are reported and action is warranted, the RSMO or TO (OCONUS only) may place the facility in a non-use status. RSMO will notify the responsible TO when such action is taken. The TO must notify the responsible RSMO when warehouse deficiencies are identified during periodic warehouse inspections.

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E. INSPECTION REPORT

Upon completion of the inspection, a DD Form 1812 will be executed pursuant to the instructions below. The warehouse/storage provider will also be given an oral briefing on the deficiencies noted and a suggested course of action for correction that will meet standards.

F. INSTRUCTIONS FOR PREPARATION OF THE DD 1812

A written report of all inspections will be made on a DD Form 1812 and maintained as part of the warehouse facility file. The DD Form 1812 will be prepared as indicated:

1. The type of inspection will reflect the inspection being performed: Storage-In-Transit (SIT), Non-temporary Storage (NTS) or both. The Personal Property Shipping Office (PPSO) will check the “TO” block when independent inspections are performed, whereas the RSMO inspectors will check the “RSMO” block. For joint inspections (TO/RSMO), the first block indicating both NTS and SIT will be checked.

2. The actual date on which the inspection is performed will be entered.

3. The name and address of the warehouse storage provider will reflect the present name and address of the company operating the facility.

4. The address of the actual location of the warehouse.

a. The block for the fire system/class will be checked as applicable.

b. The total number of DOD NTS shipments will be annotated separately from any SIT shipment totals. For NTS warehouses, the total NTS weight in storage will be used for the

RSMO to verify the NTS TSP maintains adequate warehouseman’s legal liability insurance and to insure the NTS TSP has not exceeded their maximum weight allowance allowed for their approved fire system.

5. The NTS TOS reference number applies only to RSMO inspections where the TSP has been awarded a NTS TOS. If the inspection is for SIT, this block may be left blank or annotated “SIT

ONLY”.

6. The current status of the warehouse will be checked.

7. Block 7 “Tender of Service on File”

8. Section 8: Pre- and Post-Storage Services. All deficiencies and violations listed in this section will be based on inspections by the TO or RSMO inspecting official in connection with pre- and post-storage services.

9. Sections 9 through 12: These sections separate the inspection areas by categories and subcategories, which are to be evaluated during the inspection process. References will be made to the applicable DP3 Business Rules and numerical Quality Control Point Ratings (Table E-1).

All subcategories listed will be checked and assigned a quality control point rating when deficiencies are observed. For subcategories which do not have a cross-reference to the DP3

Business Rules, commercial warehousing principles as established by the American Warehousing

Association, National Fire Protection Association, and/or similar authorities will be utilized. The inspecting official may assign a lower or higher point value (not to exceed three) depending on the severity of the deficiency.

10. Section 13: Deficiencies Observed/Actions Taken. This section is for the assignment of a quality control rating and is designed for the inspecting official to apply a suitable numerical rating to the facility. Based on the findings noted, the inspecting official may indicate any necessary actions to be taken by the warehouse storage provider.

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11. Section 14: Document Files Checked. This section is used to list warehouse and/or shipment documents reviewed during the course of the inspection.

12. Section 15: Lot Numbers Checked. This section is used to identify specific shipment lots inspected which attributed to the inspection results.

13. Sections 16 and 17: Signature Blocks. The DD Form 1812 will be signed by the inspecting official and a representative of the warehouse storage provider at the time of inspection and prior to distribution of the form.

14. Section 18: Remarks Section. This section is used to provide a narrative description of the deficiencies observed and record other information relative to the inspection.

G. INSPECTION RATINGS AND RESULTS

1. Upon completion of the inspection process, the warehouse will be rated in Section 13 based on the type and severity of discrepancies observed. Ratings will be awarded as follows:

2. “A” rating. This rating is assigned when no deficiencies are observed. No further action is necessary.

3. “B” rating. This rating is assigned when the observed deficiencies are minor and are easily correctable. The warehouse storage provider will be requested to perform immediate corrective action.

4. “C” rating. This rating is assigned when deficiencies are observed; however, they do not warrant declaring the storage provider in a non-use status for further business. The storage provider will be required to provide a written detailed report of corrective action taken, signed by a company official, within 10 days after the inspection, unless additional time is authorized by the RSMO/TO to ensure an adequate response. The warehouse facility will be closely monitored by both the

RSMO and TO for any future signs of deterioration in the quality of service. During the next regular inspection, if the warehouse storage provider has falsely reported a corrective action or repeated a violation previously called to their attention, grounds exist for immediately placing the warehouse facility in nonuse. For CONUS warehouses, the TO will forward a copy of the DD form 1812 to the RSMO with a recommendation that the warehouse be placed in a non-use status.

5. “D” rating. This rating is assigned when the observed deficiencies merit a quality control rating score of “D” (17 points and over) or items marked by an asterisk are considered of sufficient importance to warrant declaring the warehouse facility in a non-use status for further business.

The inspecting official will immediately place the warehouse storage provider in a non-use status pending corrective action. The warehouse storage provider will be required to explain action taken and provide a written report of corrective action prior to the warehouse being reinspected.

When evidence of correction action has been provided, recommendations can be made by the TO to the RSMO to either reinstate the warehouse, continue the non-use status or provide reasons for disqualification. Requests for reinstatement or disqualification will include a copy of the DD

Form 1812 used for the reinspection, or written notification of inspection findings.

6. “E” rating. This rating is assigned when the warehouse has been previously placed into a non-use status by the RSMO or TO (OCONUS only). The prior non-use status could be a result of many factors to include, failure to provide administrative documentation, warehouse damage from an unusual occurrence or failure to adequately correct previous warehouse violations. When the

RSMO or TO (OCONUS only) determines that an “E” rating is no longer sufficient and the problems have not been corrected, the warehouse will be disqualified and no longer able to participate in the Government Storage Program. Upon discovery of deficiencies in warehouse storage facilities, encourage the storage provider to correct those deficiencies during the inspection. In each instance, the improper storage methods must be annotated on the DD Form

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1812, Figure E-1, and included as part of the performance record. Depending on the severity of the deficiencies, as determined by the scored elements on the DD Form 1812, the following actions apply:

a. When the inspection reveals the failure to exercise proper security measures such as inadequate access points, or structural discrepancies such as broken doors, windows or walls, the RSMO or TO (OCONUS only) must immediately place the warehouse storage facility in a non-use status. The non-use status must remain in effect until written confirmation is received indicating corrective action was taken and a reinspection of the facility has been conducted by the TO and/or RSMO. Generally, violations listed on the DD Form 1812 with asterisked items would be reasonable cause to immediately place the warehouse storage facility in a non-use status.

b. If, in the RSMO’s or TO’s (OCONUS only) opinion, the deficiencies are of a nature that stored DOD shipments may be damaged or contaminated, the RSMO or TO (OCONUS only) must immediately place the facility in an non-use status and the TO must notify all TSPs who have SIT shipments in the facility. The TSPs must remove the property and relocate it to another DOD approved storage facility. The cost of removal must be at the expense of the

TSP and at no expense to the Government or the member/employee. Generally, when a facility receives a quality control rating of 17 or more points on the DD Form 1812, the

RSMO or TO (OCONUS only) must immediately place the facility in a non-use status.

Relocation of shipments must be based on the potential and probable loss and/or damage if they were allowed to remain in the facility.

c. If, in the RSMO’s or TO’s opinion, the deficiencies cannot be corrected immediately but

DOD shipments are properly protected, the property must not be removed to an alternate warehouse facility. The warehouse storage provider must be given 10 days from the date of the inspection to correct those deficiencies or to implement corrective action. If the storage provider fails to satisfactorily correct the deficiencies within 10 days from the date of inspection, the warehouse storage facility must be placed in a non-use status. These actions are generally taken when a facility receives a quality control rating of nine to 16 points on the

DD Form 1812.

d. If the warehouse storage provider is in a non-use status and all deficiencies are corrected within 30 days from notification, and verified in writing by a follow-up inspection, the warehouse storage facility will be reinstated to receive additional storage. If a deficiency remains uncorrected beyond 45 calendar days from the date of notification, the warehouse storage facility will be disqualified and removed from the DOD storage program.

e. When an inspection results in the disqualification of a warehouse storage facility, the disqualification will apply to all DOD shipment storage using the same warehouse storage facility. RSMO/TO may inspect warehouse storage facilities at their discretion.

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H. DISTRIBUTION

The DD Form 1812 will be completed in triplicate and distributed, as indicated below, after the inspecting official and warehouse representative have signed the completed form:

1. The original is placed in the RSMO contract file or TO file.

2. A copy is furnished to the warehouse storage provider at the time of inspection.

3. When the inspection is performed by RSMO, a copy is provided to the TO. When the inspection is performed independently by a TO a copy will be provided to the RSMO. When a TO/RSMO has assumed the inspection responsibilities for facilities used by other TOs, a copy of all inspection reports will be provided to each user activity within 10 working days from the date of inspection.

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Figure E-1. DD Form 1812, Warehouse Inspection Report

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Figure E 1. DD Form 1812, Warehouse Inspection Report (Cont’d)

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Table E-1. Quality Control Point Ratings

Technical Area Quality Control

Point Rating

1. STORAGE SERVICES

B. Unauthorized cartons and packaging used 1

C. Improper packing/sealing/marking of cartons 1

E. Improper loading/unloading 1

F. Disassembled parts not packaged/inventoried 1

G. Inventory stickers on finished surfaces 1

H. Improper appliance servicing/labeling 1

J. Employees on duty not efficient/neat 1

M. Services not performed as requested on NTS Service Order or GBL 1

2. ADMINISTRATION

A. Incorrect inventory preparation 1

B. No separate weight ticket and certificate/PB and E/WT 1

C. Incorrect warehouse receipt preparation 1

D. Ineffective locator system* 3

E. TOS supporting paperwork needed 1

3. STORAGE METHODS & OPERATION

A. Storage lots not handled in within three business days* 2

B. Improper storage, stacks/pallets 2

C. Finished surfaces not protected by pads/wrap 2

D. Lots and segregated pieces not elevated two inches 2

E. Lots stored against exterior walls 1

F. Lawnmowers not stored at base level of lot 1

G. Improper firearms control 2

H. Loose stack storage over 10 feet* 2

I. PBO contents not identified on inventory 1

J. Improper storage of upholstered pieces* 2

K. Improper storage of rugs/pads* 2

L. Improper piano/organ storage 1

M. Improper storage of mattresses 1

N. Segregated items not properly identified 2

O. Improper packing of mirrors/glass table tops 1

P. Inadequate protection against mold/mildew 2

Q. Aisles being used to process goods in/out 1

R. Previous discrepancies not corrected* 3

4. FIRE PREVENTION AND HOUSEKEEPING

A. Electric/heat/water systems require repair 1

B. Evidence of smoking in warehouse* 3

C. Unauthorized items stored* 3

D. Improper aisle and/or stacking clearance 1

E. No fire system inspection* 3

F. No fire extinguisher inspection 3

IV-E-10

Technical Area Quality Control

Point Rating

G. No extinguishers on warehouse equipment 2

H. Trash/debris in storage area 2

I. Fire doors inoperable/in need of repair 3

J. Fire plan not signed by fire marshal or properly posted 1

K. Space heaters/extension cords being used 1

L. Fuel not drained from motorized items 3

M. Hazards noted within 20 feet of warehouse* 2

N. Flammables/combustibles found in warehouse* 2

5. WAREHOUSE PRACTICES

A. Inadequate security* 3

B. Inadequate loading/unloading area 1

C. Structural deficiencies (doors/floors/roof/walls/windows) 3

D. Inadequate protection from sun/dust/heat/cold/moisture 2

E. Lack of insect/rodent control 2

F. Vehicles parked in storage area 3

G. Commingled storage with undesirable commodities 2

H. Multiple occupancy* 3

I. Weight stored in excess of authorized NTS limit* 2

* When those items followed by an asterisk are observed, the inspecting official should consider placing the facility in a non-use or disqualified status immediately. Once placed in a non-use or disqualified status, the facility will not be removed from this status until the deficiencies have been corrected to the satisfaction of the RSMO or PPSO.

Defense Transportation Regulation – Part IV 21 September 2012

ATTACHMENT G3

CONTRACTOR DOCUMENTS REQUIREMENT LISTINGS

Contractor’s Quality Control Program. See Contract Data Requirements List (CDRL) 0001.

Weight Tickets. See CDRL 0002.

Household Goods Descriptive Inventory. See CDRL 0003.

Outsized Air Cargo Report. See CDRL 0004.

Report of Government Owned Containers. See CDRL 0005.

Monthly SDS Metrics Report See CDRL 0006.

Report of Shipments On-Hand. See CDRL 0007.

Shipment Piece/Weight/Cube Report. See CDRL 0008.

Contractor's Weekly Report. See CDRL 0009.

The following abbreviations and their meanings are used in the CDRL.

ASREQ - As Required

COR - Contracting Officer

DAC - Day after contract start

DS - Destination

EAS - Each shipment

MTHLY Monthly

N/A Not applicable

ONE/R - One time with revisions

PPSO - Personal Property Shipping Office

QTRLY - Quarterly

WKLY - Weekly

IV-G3-1

CONTRACT DATA REQUIREMENTS LIST Form Approved

OMB No. 0704-0188

The public reporting burden for this collection of information is estimated to average 440 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Send comments regarding this burden estimate or any other aspect of collecting of information, including suggestions for reducing the burden, to

Department of Defense, Washington Headquarters Services, Directorate for Information Operations and Reports (0704-0188), 1215 Jefferson Davis

Highway, Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person must be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please DO

NOT RETURN your form to the above address. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in

Block E.

A. CONTRACT LINE ITEM NO. B. EXHIBIT C. CATEGORY:

A001 TDP _______ TM _______ OTHER ________________

D. SYSTEM/ITEM E. CONTRACT/PR NO. F. CONTRACTOR

1. Data Item No. 2. Title of Data Item 3. Subtitle 17. Price

0001 Contractor's Quality Control Program Group

4. Authority (Data Acquisition Document No.) 5. Contract Reference 6. Requiring Office

Part III, Para.5.a COR 18. Est.

7. DD 250 Req 9. Dist Statement 10. Frequency 12. Date of 1st Submission 14. Distribution Total

DS Required One/R

a. Addressee

b. Copies

8. App Code 11. As of Date 13. Subsequent Submit Final

N/A Reg Rep

16. Remarks

Basic version submitted at pre-award survey conference. Updated version submitted on contract start date. Schedule I, II, and III.

15. Total

0002 Weight Tickets Group

Part I, Para A.2.b. COR 18. Est.

DS Required EAS

Weight tickets not required on inbound shipments unless reweigh is ordered. Schedule I, II, and III.

0003 Household Goods Descriptive Inventory Group

Part I, Para A.5.i COR 18. Est.

DS Required EAS

Inventories not required on inbound shipments. Schedule I and III.

0004 Outsized Air Cargo Report Group

Part I, Para A.9.g COR 18. Est.

DS Required Monthly

See 16 Reg Rep

Schedule I

G. PREPARED BY H. DATE I. APPROVED BY J. DATE

IV-G3-2

The public reporting burden for this collection of information is estimated to average 440 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Send comments regarding this burden estimate or any other aspect of collecting of information, including suggestions for reducing the burden, to

Department of Defense, Washington Headquarters Services, Directorate for Information Operations and Reports (0704-0188), 1215 Jefferson Davis

Highway, Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person must be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please DO

NOT RETURN your form to the above address. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in

0005 Report of Government Owned Containers Group

Part I , Para A. 8.g.(2) COR 18. Est.

DS Required See 16

Initial report due 15 days after contract start date. Subsequent reports are due the first workday of each month. Schedule I and III.

0006 Monthly SDS Metrics Report Group

Part III, Para 5.b COR 18. Est.

DS Required Monthly

Schedule I, II, and III.

0007 Report of Shipments on Hand Group

Part I, Para A10.h. COR 18. Est.

Blocks 10 & 11 - Determined by the TO

Negative reports are required. Should identify when reports are submitted to TO

0008 Bill of Lading Group

Part I , Para A.9.d COR 18. Est.

Original and copies 2, 3, and 4 are given to the carrier. Copies 5, 6, and 7 to the TO and copy 8 maintained by the contractor. In instances where computer generated PPGBL/BLs are used, enough copies must be made to ensure the right number of copies will be submitted.

G. PREPARED BY H. DATE I. APPROVED BY J. DATE

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The public reporting burden for this collection of information is estimated to average 440 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Send comments regarding this burden estimate or any other aspect of collecting of information, including suggestions for reducing the burden, to

Department of Defense, Washington Headquarters Services, Directorate for Information Operations and Reports (0704-0188), 1215 Jefferson Davis

Highway, Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person must be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please DO

NOT RETURN your form to the above address. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in

0009 Contractor's Weekly Report Group

Part I, Para A.9.j COR 18. Est.

DS Required WKLY

Block 11 - Day of submission

Block 12 - First Monday after contract start date

Schedule I 15. Total

IV-G3-4

http://www.acq.osd.mil/log/PS/spot.html mailto:james.m.delong4.mil@mail.mil mailto:dodhra.beau-alex.dmdc.mbx.spot-helpdesk@mail.mil

DoD Business Rules for the Synchronized

Pre-deployment and Operational Tracker

(SPOT)

02/20/2015

DoD Business Rules for the Synchronized Pre-deployment and

Operational Tracker (SPOT)

AMENDMENT HISTORY

Document

Version #

Approval

Date Modified By Section, Pages(s); Text Revised

1.0 1/21/2014 N/A Original

2.0 11/21/2014

SPOT PMO Compliance, 3/4; Updated publication dates and removed rescinded DFARS Clause

252.225.7039

2.0 11/21/2014 SPOT PMO Updated Government Furnished Services

(GFS) to Authorized Government Services

(AGS) throughout the document

2.0 11/21/2014 SPOT PMO KO Business Rules / Approve and Sign the

LOA, 12; Added a requirement for a review and approve or denial of an LOA

2.0 11/21/2014 SPOT PMO CA Business Rules, 13; Modified the requirements for creating a Foreign

Identification Number (FIN)

2.0 11/21/2014 SPOT PMO CA Business Rules / Deployment Dates, 13;

Added a requirement to modify the estimated start date or cancel the deployment in certain circumstances

2.0 11/21/2014 SPOT PMO CA Business Rules / Countries to be Visited, 13; Changed the rule for Countries to be

Visited

2.0 11/21/2014 SPOT PMO CA Business Rules / Complete Eligibility

Requirements and Establish Deployment

Itinerary, 15; Added a requirement to update weapon information

2.0 11/21/2014 SPOT PMO Appendix 1: Abbreviations, 19; Updated

Abbreviations as necessary

2.0 11/21/2014 SPOT PMO Appendix 2: Definitions, 22; Removed

Dependents Authorized and Fuel Authorized

2.0 11/21/2014 SPOT PMO Appendix 3: Sample LOA, 26; Replaced with new LOA sample

3.0 2/2/2015 SPOT PMO CA Business Rules/ 12; Added new FIN rules procedure

4.0 2/20/2015 SPOT PMO Compliance/ Updated with updated

CENTCOM Class Deviation 2015-O0009/ pg.

4.0 2/20/2015 SPOT PMO CA Business Rules/ Inserted new mandatory guidance for the visa information pg. 15

PURPOSE

This document facilitates the implementation of the Synchronized Predeployment and

Operational Tracker (SPOT) as the federal government database for the tracking and accountability of contractor…