JA44_Quality_Assurance_Surveillance_Plan_(QASP).pdf

DLA Energy Utility Services

Quality Assurance Surveillance Plan

(QASP)

Template

(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.)

17 May 2013

Version 1.0

Defense Logistics Agency Energy, Utility Services Division, Internal Support Branch

UP QASP – Contract No. SP0600-XX-C-XXXX (Installation Name, State) (system(s))

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 & Replacements Plan

e. Other Areas to be Monitored

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 & 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

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

Appendix F – CHECKLIST – Service Interruption Contingency and Catastrophic Loss Plan

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

1. Meetings 4. Data Transfer

2. Plans and Operation Initiatives 5. Environmental Compliance

3. System Deficiency Corrections / Renewals / Replacements

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

1. Project Review / Master Planning 3. Post-Project Completion Actions

2. Specific Project Planning

Appendix I – CHECKLIST – Other Areas to be Monitored

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 asses the technical and management requirements of this contract. This QASP is an attachment to the US contract. However, it is important to note that this QASP is 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 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 Performance Work Statement (PWS) 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 Control Plan that complements the Performance Plan insuring that non-conforming contract services are identified and corrected. The SO will perform for the Government 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

2) Timeliness of Performance / Adherence to Schedule

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/Replacement/Upgrade Work

iii. Incorporation of Value-based Engineering Concepts

iv. Plan/Approach for Review of Contract Financial Status

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

Related Issues

vi. Accuracy & Clarity of Billings

4) 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) Management of Key Personnel

i. Staffing Stability -- Levels and Key Personnel

ii. Qualifications & Relevant Experience of Personnel

(Note: The five general areas in I.d 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 will 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 and the Annual Corrections/Upgrades/ Connections/R&R Plan)

iii. Review of Invoices/Payments (e.g. verification of the accuracy of submitted invoices and payment receipts for all billable costs, to include travel and miscellaneous expenses)

iv. Sample Reviews (e.g. review of operation & 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 their 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: http://www.cpars.csd.disa.mil/ (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 of 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.

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). Information in PPIRS will serve as a valuable Government source of SO past performance information for future solicitations upon which the SO may offer.

i. PPIRS training can be accessed at:

http://www.ppirs.gov/webtrain/webtrain.htm

h. Performance Documentation

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

ii. Acceptable performance. The Government will document performance that meets or exceeds minimum task order 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.

iii. 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.

iv. Summary of Methodology & Purpose for Performance

Documentation. The reports & 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 Contracting Officer’s Representative Training (CORT) tool, 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 as a result 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 CORT Tool every month. Report should serve as a compilation/summary of the results & 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 adequately and effectively 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.

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

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; 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 System Deficiency Corrections/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.

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.

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 template.

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).

b. Review Section C of the RFP

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.)

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 J” requirements become part of the actual contract upon award.)

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.

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 Privatization 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 & 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

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 multi-functional team members’ signatures below indicate their review and acceptance of the Quality Assurance & 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)

Signature/Date (insert name of utility company rep) (insert company name & title)

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.)

(Back to Table of Contents)

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

Performance Report Form

Appendix C

CONTRACT DISCREPANCY REPORT (CDR) (DD Form 2772)

(Used to formally document discrepancies)

(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 this form can be found at:

http://www.dtic.mil/whs/directives/infomgt/forms/dd/ddforms2500-2999.htm

Appendix D

COR MONTHLY REPORT TO THE CONTRACTING OFFICER

(DoD CORT Tool Reporting Requirement)

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

(Back to Table of Contents) The COR shall complete a COR Monthly Report 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 in accordance with a mutually established submittal schedule.

COR Monthly Report to the Contracting Officer (pg. 1)

Appendix D

COR MONTHLY REPORT TO THE CONTRACTING OFFICER (cont’d)

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

Appendix E

OPERATIONAL TRANSITION PLAN -- 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.)

(Back to Table of Contents)

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. UP Contract Document – DLA Energy Contracting Staff ensures that the UP 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 confirming frequency of submittal.

SO will acknowledge and provide comments to report requirements

Initial N/A J/L/C Sections

(insert correct reference(s) to be

OPERATIONAL TRANSITION PLAN -- CHECKLIST (cont’d)

2. Conduct Post-Award Orientation Conference:

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

SO

SO and the 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

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

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.

The SO prepares and organizes for the O&M Transition Meeting, to include provision of recommended meeting

Initial N/A C/L Sections

(insert correct reference(s) to be

3. Permits and Leases/Easements:

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

topics to the COR.

The SO ensures that all required personnel attend this meeting b.

COR Review of Operational Transition Plan – COR reviews the UP Contract Transitional Plan for accuracy

The SO verifies that the contract information is correct

As needed Once a month C/L Sections

(insert correct reference(s) to be

c. Utility System Conveyance Meeting – COR sets up a future Utility System Conveyance Meeting between Installation Personnel and SO

SO will ensure that all key personnel are in attendance at this meeting.

Initial COR will record a Memorandum for Record

(MFR) for this action

C/L Sections

(insert correct reference(s) to be

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

The UP SO provides a specific listing to the COR, along with status, of all permits the SO will be responsible for

As required Assessment of Deliverables Sections C.3, C.6, C.9. C.10, and L.4

(insert correct 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.

under the contract. consistent with actual contract)

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.

As required As required C/L Sections

(insert correct reference(s) to be

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 their understanding of the Installation’s Digging Permit procedures, to include:

the Installation office(s) with which to coordinate line

Monthly Permit status reports

During and after the Post Award Orientation

Conference

C/L Sections

(insert correct reference(s) to be locate actions the maximum number of free line 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

d. Review of Current Agreements for Appurtenances Attached to Utility System Infrastructure

– The COR ensures that all applicable Offices of Primary 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

The SO will:

confirm understanding of the current agreements and associated attachments 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).

After the Post award

Orientation Meeting

As required C/L Sections

(insert correct reference(s) to be

4. Security Requirements:

agreements associated with each attachment are provided to the SO.

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 C/L Sections

(insert correct reference(s) to be

b. SO Vehicle Registration, Insurance, Installation Acces

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

The SO ensures that their 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

As required C/L Sections

(insert correct reference(s) to be

5. Budget/IT Requirements:

thereafter

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 Section C.5

(insert correct reference(s) to be

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 C/L Sections

(insert correct reference(s) to be

b. Initial IT Requirements Meeting – The KO/COR conducts initial IT

The SO will inform the Govt of all IT requirements that will be

As required As required C/L Sections

6. SO Personnel Policies:

Communications meeting w/SO to discuss the IT requirements for Communications under the Utility Services contract.

needed/required and specify all required IT software packages; SO confirms its IT Communications Plan does not interfere with the Installation’s communications frequencies.

consistent with actual contract)

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 and COR will discuss all IT requirements 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 frequencies.

As required As required C/L Sections

(insert correct reference(s) to be

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

C/L Sections

(insert correct reference(s) to be

b. Invoice & 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

C/L Sections

(insert correct reference(s) to be

7. Joint Inventory:

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 the all pertinent inventory information is captured and recorded and a full concurrence meeting with all parties occur as it relates to this inventory

Initial start of contact

Constantly C/J/L Sections

(insert correct reference(s) to be

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 the 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

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 Govt/SO

C/J/L Sections

(insert correct reference(s) to be

8. Service Requirements:

9. Records Management:

Method of Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Verification of Service Support Requirements – KO/COR verifies all service requirements from the SO, i.e.

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

The SO submits a detailed list of all service requirements to COR and KO for review and appropriate action.

As required As required C/J/L Sections

(insert correct reference(s) to be

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

10. Environmental Compliance:

Occurrence

Method of Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Initial Installation Environmental Meeting – The COR arranges for an Installation Environmental meeting between SO and Government

SO will discuss all applicable environmental concerns/issues with Installation Environmental Personnel

Initial N/A C/J/L Sections

(insert correct reference(s) to be

b. Identification of RCRA and CERCLA-listed Sites on the Installation – The COR ensures the identification of all RCRA-listed sites (current “cradle-to-grave” operations managing generated hazardous wastes) and CERCLA-listed sites (contaminated from past operations) are clearly identified, documented, and communicated to the SO.

Arrange for an Installation Environmental meeting with the SO and Government representatives.

SO must acknowledge to COR the receipt of the Installation’s RCLA and CERCLA listed site information (maps, site condition information, reports, site agreements, etc).

SO will ensure the proper arrangements and precautions are taken when conducting daily operations in these areas.

After the Post Orientation Conference

Meeting minutes and follow-on memos/letters documenting transfer of the information/documentation.

C/J/L Sections

(insert correct reference(s) to be

COR ensures appropriate environmental information supplied by the Installation Environmental Office (maps, site condition information, reports, site agreements, etc) is provided/communicated to the SO.

11. Contingency Operations:

Method of Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Installation Contingency Operations Plan Briefing – The COR/KO briefs the Installation Contingency Operations Plan to the SO and discusses specific, applicable support requirements for execution under the UP contract.

KO/COR and SO will discuss a plan of operations for support of Contingency Operations at the Installation

Initial start of contact

Continuous C/J/L Sections

(insert correct reference(s) to be

b. Installation Contingency Operations Formal Support Agreement – The KO/COR will ensure an appropriate agreement is conveyed/developed describing all pertinent aspects of Operational Contingency Functions support that is required of the

SO.

The SO will ensure that a detailed Contingency Checklist, consistent with the terms of the conveyed/developed support agreement, is developed, and coordinated with the

KO/COR.

Initial COR will ensure a Memorandum for Record

(MFR) or other appropriate document is recorded for this action

C/J/L Sections

(insert correct reference(s) to be

Appendix F

SERVICE INTERRUPTION CONTINGENCY & CATASTROPHIC LOSS PLAN -- CHECKLIST

(NOTE: This Appendix serves as a checklist to ensure actions necessary for sufficient monitoring of the SO’s Service Interruption Contingency & Catastrophic Loss Plan – and the SO’s associated demonstrated actions for compliance – are accomplished by the COR and other Government representatives…Do not include this note as part of final QASP document.)

(Back to Table of Contents)

Item # COR Action / Requirement SO Requirement Frequency of Occurrence

Method of Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Receipt of Initial Service Interruption Contingency & Catastrophic Loss Plan – KO/COR will ensure receipt of SO’s initial Service Interruption Contingency & Catastrophic Loss Plan.

(Temporary Editor Note:

Ensure yellow-highlighted COR action requirements are consistently displayed in Appendices E, G, and H for the other three major plans.)

SO will ensure its initial Service Interruption Contingency & Catastrophic Loss Plan has been submitted to the COR.

Upon award of contract

COR/KO will perform review of all submitted documents

C/L Sections

(insert correct reference(s) to be

b. Verification and Coordination of Initial Service Interruption Contingency & Catastrophic Loss Plan – KO/COR will ensure initial Service

N/A

(Internal Government activity)

Upon award of contract

COR/KO will perform review of all submitted documents

C/L Sections

(insert correct reference(s) to be

SERVICE INTERRUPTION CONTINGENCY & CATASTROPHIC LOSS PLAN -- CHECKLIST (cont’d)

Interruption Contigency & Catastrophic Loss Plan is reviewed/verified by the appropriate Installation personnel and comments/feedback are gathered. Installation personnel may include, but not be limited to:

Fire & Law Enforcement

Safety

IT/Communications

Civil Engineering/DPW

Environmental

Installation Leadership

Hospital

c. Feedback/Discussion of Initial Plan – COR/KO ensures discussions/meetings are arranged with the SO (as necessary) to address any issues or questions related to the initial Plan. The appropriate Installation personnel will also participate in these discussions/meetings, as necessary.

SO will ensure it is available to discuss with Government representatives, as necessary.

Upon award of contract

Assessment of Deliverables C/L Sections

(insert correct reference(s) to be

d. Receipt of Proposed Changes to Service Interruption Contingency & Catastrophic Loss Plan – KO/COR will ensure that any adjustments/revisions to the SO’s Service Interruption Contingency & Catastrophic Loss Plan (proposed by the SO) are received from the SO.

SO will ensure any proposed adjustments/revisions to the Service Interruption Contingency & Catastrophic Loss Plan are submitted to the COR in a timely manner, accompanied with clear supporting rationale/justification.

As needed Assessment of Deliverables C/L Sections

(insert correct reference(s) to be

e. Feedback/Discussion of Proposed Changes to Service Interruption Contingency & Catastrophic Loss Plan – COR/KO ensures discussions/meetings are arranged with the SO (as necessary) to address any issues or questions related to proposed changes to the Plan. The appropriate Installation personnel will also participate in these discussions/meetings, as necessary. Installation personnel may include, but not be limited to:

Fire & Law Enforcement

SO will ensure it is available to discuss with Government representatives, as necessary.

As needed Assessment of Deliverables C/L Sections

(insert correct reference(s) to be

Safety

IT/Communications

Civil Engineering/DPW

Environmental

Installation Leadership

Hospital

f. Oversight of Service Interruption Contingency & Catastrophic Loss Plan – COR/KO will provide oversight of the Plan, to include the ongoing development of this action item checklist.

SO responded to service requests in accordance with response time requirements identified in the contract.

Upon award of contract

Sample Reviews C/L Sections

(insert correct reference(s) to be

g. Coordination of Scheduled Utility Service Outages – COR will verify each scheduled service outage is coordinated with all affected parties a minimum of two weeks in advance. In addition to the directly affected organization, ensure coordination with appropriate Installations reps (i.e. Fire Department, Engineering, etc).

SO will provide notification to affected parties IAW established policy as part of the contract.

As required Direct Observation

Review of Invoices/Payments

Section C.X of Contract

(insert correct reference(s) to be

h. Re-scheduling of Work Requiring Service Interruption – COR will verify, in writing, the SO’s policy regarding the re-scheduling of service interruptions due to mission requirements.

If additional charges may result, determine the factors that would lead the SO to request for additional charges.

Review this policy with appropriate Installation reps (i.e. Fire Department, Engineering, etc.) as necessary.

Verify the proper dissemination of policy to affected parties/ organizations (including Facility Managers).

SO will provide notification to COR, and affected parties, of the date/time work can be re-scheduled. Also, SO will notify COR (with supporting rationale) if additional charges will be requested as a result of the re-scheduling.

As required Direct Observation Section C.X of Contract

(insert correct reference(s) to be

i. Re-validation of SO’s Service Request Procedures –COR will annually coordinate a review of the SO procedures in place for receiving, processing, SO will make available to the COR – and meet to discuss -- all necessary documentation related to

Annually Assessment of Deliverables Section C.X of Contract managing, and acting upon service requests.

Review criteria/definitions used for classifying Service requests.

Confirm the completeness of typical information taken during initial receipt and follow-up of service call (i.e.

the time of call, time of response, cause of the request, action taken, and time and date of completion)

Review service call log to assess track record on service call responses.

o Identify any positive/negative trends.

o Verify whether service calls are being resolved within established time limits.

the SO’s service call operation.

Appendix G

OPERATIONS & MAINTENANCE / QUALITY MANAGEMENT PLAN -- CHECKLIST

(NOTE: This Appendix serves as a checklist to ensure actions necessary for sufficient monitoring of the SO’s Operations & Maintenance / Quality Management Plan – and the SO’s associated demonstrated actions for compliance – are accomplished by the COR and other Government representatives…Do not include this note as part of final QASP document.)

1. Meetings:

Method of Surveillance/Monitoring

Contract Reference, Section/Paragraph

Remarks Check

a. Establish Post-Award Orientation Conference – COR sets up a Post-Award Orientation Conference with the

SO

COR establishes subsequent follow-on meetings, as necessary.

The SO prepares and organizes for the O&M Transition Meeting, to include provision of recommended meeting topics to the COR.

Initial activation of O & M plan and as needed

Assessment of Deliverables

Direct Observation

(Weekly status meetings)

(insert correct reference(s) to be

b. Final Inventory Reconciliation Meeting – KO/COR will perform a final Inventory Reconciliation Meeting w/SO to ensure accuracy of system inventory being transferred to the SO prior to Contract Start Date.

The SO will reconcile all inventory discrepancies noted before activation of O & M plan…