Appendix H - Corrective Action Request (CAR).pdf

CORRECTIVE ACTION REQUEST (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR 2. CONTRACT NUMBER 3. TYPE OF SERVICES

4. FUNCTIONAL AREA 5. SUSPENSE DATE 6. CONTROL NUMBER

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (QAP)

TYPED NAME AND GRADE SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE SIGNATURE AND DATE

10. QAP RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. QAP DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

Corrective Action Request (CAR) Instructions

Block 1. Enter Contractor Name. Block 2. Enter Contract Number. Block 3. Enter Contract Name or Type of Services. Block 4. Enter Functional Area of the Contract.

Block 5. Enter the assigned suspense date given the contractor to provide a response to the CAR. A date must be entered for a Major CAR. A date is optional at the discretion of the Quality Assurance Personnel (QAP) initiating the CAR if the finding is Minor.

Block 6. All CARs will be tracked with a Control Number. The functional commander/functional director is the Issuing Authority for his/her contract Quality Assurance Evaluators (QAPs) generating CARs. By providing the control number to the QAP originating the CAR, the Issuing Authority demonstrates concurrence with the finding. The control number will be made up of the first two letters of the name of the site or contract, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., WP04-001).

Block 7.

1. Check the block that indicates whether the identified deficiency is assigned as a Major or Minor finding.

See QASP for the definitions of Major and Minor findings and associated explanations.

2. Finding: Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, section, paragraph and subparagraph and must make a complete brief quotation of the contract reference.

3. State the impact that the finding has or could have on the accomplishment of the mission that the contract provides.

4. When determining how long to give the contractor to respond to the identified finding, the normal is 10 working days. The suspense date should reflect this unless the finding requires a greater amount of time to come to solution. Major findings require a contractor response. Minor findings may require a contractor response at the discretion of the QAP initiating the CAR and/or the Issuing Authority.

Blocks 8 and 9. Contract QAPs initiating a CAR must sign in Block 8 and the Issuing Authority signs in Block 9. Each annotates the date at the time of signature.

Block 10. Upon review of the contractor’s reply, the originator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The QAP selects Accept or Reject after reviewing the contractor’s response.

Block 12. The QAP enters a close date after advising the Issuing Authority that the contractor’s response is acceptable and the Issuing Authority concurs. The Issuing Authority will then forward the closed CAR to the contractor and report accordingly in the monthly COR report. This routing remains the same if the contractor response is unacceptable and the CAR remains open until an acceptable response is received except that the Issuing Authority forwards the open CAR back to the contractor for additional information.

Continuation Sheet. A Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

LACDA/SARB CHANNEL, LEVEE, BASIN INSPECTION AND MAINTENANCE SERVICES

LOS ANGELES DISTRICT

OPERATIONS DIVISION

USACE - SPL DISTRICT, CALIFORNIA

November 20, 2019

LACDA/SARB Channel, Levee, Basin Inspection and Maintenance Services/SPL

RFP W912PL-20-R-0022

Reviewed By:

Alex Martinez

Maintenance Management Specialist U.S. Army Corps of Engineers, Los Angeles District

Operations Division, Technical Support Branch

Requiring Activity

Sandra Oquita/Tracey Daggy

Contracting Officer U.S. Army Corps of Engineers, Los Angeles District

Contracting Division

1. PURPOSE

1.1. The role of the government in quality assurance is to ensure contract standards are achieved. The purpose of the QASP is to identify the methods and procedures the government will use to evaluate Contractor actions while performing the requirements in the Performance Work Statement (PWS). It is designed to provide an effective surveillance method by monitoring Contractor performance for each listed performance objective in the Performance Requirements Summary, attached hereto and incorporated into the contract’s PWS.

1.1.1. The QASP provides a systematic method to evaluate the services the Contractor is required to furnish. The QASP is based on the premise the government desires to maintain a high quality standard of inspection and maintenance of Los Angeles County Drainage Area and Santa Ana River Basin Channels and Levee Systems through Inspection and Maintenance Services for Operations Division, Los Angeles, CA. A service contract is the best means of achieving that objective.

1.1.2. The QASP has been developed by the requiring activity. It is designed to provide direction to personnel performing contract surveillance activities. Personnel surveying the contract terms and conditions and PWS requirements may periodically review the QASP throughout the life of the contract.

1.1.3. Revisions to this QASP are the joint responsibility of the requiring activity and the contracting office. The Contracting Officer (KO) must approve any revisions in writing before being used by Contracting Officer Representative (COR) personnel.

2. ROLES AND RESPONSIBLTIES

2.1. Contracting Officer Representative (COR): The COR is the Performance Assessment Personnel (Quality Assurance Personnel i.e. QAP) and is responsible for quality assurance guidance and to ensure that contract quality requirements, provision, standards, and thresholds are defined, practical, enforceable, necessary, and verifiable.

2.1.1. The COR evaluates and documents Contractor performance in accordance with the QASP and PWS.

2.1.2. The COR tallies all inspections/surveillance issues on the Service Summary (Exhibit A) at the end of each reporting period (normally monthly) and inputs a COR Monthly Report into the Officer Representative Module (CORM) database.

2.1.3. The COR notifies the Contracting Officer of any significant performance deficiencies.

2.1.4. The COR maintains surveillance documentation.

2.1.5. The COR recommends improvements to the QASP and PWS throughout the life of the contract.

2.1.6. The COR certifies Contractor invoices for validity.

2.2. Contracting Officer (KO): The KO is responsible to safeguard the interests of the United States in contractual relationships. Only the KO is authorized to bind the government and then, only to the extent of the authority delegated to them through the issuance of a warrant.

2.2.1. The KO delegates authority for inspection and/or acceptance in accordance with terms of the contract.

2.2.2. The KO informs the Contractor of the names, duties, and limitations of authority for all quality assurance personnel assigned to the contract.

2.2.3. The KO approves changes in contract terms and conditions via contract modifications.

2.2.4. Contracting Monitor (CM): The CM will be the Performance Assessment Personnel (Quality Assurance Personnel i.e. QAP) who is accountable for the Channel and Levee Inspection and Maintenance Services systems receiving maintenance and repair services at CORPS O&M facilities.

2.2.5. The CM generally works at the Maintenance Yard in S. El. Monte, CA., but will ensure that the Contractor has full access to the four sites so that the Contractor can provide timely inspections, maintenance and repair services.

2.2.6. The CM reviews the Contractors maintenance and repair services, annotates and signs the FEM work order and E-mails the FEM work order to the COR. The CM shall grade the performance by circling either ‘Excellent’, ‘Satisfactory’, ‘Marginal’, or Unsatisfactory.

2.3. DOCUMENTATION REQUIREMENTS

The COR is responsible for maintaining a Contract Surveillance Folder over the contract life cycle. The following information should be contained in the Surveillance Folder:

2.3.1. Quality Assurance Surveillance Plan (QASP)

2.3.2. Contractor’s Quality Control Plan

2.3.3. Contract: Applicable portions of the contract.

2.3.4. Appointment Letters and Training Certificates of the COR

2.3.5. Minutes/Memo’s or any Miscellaneous Correspondence

2.3.6. Customer Complaints Record (CCR) (Exhibit C)

2.3.7. Corrective Action Request (CAR) (Exhibit D)

2.3.8. Performance Assessment Report (PAR) (Exhibit E)

QUALITY REQUIREMENTS

Quality Control Program (QCP): The Contractor, not the Government, is responsible for management and quality control actions to meet the terms of the contract.

3.1. The QCP is the driver for quality. The Contractor is required to develop a comprehensive program of inspections and maintenance and repair actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program, approved at the beginning of the contract, provides the measures needed to lead the

Contractor to success.

3.2. The Contractor will provide a Quality Control Plan prior to the Post Award Conference to ensure timely review by the COR.

3.3. Once the Contractor’s Quality Control Plan is accepted, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program.

PERFORMANCE REQUIREMENTS AND ASSESSMENTS

4.1. The Contractor shall provide all personnel, equipment, tools, materials, vehicles, supervision, and other items necessary to perform the Channel and Levee Inspection and

Maintenance Services Maintenance and Repair Services Contract for the C O in accordance with the Performance Work Statement for those locations identified in the contract.

4.2. The Performance Requirement Summary (PRS) summarizes the performance objectives of the PWS, minimum standard that must be met, monitoring method, and established acceptable quality levels required by the Government to the Contractor’s performance.

4.3. Performance of services will be surveyed and evaluated to determine whether or not it meets the performance thresholds listed in the PRS.

MONITORING CONTRACT PERFORMANCE

5.1. Surveillance Team and Schedule:

5.1.1. The surveillance team consists of the following key players: Contract Monitor, Contracting Officer Representative, and Contracting Officer.

5.1.2. The CM will inspect the quality of the services daily.

5.1.2.1. The Contracting Officer Representative (COR) will inspect the premises randomly and not on a fixed schedule.

5.2. Surveillance Methods: This QASP will incorporate Validated Customer Complaints, 100% Maintenance and Repair Inspection Surveillance, and Periodic Inspections as the approaches to ensure the Contractor complies with the PWS requirements.

5.2.1. Validated Customer Complaints: Services will be under surveillance using this surveillance method. Anyone who observes unacceptable services, either incomplete or not performed, shall immediately submit a Customer Complaint Record (CCR) to the CM. If a customer notifies the CM either verbally or by email of a complaint, but does not submit a CCR, the CM will generate the CCR to document the complaint and forward to the COR.

5.2.2. The COR will conduct an investigation to determine the validity of the complaint.

5.2.3. If the COR determines the complaint to be valid, the COR will document the findings and notify the CM and the Contractor. The COR will retain the annotated copy of the CCR for the government’s files. If the complaint is valid, the CCR will be forwarded to the Contractor for corrective action. The COR will consider the customer complaint resolved unless notified otherwise by the CM.

5.2.4. The CM will notify the COR if the defect is not corrected timely or satisfactorily.

The COR will notify the Contractor that they are subject to contract remedies.

5.3. Inspections:

5.3.1. 100% Daily Inspection: The CM will monitor Contractor performance.

5.3.2. Random Inspections: The COR will monitor Contractor performance.

6. INSPECTION/ACCEPTANCE OF SERVICE

6.1. Starts with Contractor QC Plan; QC Manager responsible for ensuring good program in place. Contractor is responsible for ensuring inspections are conducted in accordance with its approved QC Plan.

6.2. The Government reserves the right to inspect and survey all services called for in the contract to determine whether or not the performance objectives and goals were met.

6.3. If inspection of services is in progress and a potential non-conformance is observed, the notice may be made verbally to the Contractor.

6.4. Inspection Process:

6.4.1. Acceptance of Services is predicated on meeting minimum acceptable timeliness and quality standards as identified in the PRS.

6.4.2. The COR will tally all individual inspections (daily and periodic) at the end of each reporting period (normally monthly) on the Performance Assessment Report (PAR).

6.4.3. If minimum number of individual inspections for each area have passed IAW the standards in the contract and QASP, Contractor performance is acceptable.

6.4.4. If number of passed inspections is below the minimum in any inspected area, the non-conformance(s) must be addressed and potential remedies reviewed.

6.5. Documentation Process:

6.5.1. Document where and when the inspection was completed, whether services were being performed at the time of the inspection.

6.5.2. Justification must be complete in order to providing substantiating evidence to execute remedies or to provide supporting documentation for acceptance.

6.5.2.1. The primary form used to document surveillance activities will be the Performance Assessment Report (PAR). The PAR will be used by all team members to document surveillance activities conducted.

6.5.2.2. All non-conformances will be documented on a Corrective Action Request (CAR). Each CAR will be annotated as either a Major nonconformance or Minor nonconformance.

Nonconformance Level (1) Definition Response Time

Major A nonconformance that is likely to result in failure of the services or to materially reduce the usability of the services for their intended purpose.

24 Hours

Minor A nonconformance that is not likely to materially reduce the usability of the services for their intended purpose or is a departure from established standards having little bearing on the effective use of the services

48 Hours

6.6. The COR’s monthly report to the KO should provide details of inspection issues and any corrective actions requested of the Contractor.

7. REMEDIES

7.1. NON-CONFORMING/UNSATISFACTORY PERFORMANCE is defined as any service that does not conform in all respects to the contract requirements. It may be a failure to meet specifications, delivery dates, have defects, quality problems, or not produce the outcome required by the contract terms and conditions among other potential discrepancies.

7.2. If the number of complaints/defects exceeds the performance threshold listed in the monthly Acceptable Quality Level (AQL) for any objective, the COR will determine the possible cause of the unacceptable performance. If the Contractor’s performance is judged unacceptable for failing to perform any requirement in the PWS and/or the checklist, then the COR will inform the Contractor of the discrepancy and refer the matter to the Contracting Officer for resolution.

7.3. Any discrepancies detected during the course of the surveillance, even if not of sufficient degree to render the service non-conforming/unsatisfactory performance will require corrective action by the Contractor. Either the CM or the COR will notify the Contractor of the deficiency as soon as it is noticed.

7.4. Any discrepancies detected during the course of the surveillance, even if not of sufficient, the COR should notify the Contracting Officer when the services do not meet requirements and should provide the Contracting Officer with documentation on the number of observations made, the number and type of problems, actions taken to notify the Contractor, and any corrective actions already taken by the Contractor.

7.5. The absence of any contract requirement from the PRS shall not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract including the clauses 52.212-4 Contract Terms and Conditions—Commercial

(a) Inspection/Acceptance and (m) Termination for cause”.

7.6. Contractual Remedies

7.6.1. Re-performance of services (desired whenever possible)

7.6.2. Corrective Action Request (CAR)

7.6.3. Letter of concern, cure notice, show cause notice

7.6.4. Termination for default

7.6.5. Contractor Performance Assessment Report (CPARS)

7.6.6. Customer Complaint Form

8. PERFORMANCE REQURIEMENTS SUMMARY (PRS)

PWS

Section REQUIREMENTS

QUALITY

STANDARD

TIMELINESS

STANDARD

ACCEPTABLE

QUALITY

LEVELS

(AQL)

METHOD

OF

SURVEILLANCE

I Description of Services by Contractor

Para.1 PM/QCP Provides Written Schedule

Provide a monthly schedule for C&L Maintenance, to the COR

By the 5th day of each month after the initial schedule

Requirement Met or Not Met

COR or Customer Complaint

I Para.

1.1a

Written AHA and APP for Routine Level I Maintenance

Follows Approved AHA and APP

Throughout Contract Life

Requirement Met or Not Met

COR or Customer Complaint

I

1.5 Written Work plan

Routine Level I Maintenance

Maintains Work Schedule Starts Work and Completes Work for Scheduled Events

Requirement Met or Not Met

COR or Customer Complaint

II

Para.

2.1.1 thru 2.1.14

Inclusive

Level of Effort Performs work at or above the PWS

Meets or exceeds the

PWS

Requirements

Requirement Met/Not Met or Exceeded

COR or Customer Complaint

USACE

Los Angeles District (SPL)

Operations Division Technical Support Branch

Channel, Levee, Basin Inspection and Maintenance Services Contract

Quality Surveillance Plan Signature Page

The Contractor’s signature is not required. The contract will serve as the binding agreement.

Contracting Officer Date

Contract Specialist/Administrator Date

Primary Quality Assurance Person Date

Primary Contract Monitor Date

Contractor (Post-award) Date