Atch 09 Grounds MX - QASP.pdf

Quality Assurance Surveillance Plan

(QASP)

FOR

GROUNDS MAINTENANCE SERVICES

1 October 2024 – 30 September 2029

Original: 26 April 2024

SHEPPARD AIR FORCE BASE (SAFB), TEXAS (TX)

FREDERICK AUXILIARY AIRFIELD, OKLAHOMA

SHEPPARD AFB ANNEX AT LAKE TEXOMA, TX

1. OVERVIEW. This Quality Assurance Surveillance Plan (QASP) details how the Grounds Maintenance Services (“Grounds”) contract will be managed upon award by the multi-function team (“the team”) throughout its life cycle. This plan will focus on the level of performance required by the Performance Work Statement (PWS), and the methodology or processes used for surveillance. This QASP is a living document and will be revised or modified by members of the acquisition team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Service Provider performance is maintained.

2. OBJECTIVE. The objective of the Grounds contract is to provide non-personal services, to include all personnel, equipment, tools, supervision, and other items and services necessary to ensure performance of grounds maintenance located at Sheppard Air Force Base (SAFB), Texas, Frederick Auxiliary Airfield, and Sheppard Annex at Lake Texoma, Oklahoma.

3. GOALS. By virtue of this QASP, the team will manage this contract and strive to achieve efficiencies, improved customer service and Service Provider performance, and cost savings. Additional goals are as follows:

Maximize performance Encourage innovation Promote performance-based services Increase awareness that performance-based services require participation from all team members

4. ROLES AND RESPONSIBILITIES.

Contracting Officer (CO) Contract Administrator (CA) Requiring Activity (e.g., Services Acquisition Lead (SAL), Contracting Officer’s Representative

(COR)

Quality Assurance Program Coordinator (QAPC) Service Provider Other Key Government Personnel (if applicable)

4.1. Contracting Officer (CO)/Contract Administrator (CA)

4.1.1. Ensures open communication is maintained between all parties, pre- and post-award.

4.1.2. Delegates authority for inspection and/or acceptance to COR in accordance with the terms and conditions of the contract.

4.1.3. Informs the Service Provider of the names, duties, and limitations of authority for all COR assigned to the contract.

4.1.4. Annually assesses COR performance.

4.1.5. Manages Service Provider performance assessment data that may include submitting Contractor

Performance Assessment Reporting System (CPARS) reports or management of services process reports.

4.1.6. Issues contract modifications as necessary.

4.1.7. Takes appropriate action should unacceptable contract performance occur.

4.2. Requiring Activity (e.g., COR Supervisor, SAL)

4.2.1. Ensures requirements documents developed by the team satisfy mission requirements, are performance-based, foster innovation, and define metrics. Assists in preparation of PWS and QASP and obtains CO coordination on the final product.

4.2.2. Nominates individuals as COR who are qualified through required PIEE, Phase II, and Job Specific training. and experience commensurate with the delegation.

4.3. Contracting Officer’s Representative (COR): The COR is responsible for providing continuous technical oversight of the Service Provider’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the Service Provider’s actual performance. The purpose is to ensure that the Service Provider meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the CO. The COR is required to provide an annual performance assessment to the CO which will be used in documenting past performance in the Contractor Performance Assessment Report (CPAR). The QASP is the primary tool for documenting Service Provider performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

4.3.1. Develops technical requirements and independent cost/Government estimates for contract services.

4.3.2. Evaluates and documents the Service Provider’s performance in accordance with the procedures set forth in this QASP.

4.3.3. Immediately notifies the CO of any significant performance deficiencies.

4.3.4. Maintains assessment documentation throughout the life of the contract.

4.3.5. Certifies acceptance of services as required.

4.3.6. Promotes business decisions to meet customer requirements by researching the marketplace to remain current with the most efficient and effective performance assessment methods and techniques.

Performs market research throughout the life of the requirement to ensure the team is knowledgeable of the commercial marketplace.

4.3.7. Fosters partnerships with industry to ensure exchanges of information with the service industry and other business experts.

4.3.8. Identifies opportunities to improve performance throughout the life of the contract, including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

4.3.9. Recommends any changes necessary to the contract, PWS, QASP, or other requirements to provide more effective operations or eliminate unnecessary costs.

4.3.10. Complete COR specific “refresher training” as required by DoD standards for COR every third year.

4.3.11. Submits monthly reports on Service Provider performance (and any other documents to maintain the online file as required) utilizing SPM. (See SPM QASP paragraph below).

4.4. Quality Assurance Program Coordinator (QAPC)

4.4.1. Coordinates all aspects of the quality assurance program.

4.4.2. Participates in the acquisition team.

4.4.3. Reviews and coordinates on PWS and QASP.

4.4.4. Provides training for the COR supervisor and all COR as required.

4.4.5. Reviews and coordinates on all changes to the PWS and QASP.

4.5. Service Provider

4.5.1. Complies fully with the terms and conditions of the contract.

4.5.2. Participates as a member of the multi-functional team in the post-award management phase.

4.5.3. The Service Provider will maintain and implements an internal Quality Control Plan (QCP) that compliments the QASP and available upon request to the CO for review if a trend of quality concerns arise. Federal Acquisition Regulation (FAR) 12.208).

4.5.4. Ensures that non-conforming contract services are identified and corrected. QCP is revised to prevent recurrence if applicable.

4.5.5. Tenders to the Government for acceptance only those services that conform to contract requirements.

4.5.6. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

4.5.7. Service Provider, Service Provider personnel, subcontractor, or subcontractor personnel must comply with the requirements of the clause at FAR 52.222-50, Combat Trafficking in Persons.

4.5.8. Other Key Government Personnel (if applicable): This may include performance monitors, inspectors, technical experts, or others who provide information that helps the COR monitor Service Provider performance. For example, the airfield management team (80TRW Safety, USDA Wildlife representative, and Airfield Manager) and Natural Cultural Resource Program Manager will be key government personnel.

5. PERFORMANCE ASSESSMENT. This section identifies the process that measures success towards achieving defined performance objectives or goals defined within the performance thresholds in the Services Summary (SS), or the process of assessing progress towards achieving the objectives/goals developed in this QASP or partnering agreement.

5.1. Surveillance Approach: The intent of this plan is to primarily rely on the Service Provider’s internal quality control processes, changing the government’s role from “oversight” to “insight”. The team’s original surveillance approach may not stay the same throughout the duration of the contract; therefore, all government evaluators should be prepared to update the surveillance approach when necessary.

The goal of our surveillance approach is to gain confidence in the Service Provider’s way of doing business and then adjust the level of insight to a point that maintains that confidence.

5.1.1. Quality assurance will be based on the Government’s evaluation of Service Provider’s results. All services performed must meet the prescribed performance objectives stated in the SS to be regarded as acceptable.

5.1.2. Surveillance may be accomplished by direct observation of Service Provider performance in progress, end results of Service Provider performance, Customer Feedback, Customer Survey, Service Provider and Government Data and Documentation Review, and Service Provider Meetings, as specified in the services summary.

5.1.3. The list of Services Summaries will be verified as contractually compliant by government personnel;

however, inspection of any contract requirement is authorized.

5.1.4. Each performance objective includes a government determined performance threshold and the procedures used to ensure these standards are met.

SERVICES SUMMARY (SS)

Performance Objective PWS Para Performance Threshold Remedy Method of

Assessment SS-1 Maintain Improved, athletic, parade field and specialized Grounds

1.1, inclusive

No more than five (5) valid defects per month

Re-performance completed within 8 hours of notification.

Weekly surveillance or valid customer complaint.

a. Mow

b. Edge

c. Trim

Written response to corrective action report due by 1200 next duty day.

d. Irrigation systems

e. Aerate and fertilize

f. Lawn renovation

SS-2 Maintain Semi-Improved Grounds

1.2, No more than five (5) valid defects per

Re-performance completed within 8 hours of notification.

Weekly surveillance or valid customer complaint.

a. Mow non-airfield semi-improved grounds

b. Trim non-airfield semi-improved grounds month

c. Maintain 10-ft path inside non-airfield perimeter fence

Written response to corrective action report due by 1200 next duty day.

d. Mow airfield semi-improved grounds

e. Trim airfield semi-improved grounds

f. Mow taxiway, runway edge lights, signs and fixed objects.

SS-3 Maintain Unimproved Grounds

1.3, than three

(3) valid defect per year

Re-performance completed within 24-hrs of notification or mutually acceptable timeframe between CO, COR and Service Provider.

valid customer complaint.

a. Maintain 10-ft path inside unimproved perimeter fence

Written response to corrective action report due by 1200 next duty day.

SS-4 Maintain Vegetative Beds, Inert Beds and Related Areas

1.4

(3) valid defects per month.

Re-performance completed within 4-hrs of notification.

valid customer complaint.

Written response to corrective action

SS-5 Police Debris, Trash and Litter

1.1,

(3) valid defects per month.

Re-performance valid customer complaint.

Written response to corrective action

SS-6 Prune Trees

1.7.1,

(3) valid defects per month.

Re-performance valid customer complaint.

Written response to corrective action report due by 1200 next duty day.

SS-7 Service Provider maintains and adheres to accepted Quality Control Plan

(QCP)

2.1 than three

(3) valid defects per month.

Written response to corrective action report due by 1200 next duty day.

Monthly surveillance or valid customer complaint.

SS-8 Complete Work orders within Designated timeframe

1.1.9, 1.1.10, 1.3, 1.7.1, 1.7.5, 1.7.6, and

1.7.8.1 than four

(4) valid defects per month.

Re-performance

As Needed valid customer complaint.

Written response to corrective action report due by 1200 next duty day.

SS-9 Review CTIP with employees. Service Provider will certify to the contracting officer that all contract employees assigned to work on Sheppard AFB have been briefed on Combating Trafficking in Persons (CTIP).

4.4 100% of the time

Re-performance completed within 24-hrs of notification or mutually acceptable timeframe between CO, COR and Service Provider.

No less than (1) review annually

Each improved, semi-improved, unimproved, airfield and plant bed zone or location will be assessed independently from each other. In the event a discrepancy is found, one (1) corrective action report will be generated for each zone or location. See PWS paragraph 2.3.1.1 for calculating contract deductions for each CAR exceeding SS “VALID” thresholds.

5.2. Quality Control Program: The Service Provider will utilize its own internal Quality Control processes in the performance of this contract. To supplement the Service Provider’s quality control program, government personnel will verify Service Provider compliance with mission essential performance requirements. The COR will verify the key performance objectives. It is the responsibility of the requiring organization and COR to review these key objectives to assess their applicability and recommend the addition or subtraction as conditions warrant.

5.3. Customer Feedback/Survey Program.

5.3.1. Anyone that observes unacceptable services, either incomplete or not performed, for any contracted services, should immediately contact the COR by telephone, email, letter, or fax. The COR will document and validate the customer complaint, then notify the Service Provider with either a verbal or written Corrective Action Report (CAR) etc. The Service Provider will review and take immediate corrective action for all complaints.

5.3.2. If the COR identifies recurring instances of unsatisfactory performance, they may request to review the Service Provider’s internal quality control processes to ensure that they are sufficient.

5.3.3. All valid customer complaints shall be corrected if applicable, as soon as possible after notification, but within the timeframe agreed to in the CAR and/or as assigned in the service summary.

If the Service Provider challenges the validity of the complaint and the COR and Service Provider cannot come to agreement, the customer complaint will be forwarded to the CO for resolution.

Customer complaints will be tracked and if the performance threshold is exceeded, action will be taken by the CO in accordance with the applicable Inspection/Acceptance (or Commercial equivalent) and/or Remedies for Unacceptable Performance clauses.

5.3.4. Customer Surveys may be distributed to assess customer satisfaction with Service Provider performance (see attachment).

6. PERFORMANCE MANAGEMENT. This section identifies the use of performance measurement information to effect positive change in organizational culture, systems, and processes, by helping to set agreed upon performance goals, allocating and prioritizing resources, informing managers to either confirm or change current policy or program directions to meet those goals, and sharing results of performance in pursuing those goals.

6.1. COR Records Review: The Department of Defense (DoD) The CO shall perform, with participation of the COR and COR supervisor, a yearly administrative review of the COR's online file during the anniversary month of appointment, or more often, at the discretion of the CO. The CO shall upload the COR File Annual Checklist to the Surveillance and Performance Monitoring (SPM) (Formerly CORT Tool) in PIEE comprised of the minimum requirements of DFARS PGI 201.602-2(d)(vi), and contract and COR-related documents necessary for the effective discharge of COR duties and responsibilities.

The checklist (available in SPM) shall guide the COR in populating the online COR File and serve as the basis for the CO to judge the accuracy and completeness of the COR file during each review.

6.2. Surveillance Files: An inspection file must be developed and maintained by the primary COR. This folder will be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. A COR shall maintain an electronic COR Surveillance file in the SPM Module for each contract assigned. This file must include, at a minimum-

(A) A copy of the contracting officer's letter of designation and other documentation describing the COR's duties and responsibilities; and

(B) Documentation of actions taken in accordance with the delegation of authority.

(C) Reports

6.3. Performance Feedback: Documentation is required to record, evaluate, and report Service Provider’s performance.

Performance Element

Description

Quality of Service Assess the Service Provider’s conformance to contract requirements, specifications, and standards of good workmanship (e.g., commonly accepted t e c h n i c a l , p r o f e s s i o n a l , e n v i r o n m e n t a l , o r s a f e t y h e a l t h standards).

Promptness Assess the timeliness of the Service Provider against the completion of the contract, task orders, milestones, delivery schedule, administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

Schedule Assess the integration and coordination of all activities needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the Service Provider’s history or reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts, and whether the Service Provider met socio-economic goals of the government.

Management of Key Personnel

Assess the service provider's performance in selecting, retaining, supporting, and replacing, when necessary, key personnel

6.3.1. Performance Ratings. Service Provider ratings and criteria are described below:

Performance Rating

Criteria

Exceptional Performance meets contractual requirements and exceeds many of the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the Service Provider were highly effective.

Very Good Performance meets contractual requirements and exceeds some of the government benefits. The contractual performance element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the Service Provider were highly effective.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the Service Provider appear or were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the Service Provider has not yet identified corrective actions. The Service Provider’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains serious problem(s) for which the Service Provider’s corrective actions appear or were ineffective.

6.4. Management of the Acquisition of Services

6.4.1. Effectiveness Review. The Effectiveness Review shall, at a minimum, encompasses a self-assessment of the organization’s ability to manage and govern services in the areas of People, Process, and Performance for those requirements greater than or equal to the SAT. Effectiveness Reviews will be conducted and documented IAW DAFI 63-138 paragraph 5.3.3.

7. UNACCEPTABLE PERFORMANCE. When the Service Provider’s performance is deemed unacceptable, a possible cause of the unacceptable performance will be determined. If any Government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the Service Provider. The COR will take action to ensure Government action, or lack of action, does not interfere with the Service Provider’s performance in the future. The COR will completely document the circumstance.

7.1. When the unacceptable performance is not the result of Government action, or lack of action, COR will promptly notify the Service Provider and issue a CAR (or locally designed report form) to the

Service Provider to assure corrective action is taken. By initialing and dating the CAR, the Service Provider representative is only acknowledging the receipt of the finding of unacceptable performance and is not agreeing or disagreeing with the performance assessment. The COR, with CO approval, will direct the Service Provider to re-perform the service, if possible, without additional cost to the Government. If the Service Provider challenges the validity of the COR’s unacceptable assessment finding, and the COR and Service Provider cannot come to an agreement, the matter will be referred to the CO for resolution. The Service Provider will be required to return all completed CARs to the COR no later than the suspense date indicated on the CAR. Unacceptable performance that is re-performed satisfactorily by the Service Provider will still count as unacceptable performance and as deemed appropriate by the CO could result in deduction in cost per the PWS applicable paragraphs.

7.2. The COR Shall maintain a CAR log or summary of all CARs issued to the Service Provider (a locally devised form may be used). The CAR log will contain the CAR number, date issued, Service Provider, description of unacceptable performance, suspense date, and closeout date. All CARs and CAR logs will be maintained by the COR for the life of the contract.

8. REMEDIES FOR UNACCEPTABLE PERFORMANCE (Commercial Items). In accordance with the FAR clause 52.212-4 -- Contract Terms and Conditions – Commercial Items (Nov 2023), the Government reserves the right to inspect or test any supplies or services that have been tendered for acceptance. The Government may require repair or replacement of nonconforming supplies or reperformance of nonconforming services at no increase in contract price. If repair/replacement or reperformance will not correct the defects or is not possible, the government may seek an equitable price reduction or adequate consideration for acceptance of nonconforming supplies or services. The Government must exercise its post-acceptance rights --

(1) Within a reasonable time after the defect was discovered or should have been discovered; and

(2) Before any substantial change occurs in the condition of the item unless the change is due to the defect in the item.

9. CO NOTIFICATION.

9.1. Major Finding (CAR). If at any time the COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, the COR will document their findings and notify the CO immediately in writing. E-mail is acceptable.

a. Service Provider failure to meet a Performance Threshold.

b. Failure to provide adequate corrective action to preclude reoccurrence of Government identified findings.

c. Failure to provide corrective action to deficiencies identified by the Service Provider within a prescribed suspense.

d. Any failure to adhere to security regulations that results in a security incident.

9.2. Minor Finding (Verbal CAR). A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR will document the findings, but is not required to notify the CO. However, if the same minor finding is identified two months in a row, it may be an indication that a major finding is occurring or has occurred because the Service Provider has not taken proper steps to prevent recurrence. In this case, the COR will notify the CO in writing.

10. CERTIFICATION/ACCEPTANCE OF SERVICES. COR will certify receipt of acceptable

Service Provider services at intervals determined by the contract as required. The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract.

The COR will certify receipt of Service Provider services via the Wide Area Workflow (WAWF) website. Certification of services will be accomplished as soon as possible after the first workday following the completion of the contract payment to avoid payment of interest penalties. COR are responsible for obtaining, scheduling, and completing WAWF training from the base Accounting and Finance Office.

11. PROCUREMENT INTEGRATED ENTERPRISE ENVIRONMENT (PIEE).

The Joint Appointment Module (JAM) is used to nominate, appoint, track, terminate and revoke an individual as a COR against a DoD contract or order; or a contract or order issued against on behalf of a DoD assisting agency. This Tool allows a prospective COR to create a profile and process a nomination package for one or multiple contracts and/or orders. It provides contracting personnel a web-based portal for all relevant COR actions. DOD SPM will be the system used to manage COR files for service contracts. The COR, COR Supervisor, CO and CA must comply with the DoD requirements for participation in the PIEE. PIEE requires that users first be registered initiate at https://piee.eb.mil/xhtml/unauth/home/login.xhtml.

12. COMBATING TRAFFICKING IN PERSONS:

The CO/CA will verify and monitor the service provider has policies and procedures in place to prohibit any activities on the part of service provider employees that support or promote trafficking in persons as part of ongoing surveillance of performance of contract services. The service provider or the COR shall immediately bring to the attention of the Contracting Officer any non-compliance with contract clause FAR 52.222-50, Combating Trafficking in Persons. Additional information on DoD efforts to combat trafficking in persons can be found at the DoD FAR Supplement (DFARS) Procedures, Guidance, and Information (PGI) 222.17. IAW DFARS PGI 222.1704 Violations and Remedies, the CO shall notify the Geographic Combatant Commander and/or DoD CTIP Program Manager through the DoD Inspector General Hotline at http://www.dodig.mil/hotline or (800) 424-9098 and/or National Human Trafficking Hotline at (888) 373-7888.

The C/COR and/or COR and CA play an important role in preventing human trafficking by:

• Supporting the CO during pre-proposal conferences and post-award orientation where the requirements of FAR 52.222-50 should be discussed.

• Maintains surveillance over contractor compliance with requirements IAW FAR 52.222-50, Combat Trafficking in Persons (CTIP). Informs the Contracting Officer if the contractor/subcontractor fails to comply with these requirements. As required, monitoring Service Providers to ensure trafficking in persons requirements are being met (e.g., COR may verify that Service Provider employees’ passports/visas aren’t being withheld, or that workers aren’t being abused or threatened during site visits).

• The Service Provider shall maintain a roster of the names and dates personnel attended a brief or were instructed about CTIP. The COR shall confirm completion of an annual CTIP briefing provided by the https://piee.eb.mil/xhtml/unauth/home/login.xhtml

Service Provider.

Attachments:

1. Sample COR Monthly Satisfaction Survey

2. Sample Corrective Action Report

3. Sample Continuous Improvement Opportunity Form

GROUNDS MAINTENANCE SERVICE CONTRACT MONTHLY SATISFACTION SURVEY

MONTH/YEAR:

SERVICE PROVIDER: CONTRACT #:

Promptness of the Service 5 4 3 2 1 Quality of the Service 5 4 3 2 1 Courtesy/Cooperation by Service Provider Personnel 5 4 3 2 1 Response to Defective Notices and Customer Complaints 5 4 3 2 1 Overall Satisfaction with the Service Received 5 4 3 2 1

NOTE: 5=Exceptional, 4=Very Good, 3=Satisfactory, 2=Marginal, 1=Unsatisfactory

YOUR CANDID COMMENTS:

Contracting Officer’s Representative (COR)

CORRECTIVE ACTION FORM - Previous forms may be used.

CORRECTIVE ACTION

1. DATES: (For Government Use Only)

2. CAR #:

REPORT DATE ISSUED: RESPONSE DUE DATE: CAR DUE DATE: CAR DUE DATE SLIPS:

3. TO: 4. FROM:

5. NONCONFORMANCE: (Describe in detail:)

6. CAUSE OF NONCONFORMANCE:

7. SERVICE PROVIDER CORRECTIVE ACTION:

8. SERVICE PROVIDER CAUSE ELIMINATION:

9. GOVERNMENT EVALUATION: (Acceptance, rejection)

10. SERVICE PROVIDER ACTION COMPLETED: 11. GOVERNMENT VERIFICATION:

Department

Code

NAME

DATE

(A)pprove (R)eject

NAME

DATE

Instructions for Completing Corrective Action Report (CAR)

This CAR form is used to document and request corrective action from the Service Provider when contract requirements are not met or found to be inadequate. Remember to discuss all potential CARs with the Service Provider prior to issuing a written CAR.

COR Personnel STEPS:

Block 1. DATES. DATE ISSUED: Enter the date that the CAR was provided to the Service Provider (lowest level of supervision of where the violation occurred.). RESPONSE DUE DATE: Conduct a meeting with the Service Provider and negotiate a reasonable date for returning with the proposed or actual corrective and cause elimination action (Blocks 6, 7, & 8). CAR DUE DATE: Enter the date of when the Service Provider is to complete and close the requested corrective and cause elimination action. The CAR DUE DATE should be negotiated with the Service Provider to facilitate a reasonable closure period. Remember, you can grant due date extensions to the Service Provider when you deem necessary.

CAR DUE DATE SLIPS: If the Service Provider misses a negotiated CAR DUE DATE, enter the number of times the date was missed.

Block 2. CAR#: Sequential numbers from your CAR log, e.g., LGPQ7001V or LGPQ7001W.

Block 3. TO: Enter contract number and title; Service Provider organization, supervisor name, title and phone number.

Block 4. FROM: Enter your name, organization, title and phone number.

Block 5. NONCONFORMANCE: Enter the contract nonconformance in a clear and concise manner, and identify the specific product, process, test examined, etc., that didn’t meet contract requirements. Also include and describe the requirement not met, e.g., the PWS paragraph, CDRL number and title, Service Provider procedures. After completing Blocks 1-5, deliver the completed CAR to the Service Provider’s representative identified in Block 3, and a copy to the Service Provider Quality Manager.

SERVICE PROVIDER STEPS:

Block 6. CAUSE OF NONCONFORMANCE: Address the contract nonconformance and describe what caused the nonconformance to occur (investigation). (Cause “Unknown” is not acceptable).

Block 7. SERVICE PROVIDER CORRECTIVE ACTION: Enter the action taken to correct the nonconformance. This information should be detailed enough to enable the Government COR to verify that the corrective action has been taken and can be verified. Corrective action is defined in ANSI/ASQC Q9001-1994, paragraph 4.14.2, and in ISO 8402-1994 paragraph 4.14.

Block 8. SERVICE PROVIDER CAUSE ELIMINATION: Enter the cause elimination action taken to ensure that the nonconformance will not occur again. Identify the action and or change in policy, procedures or work instructions that will prevent reoccurrence of the nonconformance.

Cause elimination action is defined in ANSI/ASQC Q9001-1994, paragraph 4.14.2, and in ISO 8402-1994 paragraph 4.14.

Block 10. SERVICE PROVIDER ACTION COMPLETED: The Service Provider representative identified in Block 3 is to enter his or her department code, name and date when Blocks 6, 7, and 8 are completed. The same information is to be entered again on the next line for all subsequent replies if original actions were unacceptable. The Service Provider representative identified in Block 3 is to deliver the completed CAR to the Government representative identified in Block 4, and to provide a copy to the Service Provider’s quality office.

COR Personnel STEPS:

Block 9. GOVERNMENT EVALUATION: Enter the results of your verification of the Service Provider’s corrective and cause elimination action. If the actions are acceptable, state so in this block. If Service Provider actions do not correct the nonconformance(s) and or eliminated its cause, state so in this block and indicate why the actions do not correct the nonconformance(s) and or eliminates its cause. If the Service Provider’s corrective and cause elimination actions do not correct the nonconformance(s) and or eliminates its cause, conduct a meeting with the Service Provider to discuss the reasons for rejection and address resolving your concerns found during your evaluation. Remember to maintain a good documented trail leading to the final acceptance of the Service Provider’s corrective action.

Block 11. GOVERNMENT VERIFICATION: Enter approval or rejection of the Service Provider’s actions, your name and date. Enter (A) for approved or (R) for rejected. Remember to send the completed CAR to the Service Provider’s representative identified in Block 3, and to provide a copy to the Service Provider’s quality office.

IMPASSE RESOLUTION: If the parties in Blocks 3 and 4 can not agree on the nonconformance identified, action dates, or the corrective and cause elimination action proposed or taken, both parties are to immediately elevate the CAR disagreement to the next level of management in their respective organization. If the disagreement continues at the next elevated level management, the CAR is to be elevated to the next level until the disagreement is resolved. The parties in Blocks 3 and 4 are to generate a memo describing the disagreement and identify the management member that the disagreement was elevated to. This memo will be given to the elevated management member and provide a copy to the Service Provider’s quality office. Also provide a copy to your Program Manager and Contracting Officer

CONTINUOUS IMPROVEMENT OPPORTUNITY

(CIO)

1.TO: 2. FROM:

3. CIO #: 4. DATE ISSUED: 5. ACCEPTED: (Y or N)

6. RESPONSE DATE:

7. IMPROVEMENT OPPORTUNITY: (PROVIDE SUPPORTING DATA)

8. ADOPTED: (Y or N)

Instructions for completing the CIO

This CIO form is used to document suggested improvements for the following: 1) The contract 2) The QASP improvements to the Acquisition Team. 3) To notify the Service Provider of opportunities for process improvements which could affect cost, schedule or performance.

NOTE: To be effective, deliver the CIO to the proper management/process owner.

COR STEPS

Block 1. To: Enter contract number and title, Service Provider or organization name, title and phone number of person presented the CIO.

Block 2. From: Enter your name, organization, title and phone number.

Block 3. CIO #: Use the sequential number from your CIO Log.

Block 4. Date Issued: Enter the date the CIO was issued.

Block 5. Accepted: Circle Yes or No. NOTE: File a copy no matter what the response.

Block 6. Response Date: If accepted, conduct a meeting with the party receiving the CIO and negotiate a reasonable date for a response.

Block 7. Improvement Opportunity: List the Improvement Opportunity, remember to provide supporting data that fully explains the CIO. Update the CIO log with the results and maintain the original.

Provide a copy to the Contract Officer and Program Manager.

NOTE: Remember, the person receiving the CIO determines whether to accept/act on it. If needed, put in a disclaimer statement i.e., “This information is for your use solely and completely at your discretion and will not be considered as direction by the United States Government”.

Block 8. IF ADOPTED, State the specifics of the improvement in as much detail as possible. Attach supporting documents if they are provided. IF NOT, Enter “Not Adopted” and file in CIO Log book.