Attachment 7 LTWWP - QASP.pdf

FA302024Q0022

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

WATER PLANT AND WASTEWATER

TREATMENT PLANT OPERATION AND MAINTENANCE

Original: 14 November 2023

1. OVERVIEW. This quality assurance surveillance plan (QASP) details how the Water Plant and Wastewater Treatment Plant Operation and Maintenance Services contract will be managed upon award by the Multi-Functional Team (MFT) 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 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 Water Plant and Wastewater Treatment Plant contract is to provide non-personal services, to include all personnel, equipment, tools, supervision, certification and other items and services necessary to ensure performance of Water Plant and Wastewater Treatment Plant located at Sheppard Air Force Base (SAFB) Recreational Annex – Lake Texoma.

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

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) Program Manager/Functional Service Manager (PM/FSM) Contracting Officer’s Representative (COR) Quality Assurance Program Coordinator (QAPC) Service provider Other Key Government Personnel (if applicable)

4.1. Contracting Officer/Contract Administrator

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 CORs assigned to the contract.

4.1.4. Review and assesses COR performance, surveillance files not less than annually. This review will be documented and acknowledged by the CO and COR Supervisor.

4.1.5. Manages service provider performance assessment data that may include submitting Service provider Performance Assessment Reporting System (CCARS) 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 Requiring Activity (e.g., Program Manager/Functional Service Manager

(PM/FSM))

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. Specifically identify those services within a requirement that are mission essential IAW DFARS

252.237-7023.

4.2.3. Execute management and oversight for the delivery of contractually acquired services.

4.2.4. Lead and recommend membership for the MFT through the course of the acquisition (pre and post award) as required in DoDI 5000.74.

4.2.5. Review, approve, and sign surveillance schedules prior to upcoming surveillance periods to ensure there is no unnecessary disruption to contract schedule.

4.2.6. When necessary, fulfill contracting officer representative (COR) and supervisory duties identified in paragraphs 2.12 and 2.14 of AFI 63.138.

4.2.7. No less than quarterly, review service provider performance assessments prepared by COR personnel to ensure performance is compatible with contract requirements. (T-1)(T-3, WS PEO only).

4.2.8. Approve Performance Based Quality Assurance Surveillance Plan (QASP) for contracts greater than or equal to the SAT.

4.2.9. Ensure a Service provider Performance Assessment Report (CCAR) is accomplished no less than annually and IAW DoD CCAR Guidance.

4.2.10. Ensure CCAR assessments and narratives are consistent with the surveillance reports.

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 in the Surveillance and Performance Monitoring (SPM) Module that accurately documents the service provider’s actual performance. The purpose is to ensure all documentation pertaining to the performance of the service provider are maintained. 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. 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 reports as dictated by the Service Summaries.

4.4. Quality Assurance Program Coordinator (QAPC)

4.4.1. Coordinates all aspects of the quality assurance program.

4.4.2. Participates in the MFT.

4.4.3. Reviews and coordinates on PWS and QASP.

4.4.4. Provides training for the COR supervisor and all CORs 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 MFT in the post-award management phase.

4.5.3. Ensure the quality of the commercial item tendered for acceptance conforms to the contract requirements. Per the PWS, Quality control is the responsibility of the service provider and not the government.

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, subservice provider, or subservice provider personnel must comply with the requirements of the clause at FAR 52.222-50, Combat Trafficking in Persons.

4.6. 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.

5. PERFORMANCE ASSESSMENT. The contract service summary (SS) requirements summarize performance objectives related to contract essential items. The performance thresholds describe minimally acceptable levels of service required for each requirement. The SS provide information on contract requirements, expected level of contract performance, expected method of government surveillance and confirmation of provided services. Services Summary thresholds are critical to contract success. No discrepancies/complaints or COR deficiency reports will be issued during the initial 30-calendar days after completion of transition/phase-in an effort to identify normal phase-in problems.

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 periodically 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 observing 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

SS.

5.1.3. The SS is a list of the key performance objectives that 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 Paragraph(s)

Threshold

Method of Assessment

(SS-1) Staff water storage/distribution and wastewater treatment plants with licensed operator(s)

1.1.2., 1.4.1, 100% of the time Annual inspections.

(SS-2) Maintain compliance with terms and conditions of TCEQ Public Water System TX0910090

1.1 inclusive, 1.3, 100% of the time Monthly inspections.

(SS-3) Maintain compliance with terms and conditions of Wastewater TCEQ TPDES Permit #

WQ0012512001

1.4 inclusive, 100% of the time Monthly inspections.

(SS-4) Maintain and provide copies of regulatory agency inspections

2.7 No more than one

(1) valid customer complaint per fiscal year.

Monthly inspections and customer complaints

(SS-5) Submit regulatory reports by required dates

3.3, 3.3.1 - 3.3.4 No more than one

(1) valid customer complaint per fiscal year.

Monthly inspections and customer complaints

(SS-6) Submit Wide Area Work Flow (WAWF) invoice by the 10th of each month

9 No more than one

(1) valid customer complaint per fiscal year.

Monthly inspections and customer complaints

(SS-7) Submit monthly chemical usage reports by the 10th of each month

8.3.1.2 No more than one

(1) valid customer complaint per fiscal year.

Monthly inspections and customer complaints

(SS-8) Conduct and validate joint government furnished equipment inventory

4.3.1 100% accurate Annual joint inventory inspection and validation

5.2. Quality Control Program: The service provider will utilize its own internal Quality Control processes in the performance of this contract. In order 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 discrepancy/complaint depending on the findings. The service provider will review and take immediate corrective action for all discrepancy/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 discrepancy/complaints shall be corrected in accordance (IAW) the timeframes set in the PWS and SS or as agreed upon through the CO. If the service provider challenges the validity of the complaint and the COR and service provider cannot come to agreement, the discrepancy/complaint will be forwarded to the CO for resolution. Discrepancy/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 periodically 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 Instruction (DODI) 5000.72, requires that the contracting officer, with the COR, complete a yearly administrative review of the COR’s files in the anniversary month of the appointment. This may include reviewing the COR’s electronic files for required content and ensuring that surveillance is properly conducted and documented, and that service provider performance is within acceptable levels. This review will be documented and acknowledged by the CO/CA.

6.2. Electronic Files: A COR shall maintain an electronic file in the SPM Module for each contract assigned. This file must include, as 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. The COR will establish and maintain the SPM Module. The file will, at a minimum and as applicable based on responsibilities designated, include copies of all functions or items located in the SPM.

(MP5301.602-2(d)) (PGI 201.602-2(vi) (DoDI 5000.72 enclosure 6 Table 1(3))

1 COR letter of designation from the contracting officer. (SPM Module - Designation Letter

Tab) 2 Signed contract and modifications. (82 CES/CEY Share Drive) (EDA Module) 3 Quality Assurance Surveillance Plan or other performance surveillance plan.

(SPM Module - QA Surv Plan/Waiver Tab) 4 Written communications with the service provider and the contracting officer.

(COR Contract Communications) 5 Trip reports. (SPM Module - COR Contract Communications Tab) 6 Documentation of telephone conversations and meetings with the service provider and the

CO. (SPM Module - COR Documents - Miscellaneous Documents) 7 Surveillance documents. (SPM Module - COR Documents) 8 Invoice and payment documentation. (WAWF Cost Vouchers) (WAWF) 9 Documentation required to record, evaluate, and report service provider’s performance.

(SPM Module - COR Documents)

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

Element Description

Quality of Service

Product or service performance. Assess the achieved performance relative to the performance parameters by the contract. Assess the Service provider’s conformance to contract requirements, specifications, and standards of good workmanship (e.g., commonly accepted technical and professional standards).

Schedule

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).

Management

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.

Regulatory

Assess compliance with all terms and conditions in the contract relating to applicable regulations, and codes. Consider aspects of performance such as compliance with financial, environmental, safety, and labor regulations, as well as any other reporting requirements in the contract.

Utilization of Small Business

(If applicable) Assess compliance with all terms and conditions in the contract relating to Small Business participation. Assess any small business participation goals which are stated separately in the contract.

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

Rating

Criteria

Exceptional Performance meets contractual requirements and exceeds many to 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.

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 discrepancy/complaint or Performance Assessment Report (CAR) to the service provider to assure corrective action is taken. The service provider will be required 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.

7.2. The COR will maintain a Corrective Action Report (CAR) log 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 Contract Terms and Conditions - Commercial Items clause, 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 re-performance of nonconforming services at no increase in contract price. If repair/replacement or re-performance will not correct the defects or is not possible, the Government may:

a. Seek an equitable price reduction or;

b. Adequate consideration for acceptance of nonconforming supplies or services.

The Government must exercise its post-acceptance rights:

a. Within a reasonable time after the defect was discovered; and

b. 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. 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 prescribed suspense period.

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

9.2. Minor Finding. A departure from established standards having little bearing on the service provided.

When COR identifies a minor finding, the COR will document the finding, if corrective action is possible the service provider will be required to do so. However, if the same minor finding is identified two months in a row, or consistently, 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. A Minor Finding may be documented through an email or on a discrepancy/complaint form depending on the circumstances and the task.

9.3. 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 on the first workday following the completion of the contract payment period, to avoid payment of interest penalties. COR are responsible for obtaining, scheduling, and completing WAWF training.

10. Joint Appointment Model (JAM) and Surveillance and Performance Monitoring (SPM) Module.

The DoD JAM program 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 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. The SPM Program provides contracting personnel a web-based portal for all relevant COR actions. The COR, COR Supervisor, CO and CA must comply with the DoD requirements for participation in the JAM and SPM Programs. JAM and SPM are located on the Procurement Integrated Enterprise Environment (PIEE) website and requires that users first be registered in PIEE in order to access the Programs. PIEE is located at https://wawf.eb.mil/.

11. COMBATING TRAFFICKING IN PERSONS: The service provider will ensure they have policies and procedures in place to prohibit any activities on the part of service provider employees that support or promote trafficking in persons. The Service provider and 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 in the DoD FAR Supplement (DFARS) Procedures, Guidance, and Information

(PGI) 222.17.

12. Supporting the CO during pre-proposal conferences and post-award orientation where the requirements of FAR

52.222-50 should be discussed, and;

13. 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).

13.1. Attachments:

1. Sample COR Monthly Satisfaction Survey

2. Sample Corrective Action Report

3. Sample Continuous Improvement Opportunity Form

4. Sample, Customer Complaint Form https://wawf.eb.mil/

LAKE TEXOMA WATER DISTRIBUTION AND WASTEWATER OPERATIONS AND

MAINTENANCE CONTRACT 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

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

CORRECTIVE ACTION FORM - Previous forms may be used.

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., SHP17-01 SS#.

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.

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.

Block 9. 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 10. 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 cannot 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.

CORRECTIVE ACTION FORM - Previous forms may be used.

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.

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION BLDG# INDIVIDUAL PHONE NUMBER

NATURE OF COMPLAINT

Contract Reference: FA3020-XX-XXXX PWS para XX.

VALIDATION

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT

ACTION TAKEN BY SERVICE PROVIDER.

COMMENTS FROM COR. VENDOR REPERFORMANCE ACCEPTABLE OR UNACCEPTABLE