Attachment B_Corrective Action Request Procedure and Form.pdf

Corrective Action Request (CAR) Procedure and Form

Purpose

To outline the process by which a pattern or trend of minor concerns or major concerns or recurrent major issues with contractual compliance and performance will be communicated to the contractor, as well as define the process by which the contractor shall respond to describe root cause(s) and corrective actions with established implementation dates that shall be taken to address and correct/cure the concern.

Failure to comply or provide corrective actions shall lead to a delinquency notice as described by the Federal Acquisition Regulation (FAR).

Procedure

1. When a concern with contractual compliance and/or performance is identified, the contractor will be notified via an email by the Contracting Officer (CO) in the form of an official cover letter and by Corrective Action Request (CAR) form.

2. The Contractor shall be required to complete their portion of the form.

3. The purpose of the CAR form is for the contractor to review and analyze the identified issue or ongoing concern, determine the root cause(s), and describe any actions to be implemented with an established implementation date. The contractor shall record the target date for when the CAR will be fully implemented and complete.

4. The completed CAR form shall be returned to the CO within 10 business days from the date that the CAR form was sent electronically to the Contractor.

5. Upon receipt of the completed CAR form from the contractor, the COR and CO will review to determine if the proposed corrective action appears sufficient to address the concern/issue.

6. The CO will electronically return the CAR form to the Contractor within 5 business days; the returned CAR form will relay if the corrective action planned to be taken by the contractor within the identified time period is acceptable or not acceptable.

7. If the CO does not accept the CAR, the CO will provide an explanation on the CAR form of why the proposed corrective actions and time period is not acceptable and request that the contractor submit a revised CAR within five business days.

8. Upon receipt of the revised CAR form from the contractor, the COR and CO will review to determine if the revised proposed corrective action is sufficient to address the concern. The CO will electronically return the CAR form to the Contractor within 5 business days; the returned CAR form would relay if the corrective action planned to be taken by the contractor within the identified time period is acceptable or not acceptable.

9. This process to continue on the CAR form until an acceptable CAR has been provided by the contractor and acceptability communicated to the contractor by the CO.

10. The COR will evaluate effectiveness of the implementation of the CAR at the time of the target date for completion to determine if the action was sufficient to fully correct the concern and PWS met. If the concern has been resolved, the CO, in concert with the COR, will document determination the CAR is acceptable, closed, and electronically return the CAR form to the contractor. If the concern has not been resolved, the CO will document determination the CAR outcome did not resolve the concern and will either track progress a second time for opportunity for correction or elevate to the next level as determined by the CO. If the concern is not resolved after the second period of evaluation of effectiveness, next level action is determined by CO.

11. All CAR forms and CAR correspondence will be retained by the COR in the contract file.

12. At any time a deadline is not anticipated to be met, the contactor shall request in writing via email to the CO an extension with rationale and a new proposed date.

The CO, in concert with the COR, will review the request and respond to the contractor to either grant or deny the request.

Corrective Action Request (CAR) Form

Corrective Action Request Form Date of Submission:

Submitted by:

Date Corrective Action Request Due:

Submitted to:

Contract Reference

Activity:

Task:

Deliverable:

Concern

Description of Concern

Attachments Contractor Response

Root Cause of

Corrective Action to be Taken to Correct

Target Date for Completion:

Government Receipt Date Received:

Government Response

Acceptable Plan:

Not Acceptable Plan:

Government Non-Acceptable Actions Date of Submission:

Submitted by:

Date Corrective Action Request Due:

Submitted to:

Description of Non-

Concurrence

Attachments

Corrective Action to be Taken to Correct

Target Date for Completion:

Government Receipt Date Received:

Government

Acceptable Plan:

Not Acceptable Plan:

Government Determination of Effectiveness

Determination Date:

Government

CAR acceptable and closed:

CAR rejected:

Government CAR Rejected Actions Date of secondary review of effectiveness:

Result/outcome of second review of effectiveness by Government:

Government Determination of Effectiveness Determination Date:

Government

CAR acceptable and closed:

CAR rejected and next steps determined by CO