Attachment_7_QASP.pdf

FA3020-15-R0003

ATTACHMENT 7

QUALITY ASSURANCE

SURVEILLANCE PLAN

FOR

INTEGRATED SOLID WASTE

MANAGEMENT

Sheppard Air Force Base, Texas

FA3020-15-D-00XX

1 October 2015

1. OVERVIEW. This Quality Assurance Surveillance Plan (QASP) details how the Integrated Solid

Waste Management (ISWM) contract will be managed upon award by the acquisition 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 team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained.

2. OBJECTIVE. The objective of the ISWM contract is to provide non-personal services, to include all personnel, equipment, tools, supervision, and other items and services necessary to ensure performance of ISWM located at Sheppard Air Force Base (SAFB), Texas (TX) and SAFB Recreation

Annex at Lake Texoma, Grayson County, TX.

3. GOALS. By virtue of this QASP, the team will manage this contract and strive to achieve efficiencies, improved customer service and Contractor 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., COR Supervisor, Functional Commander/Director (FC/FD))

Contracting officer’s representative (COR)

Quality Assurance Program Coordinator (QAPC)

Contractor

Other Key Government Personnel (if applicable)

4.1. Contracting Officer/Contract Administrator (CO/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 (IAW) the terms and conditions of the contract.

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

4.1.4. Periodically assesses COR performance, not less than semi-annually.

4.1.5. Manages Contractor 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, Functional Commander/Director (FC/FD))

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 by training and experience commensurate with the delegation.

4.3. Contracting Officer’s Representative (COR)

4.3.1. The COR is responsible for providing continuous technical oversight of the Contractor’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 Contractor’s actual performance.

The purpose is to ensure that the Contractor 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 Contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the

Government’s behalf.

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

4.3.3. Evaluates and documents the Contractor’s performance IAW the procedures set forth in this QASP.

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

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

4.3.6. Certifies acceptance of services as required.

4.3.7. 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.

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

4.3.9. 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.

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

4.3.11. Complete COR specific “refresher training” as required by Department of Defense (DoD) standards for COR every third year.

4.3.12. Submits monthly reports on Contractor performance (and any other documents to maintain the online file as required) utilizing the DoD COR Tracking Tool (CORTT). (See CORTT 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 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. Contractor

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

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

4.5.3. The Contractor will maintain and implement a separate internal Quality Control Plan (QCP) that compliments the QASP. This plan is internal to the Contractor. However, should negative trends develop, the contractor will be requested to submit a QCP to the CO for acceptance IAW the PWS requirements.

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. Contractor, Contractor personnel, SubContractor, or SubContractor personnel must comply with the requirements of the clause at Federal Acquisition Regulation (FAR) 52.222-50, Combat Trafficking in Persons (CTIP).

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 Contractor performance. For example, Building Managers, Recycling Monitors, Quality Recycling Program (QRP) Manager, Unit Environmental Coordinators

(UEC), and the Solid Waste 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 Contractor’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

Contractor’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 Contractor’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 Contractor performance in progress, end results of

Contractor’s performance, Customer Feedback, Customer Survey, Contractor and Government Data and Documentation Review, and Contractor Meetings, as specified in the SS.

5.1.3. The following 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 methods used to ensure these standards are met.

SERVICES SUMMARY (SS)

Performance Objectives PWS Para. Performance Threshold Method of

Assessment

1. Collect Municipal Solid Waste 1.1 -1.1.1.1.

and 1.1.12.

No more than 2 Customer

Complaints monthly.

Periodic surveillance, Valid customer complaint

2. Collect Food Waste 1.1., 1.1.2., and 1.1.12.

No more than 1 Customer

Complaint monthly.

Periodic surveillance, Valid customer complaint

3. Collect Recyclables 1.1., 1.1.3., and 1.1.12.

No more than 3 Customer

Complaints monthly.

Periodic surveillance, Valid customer complaint

4. Collect Over and Above IDIQ requested by the COR

1.1., 1.1.4. –

1.1.4.3, and

1.1.12.

No more than 1 Customer

Complaint monthly

Periodic surveillance, Valid customer complaint

5. Collect Public/Common Use

Receptacles and replace liners

1.1., 1.1.5.

and 1.1.12.

No more than 1 Customer

Complaint monthly.

Periodic surveillance, Valid customer complaint

6. Operate Recycling Center and

Process Recyclable Materials

1.2.-1.2.7. No more than 2 Customer

Complaints monthly.

Periodic surveillance, Valid customer complaint

7. Transport and Dispose of

Municipal Solid Waste

1.3.-1.3.2. 0 Deficiencies permitted. Periodic surveillance, Valid customer complaint

8. Maintain equipment, vehicles, and containers in good workable condition

1.1.11.1-

1.1.11.3. and

1.4.-1.4.3.1.

No more than 2 Customer

Complaints monthly.

Periodic surveillance, Valid customer complaint

9. Produce and submit accurate reports no later than 10 th of the following month

1.5. 0 Deficiencies permitted. Periodic surveillance, Valid customer complaint

5.2. Quality Control Program: The Contractor shall develop and maintain an internal quality program to ensure ISWM is performed IAW commonly accepted commercial practices. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. At a minimum the Contractor shall develop quality control procedures addressing the areas identified in paragraph 5, SS. Should Contractor’s performance show signs of significant problems or concerns, the CO may request Contractor to submit Contractor’s quality control plan for review and acceptance as part of the contract and shall be open for inspection.

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 Contractor with either a verbal or written Corrective Action Report (CAR). The Contractor 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 Contractor’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. If the Contractor challenges the validity of the complaint and the COR and Contractor 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 IAW FAR Clause 52.212-4(a) -

Contract Terms and Conditions - Commercial Items.

5.3.4. Customer Surveys may be distributed periodically to assess customer satisfaction with Contractor performance (see attachment - Contract Monthly Satisfaction Survey).

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 DoD FAR Supplement (DFARS) Procedures, Guidance and

Information (PGI) 201.602-2 states that CO, as well as the requiring activities (or the COR’s supervisor), shall, as a minimum, annually review the COR’s files for accuracy and completeness and that the results of the CO’s review shall be documented in the CORTT (see subject QASP paragraph).

Additionally, CORTT COR Certifications further specify that the CO, with the COR, complete the yearly administrative review of the COR’s files in the anniversary month of the appointment. This review will be documented and acknowledged by the CO.

6.2. Surveillance Files: A surveillance file must be developed and maintained by the primary COR.

This folder is typically contained in hard copy, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. (Additionally some functions or items may be located in the CORTT). The surveillance folder may as an example contain the following information, but may contain any other sections or information that the COR finds useful.

TAB 1 Request for COR Support

TAB 2 COR Nomination Memo (used for classified contracts..5.0 of MP)

TAB 3 COR Training

TAB 4 COR Designation Memo

TAB 5 COR Termination Memo

TAB 6 FC/FD Designation letter (if applicable)

TAB 7 FC/FD Training (if applicable)

TAB 8 Contract, PWS, SS, Technical Requirements Document (TRD)

Contract Data Requirements List (CDRL), etc.

TAB 9 Contractor QCP (if applicable)

TAB 10 QASP

TAB 11 Performance Evaluation Report, i.e. end of month report

TAB 12 Performance Assessment Reports (PARs), CARs, customer complaint forms, etc.

TAB 13 Continuous Improvement Opportunities

TAB 14 Miscellaneous Documentation

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

Performance

Element

Description

Quality Product or service performance. Assess the achieved performance relative to the performance parameters by the contract. Assess the

Contractor’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 Contractor against the completion of the contract, task orders, milestones, delivery schedule, administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

Cost Control (not required for Fixed Price type contracts). Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract costs.

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 Contractor’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. Contractor 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 Contractor 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 Contractor 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 Contractor 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 Contractor has not yet identified corrective actions.

The Contractor’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 Contractor’s corrective actions appear or were ineffective.

6.4. Management of the Acquisition Of Services

6.4.1. Initial Performance Review. Within 30 days after the Contractor assumes full performance responsibility, the team will conduct a review to determine that the Contractor has successfully started performance, completed transition, is fully operational, and is within the estimated cost, schedule, and performance parameters of the contract. The team will complete evaluation and reporting requirements IAW AFI 63-138, Acquisition of Services, Chapter 6.4., Initial Contract

Performance Review.

6.4.2. Annual Execution Review (AER). The AER shall, at a minimum, assess an individual service acquisition’s progress against approved cost, schedule, and performance metrics and, as appropriate and available, review the summary of evaluations from the CPARS. AERs will be conducted and documented IAW AFI 63-138 paragraph 5.2.

7. UNACCEPTABLE PERFORMANCE. When the Contractor’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 Contractor. The COR will take action to ensure Government action, or lack of action, does not interfere with the Contractor’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 Contractor and issue a CAR (or locally designed report form) to the

Contractor to assure corrective action is taken. By initialing and dating the CAR, the Contractor 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 Contractor to re-perform the service, if possible, without additional cost to the

Government. If the Contractor challenges the validity of the COR’s unacceptable assessment finding, and the COR and Contractor cannot come to an agreement, the matter will be referred to the

CO for resolution. The Contractor will be required to return all completed CARs to the COR no later than the suspense date indicated on the CAR.

7.2. The COR will maintain a CAR log or summary of all CARs issued to the Contractor (a locally devised form may be used). The CAR log will contain the CAR number, date issued, Contractor, description of unacceptable performance, the applicable SS, 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). IAW FAR

Clause 52.212-4, Contract Terms and Conditions – Commercial Items, 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. Contractor 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 Contractor within a prescribed suspense period.

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 notify the Contractor and 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 Contractor 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

Contractor services at intervals determined by the contract as required. The COR will certify that acceptable services were received, IAW the terms and conditions of the contract. The COR will certify receipt of Contractor 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 period, to avoid payment of interest penalties. COR are responsible for obtaining, scheduling, and completing WAWF training from the base Accounting and Finance

Office.

11. CONTRACTING OFFICER REPRESENTATIVE TRACKING TOOL (CORTT).

The DoD CORTT 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. The COR, COR Supervisor, CO and CA must comply with the DoD requirements for participation in the CORTT. CORTT is now located on the WAWF website and requires that users first be registered in WAWF in order to access the Tool. WAWF is located at https://wawf.eb.mil/ .

12. COMBATING TRAFFICKING IN PERSONS (CTIP): The COR will verify and monitor that the Contractor has policies and procedures in place to prohibit any activities on the part of Contractor employees that support or promote trafficking in persons as part of ongoing surveillance of performance of contract services. The Contractor and the COR shall immediately bring to the attention of the CO any non-compliance with contract clause FAR 52.222-50 - Combating

Trafficking in Persons. Additional information on DoD efforts to CTIP can be found in the DFARS

PGI 222.17.

The COR may play an important role in preventing human trafficking by, for example:

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

As required, monitoring Contractors to ensure trafficking in persons requirements are being met

(e.g., COR may verify that Contractor employees’ passports/visas aren’t being withheld, or that workers aren’t being abused or threatened during site visits).

Attachments:

1. Sample COR Monthly Satisfaction Survey

2. Sample Corrective Action Report

3. Sample Continuous Improvement Opportunity Form https://wawf.eb.mil/

(Contract Name) CONTRACT MONTHLY SATISFACTION SURVEY

MONTH/YEAR:____________________

CONTRACTOR: _______________ CONTRACT #: _____________________

Promptness of the Service 5 4 3 2 1

Quality of the Service 5 4 3 2 1

Courtesy/Cooperation by Contractor 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:

F

R

O

M

5. NONCONFORMANCE: (Describe in detail:)

6. CAUSE OF NONCONFORMANCE:

7. CONTRACTOR CORRECTIVE ACTION:

8. CONTRACTOR CAUSE ELIMINATION:

9. GOVERNMENT EVALUATION: (Acceptance, rejection)

10. CONTRACTOR 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 Contractor, when contract requirements are not met or found to be inadequate. Remember to discuss all potential CARs with the Contractor prior to issuing a written CAR.

COR Personnel STEPS:

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

DATE SLIPS: If the Contractor 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; Contractor 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, Contractor procedures. After completing Blocks 1-5, deliver the completed CAR to the Contractor’s representative identified in

Block 3, and a copy to the Contractor Quality Manager.

CONTRACTOR 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. CONTRACTOR 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. CONTRACTOR 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. CONTRACTOR ACTION COMPLETED: The Contractor 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 Contractor 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 Contractor’s quality office.

COR Personnel STEPS:

Block 9. GOVERNMENT EVALUATION: Enter the results of your verification of the Contractor’s corrective and cause elimination action.

If the actions are acceptable, state so in this block. If Contractor 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 Contractor’s corrective and cause elimination actions do not correct the nonconformance(s) and or eliminates its cause, conduct a meeting with the Contractor 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 Contractor’s corrective action.

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