Atch_03_QASP_-__W&D_Lease,_Cleaning,_Mx,_Repair,_&_Vent_Cleaning.pdf

Quality Assurance Surveillance Plan

(QASP)

FOR

Washer / Dryer Leasing, Cleaning, Maintenance, Repair, and Dryer Exhaust Vent

Cleaning Services

FA3020-17-R-0001

Final Revision: 15 Aug 2017

1. OVERVIEW. This Quality Assurance Surveillance Plan (QASP) details how the Washer and Dryer Leasing, Cleaning, Maintenance, Repair, and Dryer Exhaust Vent Cleaning 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 MFT as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of contractor performance is maintained.

2. OBJECTIVE. The objective of the Washer and Dryer Leasing, Cleaning, Maintenance, Repair, and Dryer Exhaust Vent Cleaning Services contract is to provide non-personal services, to include all personnel, equipment, tools, supervision, certification and all other items and services necessary to ensure performance of the washers and dryers as well as exhaust duct cleaning located at Sheppard Air Force Base (SAFB), Texas.

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

Additional goals are as follows:

Ensure safety and enhance fire prevention methods of dryers 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) 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

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 contractor of the names, duties, and limitations of authority for all COR assigned to the contract.

4.1.4. Periodically assesses the COR’s performance, not less than 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 MFT 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): 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. 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.

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

4.3.2. Evaluates and documents the contractor’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 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, as necessary, 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. Contracting Officer Representative Tracking Tool (CORTT). The Department of

Defense (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 the CA shall comply with the DoD requirements for participation in the CORTT. The CORTT User’s Guide, which contains a link to the CORTT homepage, may be accessed at the following link:

http://www.acq.osd.mil/dpap/pdi/uid/docs/CORT_Tool_User_Guide_Version_2.pdf

4.3.11. Submits reports on contractor performance either to the contracting office and/or in the CORTT as required.

4.3.12. 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 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 Federal Acquisition Supplement (DFARS) Procedures, Guidance and Information (PGI) 222.1703 and the following website: http://www.dodig.mil/Inspections/IPO/combatinghuman.htm

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

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.

http://www.acq.osd.mil/dpap/pdi/uid/docs/CORT_Tool_User_Guide_Version_2.pdf http://www.dodig.mil/Inspections/IPO/combatinghuman.htm

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 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 contractor and not the government.

4.5.4. Ensures that non-conforming contract services are identified and corrected.

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.

4.6. Other Key Government Personnel This may include performance monitors, inspectors, technical experts, or others who provide information that helps the COR monitor contractor performance. Fire Department representatives will be considered the subject matter experts when discussing duct cleaning requirements.

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 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 as 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 performance, Customer Feedback, Customer Survey, Contractor and Government Data and Documentation Review, 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)

Item

Performance Objective PWS Para Performance Threshold

Method of Assessment

SS-1

Facilities with only two appliances - are repaired within 24 hours (excluding weekends and holidays) of issuance of work order or date tagged.

1.7.2.1. and 1.8.

through 1.8.3.

No more than 2 locations per month

Periodic Validation, Completion

Notifications, Discrepancy/ complaints

SS-2

Facilities with more than two appliances - are repaired within 72 hours (excluding weekends and holidays) of issuance of work order or date tagged.

1.7.2.1 and 1.8.

through 1.8.2.

No more than 5 appliances per month

Periodic Validation, Completion

Notifications, Discrepancy/ complaints

SS-3 Quarterly Dryer Exhaust Cleaning interior and exterior of dryer exhaust transition duct and permanent duct and labels.

1.7.3. through 1.7.3.2.2.

No more than 1 building per quarter

Periodic Validation, Completion

Notifications, Discrepancy/

SS-4

Provide additions, deletions and relocation service within allowable time frames.

1.5. through 1.5.4.

discrepancies per year

100% Surveillance, Completion

Notifications, Discrepancy/ complaints

SS-5 Provide schedules by 25th of each month. Schedules need to be on time and accurate for

1.7.1. and 1.7.3. 3 discrepancies per year

Validation of date received cleaning, preventative maintenance, exhaust duct service

SS-6 Provide accurate Appliance Inventory. Initial, quarterly, and within 3 days of changes

1.4. 1 discrepancy per year

Periodic Inventory validation

SS-7

Perform monthly cleanings and operational checks on each appliance and replace labels as needed.

1.6. through

1.6.2. and 1.7.2.

discrepancies per month (approx. 10%)

Periodic Validation, Completion

Notifications, Discrepancy/

SS-8

Notification of completed services (monthly cleanings, work orders, addition/deletions/relocations) to COR

1.5., 1.7.5., and 1.8.

discrepancies per month

Periodic Validation, Completion

Notifications, Discrepancy/

SS-9 Perform internal deep cleaning of dryers during third performance period. This is a critical fire preventative service

1.7.4. 10% discrepancy allowed based on the number of dryers at time of required service

Periodic Validation, Completion

Notifications, Discrepancy/

5.2. Quality Control Program: The contractor will utilize its own internal Quality Control processes in the performance of this contract. In validate the contractor’s quality control program, government personnel will verify contractor compliance with mission essential performance requirements through periodic validation. The COR will verify the key performance objectives as well as other requirements of this contract. 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 concerns, then notify the contractor with either a verbal or written discrepancy/complaint depending on the findings.

The contractor 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 contractor’s internal quality control processes to ensure that they are sufficient. If a trend of unsatisfactory performance the CO may require a written Quality Control Plan (QCP) as stated in the PWS.

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 contractor challenges the validity of the complaint and the COR and contractor 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 contractor 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 Surveillances: The contract administrator (CA) will conduct a surveillance of the COR at least semi-annually, to ensure surveillances are properly conducted, documented, and contractor performance is within acceptable levels. The CO may require CA to increase surveillances of COR based on performance issues.

6.2. Electronic Files: COR shall maintain an electronic file in the CORTT. The CO and COR supervisor must review the COR’s reports, files and other documentation for complement/accomplishment on an annual basis. The below list of documents are required to be maintained electronically by the COR. The documents that must be maintained in the CORTT are identified.

TAB 1 Request for COR Support (CORTT, if used by CO)

TAB 2 COR Nomination Process (CORTT)

TAB 3 COR Training Certificates (CORTT)

TAB 4 COR Designation Memo (CORTT)

TAB 5 COR Termination Memo (CORTT, if applicable)

TAB 6 Annual COR File Inspection Check List (CORTT)

TAB 7 QASP (CORTT)

TAB 8 Performance Evaluation Report, i.e. end of month report (CORTT)

TAB 9 Contract documentation (Contract, PWS, SS, Technical

Requirements Document (TRD), Contract Data Requirements List

(CDRL)

TAB 10 Contract Modifications

TAB 11 Performance Assessment Reports (PARs), CARs etc.

TAB 12 Multi-Functional Team (MFT) Meeting Minutes

TAB 13 Miscellaneous Documentation/Significant Correspondence/ Contractor’s QCP (if requested)

TAB 14 Monthly Invoices (WAWF/iRAPT)

TAB 15 Work Orders Issued

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

Performance Element

Description

Quality of Service 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, professional, environmental, or safety health standards).

Washer/Dryer Examples such as but not limited to: Quality of appliances, Monthly Operational checks, cleaning of dryer exhaust vents and labeling, timeliness and response of work orders, quality control, and overall performance of PWS.

Schedule Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedule, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance). Washer/Dryer Examples such as but not limited to:

monthly schedules accuracy, format, readability, timeliness of submission, and following submitted schedule.

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, and whether the contractor met socio-economic goals of the government.

Washer/Dryer Examples such as but not limited to: response to government, ability to plan, schedule, hire, allocate resources, training, problem identification, corrective actions, compliance with required submissions, accurate and thorough paperwork such as monthly invoices.

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.

Washer/Dryer Examples such as but not limited to: submission of MSDS/SDS, reporting of chemical usage, training, certifications, health and safety requirements met, cleaning of dry exhaust vents per regulatory codes, installation and hook up of appliances per code.

Utilization of Small Business

(If applicable) Assess compliance with all the 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 Acquisition of Services Process

6.4.1. Initial Contract Performance Review. The review shall take place within 30 days after the contractor assumes full performance responsibility (i.e. after completion of transition/mobilization). The initial evaluation of contractor performance is a joint determination by the MFT 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 CO may waive the initial evaluation for contractors that have continued performance under a successor contract award (prior incumbent), or for contractors that have otherwise demonstrated full compliance with contract start-up. Separate initial contract performance reviews are not required when they would duplicate existing reviews.

6.4.2. Annual Performance Review: All services acquisitions with a value in excess of $150,000 will be reviewed annually. This review is to be conducted not later than 30 days prior to issuing the notification of the Government’s intent to fund the follow-on year.

Since AFICA/PK is the designated official, the CO will conduct and document the annual performance review and report to AFICA any negative variations in cost, schedule and/or other significant performance measures required by the contract. If significant variations exist, include an explanation of the causes for the variance and an assessment of the contractor’s corrective action plan.

6.4.3. Any significant changes in anticipated cost/price, schedule, or performance expectations are subject to a special review at the direction of the AFICA/PK or other designated official.

7. UNACCEPTABLE PERFORMANCE. When the contractor’s performance is deemed unacceptable, COR will attempt to determine the cause of the unacceptable performance. 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 discrepancy/complaint or Performance Assessment Report (PAR) to the contractor to assure corrective action is taken.

The contractor will be required 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 PARs to the COR no later than the suspense date indicated on the PAR. Unacceptable performance that is re-performed satisfactorily by the contractor will still count as unacceptable performance.

7.2. If the contractor exceeds one or more of the performance thresholds in a month, it shall result in a Corrective Action Report (CAR) being issued to the contractor. The contractor shall respond to the CAR and return it to the CO within 5 business days of receipt. The purpose of a CAR is for the contractor to assess their processes, procedures, methods, and personnel to determine the root cause for the unacceptable performance levels. The CAR is used to document the government’s concern, request corrective action or change, and for the contractor to respond with the cause or long term solution. If the contractor exceeds one or more performance thresholds for two consecutive months an immediate multi-functional team (MFT) meeting with the key personnel shall be held to discuss remedies.

7.3. The COR will maintain an electronic file of all documented assessments, PARs, CARS, and discrepancy complaints issued to the contractor 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:

8.1. Seek an equitable price reduction or; adequate consideration for acceptance of nonconforming supplies or services.

8.2. The Government must exercise its post-acceptance rights: within a reasonable time after the defect was discovered; and 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.

9.1.1. Contractor failure to meet a Performance Threshold.

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

9.1.3. Failure to provide corrective action to deficiencies identified by the contractor within a prescribed suspense period.

9.1.4. Any failure to adhere to dry exhaust duct cleaning codes that results in a Fire Safety Deficiency (FSD) incident report or actual fire.

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 contractor 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 contractor 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.

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, in accordance with the terms and conditions of the contract. The COR will certify receipt of contractor services via the Wide Area Workflow (WAWF)/Invoicing, Receipt, Acceptance & Property Transfer (iRAPT) website. Certification of services will be accomplished as soon as possible after the performance period (e.g. end of the month) after the contractor submits the invoice, to avoid payment of interest penalties. CORs are responsible for obtaining, scheduling, and completing WAWF training from the base Accounting and Finance Office.

ATTACHMENT A

WASHER/DRYER LEASE, MAINTENANCE AND REPAIR SERVICE CONTRACT

MONTHLY SATISFACTION SURVEY

“EXAMPLE”

MONTH/YEAR:

CONTRACTOR: CONTRACT #: FA3020-17-

Quality of the Service 5 4 3 2 1

Schedule 5 4 3 2 1 Management 5 4 3 2 1 Regulatory 5 4 3 2 1

Utilization of Small Business 5 4 3 2 1

Promptness of the Service 5 4 3 2 1 Courtesy/Cooperation by Contractor Personnel 5 4 3 2 1 Response to Defective Notices and Discrepancy/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

Additional Comments that further explain rating provided above (a rating of a 5, 2, or 1 must have comments):

SIGNED by the COR or SIGNED by the Customer providing the feedback

CORRECTIVE ACTION

1. DATES: (For Government Use Only)

2. CAR #:

REPORT DATE

ISSUED:

RESPONSE DUE DATE:

CAR DUE DATE:

3. TO: 4. FROM:

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) unless already noted in PWS. 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.

Block 2. CAR#: Sequential numbers

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 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 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 CO. The parties in Blocks 3 and 4 are to generate a memo describing the disagreement and send in writing to the CO and CA.

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)

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 Multi-Functional Team (MFT). 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.

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.