Atch 07 ISWM QASP Final.pdf

FA3020-20-R-0004

Quality Assurance Surveillance Plan

(QASP)

FOR

INTEGRATED SOLID WASTE

MANAGEMENT (ISWM)

1 October 2020 – 30 September 2025

Dated: 16 September 2019

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 acquisition 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 and Sheppard Annex at Lake Texoma, Oklahoma.

3. GOALS. By virtue of this QASP, the team will manage this contract and strive to achieve efficiencies, improved customer service and 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 Service Manager (FSM)) Contracting officer’s representative (COR) Quality Assurance Program Coordinator (QAPC) Contractor Other Key Government Personnel (if applicable)

4.1. Contracting Officer/Contract Administrator: Oversee the day-to-day administration of the contract.

Enter into, modify, interpret, take corrective actions, and terminate a contract on behalf of the government as specified on the CO warrant. Ensure a contractor's performance satisfactorily meets contractually agreed upon standards as stated in the PWS. The Federal Acquisition Regulation and its supplements dictate the responsibilities of the CO.

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 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 Service Manager (FSM)). These roles serve as the government’s functional authority and are responsible for successful delivery of the contracted requirements. They do not have directive authority over the day-to-day contractor performance. A contracting officer is the only government agent responsible for directing a contractor to correct a delivered service; therefore, the FSM must work through the contracting officer (CO) to ensure the contractual requirements, as defined in the contract Performance Work Statement (PWS), are met.

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): 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. Ensure a COR file is maintained with COR records (COR qualification where applicable, contract, modifications, minutes, invoices and payments, inspection results).

The QASP, Award Fee or Incentive Plan, and Memorandums for Record (MFRs) on significant issues relating to the contract as required in DoDI 5000.72 are required to be managed in the Surveillance and Performance Monitoring (SPM) Module. 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.

4.3.1. 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 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 on contractor performance (and any other documents to maintain the online file as required) utilizing the DoD SPM Module. (See JAM/SPM QASP paragraph below).

4.4. Quality Assurance Program Coordinator (QAPC): Train CORs and COR management [e.g., COR Supervisor, SDO, Functional Service Manager (FSM)] on the contracting requirements associated with the quality assurance program and any MAJCOM/DRU/AFRCO/SMC procedures prior to contract award. Assist the CO in providing contract-specific training (to include refresher training) to the COR.

4.4.1. Coordinates all aspects of the quality assurance program.

4.4.2. Support the acquisition team in the development of contract quality assurance requirements.

4.4.3. Reviews and coordinates on PWS and QASP.

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

4.5. Contractor

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

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

4.5.3. The Contractor will maintain and implement a separate Quality Control Plan (QCP) that compliments the QASP. This plan is internal to the Contractor unless negative trends in performance becomes an issue then the QCP must be submitted 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 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 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 service summary (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, and Contractor Meetings, as specified in the services summary.

5.1.3. The Service Summary below 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 para. Performance Threshold Performance Objective

Collect Municipal Solid Waste in accordance with the established schedule.

1.1 No more than 2

Customer Complaints monthly.

Collect Municipal Solid Waste in accordance with the established schedule.

Perform Recyclable Materials Processing in accordance with QRP and USAF SSPP.

1.2 No more than 2

Customer Complaints monthly.

Perform Recyclable Materials Processing in accordance with QRP and USAF

SSPP.

Dispose of Municipal Solid Waste in accordance with the established governing directives.

1.3 0 Deficiencies permitted.

Dispose of Municipal Solid Waste in accordance with the established governing directives.

Maintain equipment in good workable condition. Trucks and solid waste containers washed and free of odors.

1.4 No more than 2

Customer Complaints monthly.

Maintain equipment in good workable condition. Trucks and solid waste containers washed and free of odors.

Perform unscheduled collections required by the contracting officer in accordance with paragraph 1.1.

1.1.3.1 0 Deficiencies permitted. (Delivery order shall not be accepted until all deficiencies are corrected.)

Perform unscheduled collections required by the contracting officer in accordance with paragraph 1.1.

Produce/maintain reports and records by fifth working day of the month

1.5 0 Deficiencies permitted.

Produce/maintain reports and records by fifth working day of the month

5.2. Quality Control Program (QCP): The contractor will utilize its own internal Quality Control processes in the performance of this contract. In order to supplement the contractor’s quality control program, Government personnel will verify contractor 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. CORs should consider that the existence of such complaints does not necessarily indicate a service is nonconforming but may indicate a personality conflict or other non-contractual issue. The COR will document and validate the customer complaint, then notify the contractor with either a verbal or written Corrective Action Report (CAR) etc. 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 and/or as assigned in the service summary. 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 in accordance with the applicable Inspection/Acceptance (or Commercial equivalent) and/or Remedies for Unacceptable Performance clauses. While customer feedback/complaint can be an important aspect of an effective surveillance program, it should not be the sole surveillance method used to monitor compliance with contract terms and conditions.

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

6.1. COR Records Review: The Department of Defense (DoD) Surveillance and Performance Monitoring (SPM) Module (see subject QASP paragraph), 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 contractor 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 Surveillance and Performance Monitoring (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 an electronic contract file. 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. (Contracting Officer Tab) 2 Signed contract and modifications. (82 CES/CZEY Share Drive) 3 Quality Assurance Surveillance Plan or other performance surveillance plan.

(QA Surv Plan/Waiver Tab)

4 Written communications with the contractor and the contracting officer.

(COR Contract Communications)

5 Trip reports. ( COR Contract Communications Tab) 6 Documentation of telephone conversations and meetings with the contractor and the CO.

(COR Contract Communications TAB) 7 Surveillance documents. (COR Surveillance Documents) 8 Invoice and payment documentation. (Cost Vouchers) 9 Documentation required to record, evaluate, and report contractor’s performance.

( COR Surveillance Documents )

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 MFT 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 MFT will complete evaluation and reporting requirements IAW AFI 63-138, Acquisition of Services, Chapter 6.4., and 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. Unacceptable performance that is re-performed satisfactorily by the contractor will still count as unacceptable performance and as deemed appropriate by the CO could result in deduction in cost per the PWS applicable paragraphs.

7.2. The COR 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, 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). FAR clause 52.212-4 -- Contract Terms and Conditions – Commercial Items (Oct 2018), 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, PAR, etc.). A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR will document the findings, but is not required to notify the CO. However, if the same minor finding is identified two months in a row, it may be an indication that a major finding is occurring or has occurred because the 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, in accordance with the terms and conditions of the contract. The COR will certify receipt of contractor services via the Procurement Integrated Enterprise Environment (PIEE) previously known as Invoice, Receipt, Acceptance, and Property Transfer (iRAPT) 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 is responsible for obtaining, scheduling, and completing PIEE/WAWF training from the base Accounting and Finance Office.

11 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/ .

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 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. 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 person’s requirements are being met (e.g., COR may verify that contractor employees’ passports/visas are not 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

INTEGRATED SOLID WASTE

MANAGEMENT

SERVICE 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

Mandatory Comment for rating of 5 or 1

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. 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.