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DD FORM 1423-1, FEB 2001

CONTRACT DATA REQUIREMENTS LIST

(1 Data Item)

PREVIOUS EDITION MAY BE USED.

Form Approved OMB No. 0704-0188

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in Block E.

A. CONTRACT LINE ITEM NO. B. EXHIBIT C. CATEGORY:

TDP ________ TM _______ OTHER

D. SYSTEM/ITEM E. CONTRACT/PR NO. F. CONTRACTOR

1. DATA ITEM NO. 2. TITLE OF DATA ITEM 3. SUBTITLE

4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE 6. REQUIRING OFFICE

7. DD 250 REQ

8. APP CODE

9. DIST STATEMENT

REQUIRED

10. FREQUENCY

11. AS OF DATE

12. DATE OF FIRST SUBMISSION

13. DATE OF SUBSEQUENT

SUBMISSION

14. DISTRIBUTION

a. ADDRESSEE

b. COPIES

Draft Final

Reg Repro

15. TOTAL

16. REMARKS

17. PRICE GROUP

18. ESTIMATED

TOTAL PRICE

G. PREPARED BY H. DATE I. APPROVED BY J. DATE

Page of Pages

1_DATA_ITEM_NO: A003

2_TITLE_OF_DATA_ITEM: Electrostatic Discharge (ESD) Control Program

3_SUBTITLE:

4_AUTHORITY_Data_Acquisit:

5_CONTRACT_REFERENCE: J.1 Paragraph C-1.7

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See Block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J7 Contract Spce draft1:

reg1: 1 repro1:

addressee2: COR draft2:

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16_REMARKS: Tailored to permit contractor's format. Submit electronically

Submit NLT 30 days prior to the start of full performance, an ESD Control Program document that details the Contractor's process to ensure all regulatory requirements are followed; ensure all personnel who handle and process ESDS material are fully trained; and coordination of any audits that may be performed by other government agencies, manufacturers and users of ESDS material.

The ESD Program shall address the Contractor’s approach to conform to MIL-STD 1686, Electrostatic Discharge Control Program for Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices) and requirements addressed in C-1.7.

Updates or revisions to the contractors plan that address the process for ensuring all regulatory requirements are followed shall be submitted within 30 calendar days of the change.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the ESD Program and updates after coordination with J-4 Policy & Procedures and J-3 Depot Operations review and comments.

Block 14 - Distribution - Contractor to submit original to Contract Specialist and copy to the COR.

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 1

Reset:

2018-10-29T15:47:11-0400

CRUSEY.SHANE.M.1287981151

2019-02-13T13:52:00-0500

POWERS.CULLEN.MARTIN.1093893227

Floor to Book Haphazard 2% Directed Program

F2B Counter Name QBL Verifier Name (Supervisor/Leader)

TPIC M Entry Name (Inventory)

Date Date Date

F2B Counter User ID QBL Verifier User Id

TPIC M Entry User ID

F2B Counter QBL Verifier QBL Verified

Inventory TPIC M Entry

Time of Count

Bldg/Lot # Location NSN Unit of Issue Condition

Code Count in Location

DSS QBL Qty 1st Count/QBL Match (Y or N)

TPIC M Created (Y or N) Inventory Cut-Off Date

Signature Field Signature Field Signature Field

Webb, John F CTR DLA DISTRIBUTION (US)

Floor to Book Haphazard 2% Directed Program

F2B Counter Name

QBL Verifier Name

(Supervisor/Leader)

TPIC M Entry Name

(Inventory)

Date

Date

Date

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User Id

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User ID

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QBL Verifier

QBL

Verified

Inventory TPIC M

Entry

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Count

Bldg/Lot #

Location

NSN

Unit of Issue

Condition

Code

Count in

Location

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Count/QBL

Match (Y or N)

TPIC M Created (Y or N)

Inventory Cut-Off Date

Signature Field

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DateTimeField1:

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SignatureField1:

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DateTimeField3:

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the

DD FORM 1423-1, FEB 2001 Page 2of 2

The Contractor’s MECSP shall address at a minimum the following:

1. Potential impacts caused by each type of adverse situation.

2. Primary issues.

3. Strategy for response.

4. Primary and alternate points of contact.

5. Communication and coordination with the Government.

6. Process to achieve recovery and resumption of full service.

7. Approach to recruitment and hiring of personnel (i.e., temporary labor) on short notice.

8. Assessment of the local labor market and the Contractor’s ability to hire qualified personnel.

9. Process to be used to hire personnel to include timing of offers, length the offer remains open, any contingencies and start dates. Critical skills and transactional systems knowledge required to maintain performance and contingency for immediate loss of skills and knowledge.

10. Development of a contingent workforce (both management and labor) that has the requisite knowledge, skills, abilities, and applicable licenses and qualifications to perform the workload.

11. Strategy for maintaining a trained workforce in Distribution Operations, DSS and all other transactional data systems required for contingency operations.

12. Strategy for ensuring the contingent workforce is familiar and shall address the Contractor's methodology and processes for assessing the situation, determining the appropriate response, achieving recovery, and meeting performance standards when there is a disruption in normal workload I.A.W.

PWS Paragraph C-1.9.2

1_DATA_ITEM_NO: A004

2_TITLE_OF_DATA_ITEM: Continuation Of Essential Contractor Services

3_SUBTITLE: Mission Essential Contract Services Plan (MECSP)

4_AUTHORITY_Data_Acquisit: N/A

5_CONTRACT_REFERENCE: Attachment J.1, Paragraph C-1.9

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See Block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J-7 Contract Spec draft1:

reg1: 1 repro1:

addressee2: COR draft2:

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16_REMARKS:

Tailored to permit contractor's format. Submit electronically

The MECSP updates shall be submitted NLT 30 days prior start of full performance if required and be complimentary to the distribution sites Continuity of Operations (COOP) and Emergency Action (EAP) Plans.

Submit the information identified in the table on page 2 as changes occur to the COOP and EAP or at minimum on a annual basis.

Subsequent submissions shall be submitted when the Contractor updates or revises the MECSP within 30 calendar days of the change.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the MECSP updates after coordination with COR and J-3 Depot Operations review and comments.

Block 14 - Distribution - Contractor to submit original to Contract Specialist and copy to the COR.

Block I - Approved By - Signature of Government official accepting the Contractor's reporting requirements of this CDRL will be the the KO.

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 2

Reset:

2021-05-24T08:30:14-0400

POWERS.CULLEN.MARTIN.1093893227

2021-05-24T07:19:36-0400

TORNER.MICHAEL.D.1228971592

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the

Customer MIPR Number Work Description ION HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost

Customer MIPR Number Work Description ION HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost

Attachment 1

Jul __ Aug __ Sep __ Yearly TotalApr __ May __ Jun __Customer

Feb __ Mar __Customer Oct __ Nov __ Dec __ Jan __

1_DATA_ITEM_NO: A005

2_TITLE_OF_DATA_ITEM: Internal Order Number (ION) Reporting

3_SUBTITLE:

4_AUTHORITY_Data_Acquisit:

5_CONTRACT_REFERENCE: J1 PWS Paragraph C-4.5

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J7 KO draft1:

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16_REMARKS: Submit electronically.

IAW Section G-4 - Invoicing Instructions - submitted not later than the tenth (10th) working day of each month covering the previous month's charges inclusive of all final subcontractor billings for the prior month.

Complete the following attachments:

Attachment 1 - Contractor Labor and Material Costs by Internal Order Number

(ION)

Block 7 - Inspection and acceptance requirements:

The COR will review and accept CDRL A005.

Block 14 - Distribution - Contractor to submit original to COR and copy to the Contract Specialist.

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 1

Reset:

2018-10-29T15:49:06-0400

CRUSEY.SHANE.M.1287981151

2019-02-13T13:53:02-0500

POWERS.CULLEN.MARTIN.1093893227

DD FORM 1423-1, FEB 2001 PREVIOUS EDITION MAY BE USED. Page 1 of 5 Pages Reset

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the

A. CONTRACT LINE ITEM NO.

X007

B. EXHIBIT

Attachment J.11

C. CATEGORY:

TDP TM OTHER

Synergy Logistics Services II, LLC

1. DATA ITEM NO.

A006

2. TITLE OF DATA ITEM

Quality Control Plan (QCP)

3. SUBTITLE

4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE

Attachment J.1, Paragraph 5.1.4

6. REQUIRING OFFICE

DLA Distribution J-7

See Block 16

B

8. APP CODE 11. AS OF DATE

N/A

See Block 16 Draft

The Contractor’s Quality Control Program is comprehensive and multi-facetted.

The overall Quality Control Program consists of components that are supplied by the Contractor as well as a component that is provided by the Government for Contractor execution.

Submit electronically. Suubmit a final site specific QCP not later than 30 calendar days from execution of modification that details the Contractor's process for a quality system that is a prevention based outlook and approach to the control of quality that is proactive to meeting the terms and conditions of the contract. The Contractor's QCP is considered a living document and shall be maintained throughout the life of the contract. Subsequent submission shall be submitted with the Contractor updates or revisions to the QCP and all attachments within 10 calendar days of the change.

See page two for QCP minimum requirements.

The Monthly Quality Control Report (Contractor provided):

Submit electronically. The Monthly QC Report shall be completed and submitted NLT 5 working days after the end of the month.

Note: See page three for Monthly Quality Control Report requirements.

Compliance Process Adherence Focus Area Checklist (Government provided-Contractor executed):

Submit weekly Compliance Process Adherence Focus Area Checks in the QMT prior to the Due Date. These checks generate on a weekly basis in the QMT and the tasks that are not completed by the Due Date are marked Incomplete and closed out in the application.

Note: See page four for Compliance Process Adherence Focus Area Checklist requirements.

See Continuation Page:

QCP & Revisions:

J-7 Contract Spec 1

COR 1

Monthly QC Report

Nonconfoming QC Inspection Results:

15. TOTAL 0 3 3

G. PREPARED BY

TORNER.MICHAEL.D.12 Digitally signed by

28971592

TORNER.MICHAEL.D.1228971592

Date: 2020.05.14 10:50:04 -04'00'

H. DATE IP. OAPWPREORVSED.CBUYLLEN.MARTI Digitally signe

POWERS.CUL

N.1093893227 Date: 2020.05 dJb.yDATE

EN.MARTIN.1093893227

14 11:17:10 -04'00'

CDRL A006 QCP Continuation Page

Joint Quality Program Meetings (chaired by the COR or designated individual):

The Contractor’s Quality Control Team and the Government’s Quality Assurance Team shall meet at a minimum of once per month to share information regarding ongoing quality related outcomes and issues. More frequent meetings and discussions are highly encouraged.

Discussion topics shall include, but is not limited to, identified non-conformances for QC and QA, corrective action plan status for QC and QA, upcoming changes or revisions to the quality program, other quality-related issues that can be shared to ensure both Contractor and Government are working towards the same goals to support quality performance. Meeting minutes shall be included with the monthly COR Report as an attachment with a copy of the minutes provided to the Contractor.

Block 7 - Inspection and acceptance requirements: The KO will review and accept the QCP and updated after coordination with the COR, J-3, J- 4 and J7 CQA. The accepted plan and subsequent revisions will be incorporated into the contact by modification. The COR will review and accept the monthly QC Report.

Block 14 – Distribution – Contractor will submit original to Contract Specialist and copy to COR.

DD Form 1423-1, FEB 2001

CDRL A006, Quality Control Plan (QCP) Page 2 of 2

The Contractor’s quality control plan shall outline the tasks performed by the Contractor to sustain or improve quality or work and ensure work meets contract requirements.

The Contractor shall, at a minimum, include comprehensive explanation of the following:

A. Quality Control:

1) Corporate Quality overview and commitment to performance Quality.

2) Quality organization components and structure.

3) Roles and responsibilities of the Quality Organization members; Lines or Authority.

4) Quality Control processes and procedures.

5) Quality Check frequency determination.

6) Quality Check significance level determination.

7) Methods to be used to conduct Quality Checks.

8) Lot and Sample Size determination.

9) Quality Check documentation and reporting requirements.

10) A comprehensive Quality Control Inspection Checklist detailing all inspections to be conducted utilizing the contract terms and conditions (e,g., PWS, SOPs, Site Specific Requirements, Staffing Matrix, Training Plan, CDRLs, Technical Exhibits, etc.).

11) Integration of the Compliance Process Adherence Focus Area Checklist with the Contractor develop Quality Control Inspection Checklist.

12) How and when the Quality Control Inspection Checklist will be revised to include updates as required to capture specific requirements that may require more frequent checks or are the result of a completed nonconforming Quality Assurance surveillance task.

13) Process that will be used to incorporate QA findings into the Quality Control Inspection Checklists so as to become part of the Contractor’s overall performance quality responsibility.

14) Where the Quality Control Inspection Checklist will be available for COR and QAE research and review. An option available to the Contractor is to upload the Quality Control Inspection Checklist in the QMT. The Quality Control Inspection Checklist shall be made available for Government review and inspection at any time and shall include the identified results of each Quality Control Inspection Check whether Conforming or Nonconforming.

15) Criteria for determining Conforming versus Nonconforming Quality Checks.

16) How Corrective Actions are to be documented and reported.

17) An explanation of how reviews and revisions to the QCP and Quality Control Inspection Checklist will be addressed

Note: Corrective Actions are to be documented and tracked in the QMT using the “Corrective Action Plan” (CAP) task for all Quality Control Inspection Checklist non-conformances the Contractor determine requires a CAP. Screenshots and instructions for completing these CAPs is included at Attachment 001.

Attachments:

Attachment 1: QMT Screenshots and Instructions for completed CAPs Attachment 2: Audit Compliance Check tasks in the QMT Attachment 3: Process Deviation and Corrective Action

(PDCA)

Attachment 4: Process Adherence Monitoring Overview

CDRL A006, Quality Control Plan (QCP) Page 3 of 4

Contractor Letterhead

DATE

MEMORANDUM FOR CONTRACT SPECIALIST

FROM:

SUBJECT: CDRL A006 QC Report (Month Year)

The Contractor is required to prepare and submit a Monthly Quality Control Report. The minimum required information is as follows:

1. Number of QC Inspections Scheduled by functional area

2. Number of QC Inspections Completed by functional area:

3. Explanation for QC Inspections that were not completed:

4. Number of QC Conforming v Inspections by functional area:

5. Number of QC Non-Conforming Inspections by functional area:

6. Number of QC Non-Conforming Chance Discoveries identified

7. Open Corrective Action Plans (CAP) List by Task ID if in Government QMT

8. Analysis of the data that explains any quality related issues that may have impacted performance to include results from the Compliance Process Adherence Focus Area Checklist outcomes, QC inspections and QA surveillance outcomes. Analysis includes any identified trends, why a CAP was not initiated and current status of CAPs in place to correct any quality performance issues previously identified.

9. Anticipated changes being made to the overall QCP or QC Inspection Checklist in response to both internal QC inspections as well as any deficiencies identified by the Government (e.g, Quality Assurance; Independent DLA Distribution Review;

Independent Public Auditor (IPA) and Managers Internal Control Program/Annual Statement of Assurance processes to ensure identified problem areas receive attention and closer monitoring.

10. Additional Comments (as applicable).

Note: An electronic copy of the QC Monthly Report, with required attachments, must be provided the COR.

The QC Monthly Report will be uploaded by the COR into the QMT to ensure visibility to the Government’s entire QA Team.

Signature cc: COR

CDRL A006, Quality Control Plan (QCP) Page 4 of 4

CDRL A006, Compliance Process Adherence Focus Area Checklist

1) DLA Distribution has identified core process adherence focus areas to support Audit Sustainment. The focus areas prioritize aspects of the business deemed to be of critical importance and in areas where deviation may introduce unacceptable risk to sustain inventory accuracy. The Government provided Compliance Process Adherence Focus Area Checks are scheduled and completed on a monthly basis in the QMT and are critical for Audit Readiness and Compliance. These checks are to be scheduled and completed on a weekly basis in the QMT and are critical for Audit Readiness and Compliance. The volume of workload represented by these checks may be adjusted from time to time as DLA continues through Independent Public Audit (IPA) and OMB Circular A-123 compliance process.

2) Include the Compliance Process Adherence Focus Area Checklist into the QCP performing the minimum checks in the following processing areas. Screenshots and instructions for completing the Audit Compliance Check tasks in the QMT are included at Attachment 002.

Audit Compliance Check Required Samples per Month Receiving 2% of average monthly workload Material Release Order (MRO Pick/Pack 2% of average monthly workload Re-Warehousing Pick 2% of average monthly workload Vehicle Load Order (VLO) Truck Load 2% of average monthly workload

Screenshots and instructions for completing the Compliance Process Adherence Focus Area Check tasks in the QMT are included at Attachment 002 (Compliance Check Instructions).

The “Process Deviation and Corrective Action” (PDCA) form is included at Attachment 003 IAW the Process Adherence Monitoring Overview (Attachment 003, the PDCA is completed when an identification of a critical process deviation) This form is used to document an identified deviation and is included with the task as Evidential Matter (EM). An explanation of implementation of this form is provided in Attachment 002.

See the “Process Adherence Monitoring Overview” at Attachment 004 for additional reference information about these checks to include a description of the data elements being collected.

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the

1_DATA_ITEM_NO: A007

2_TITLE_OF_DATA_ITEM: Customer Service Support Procedures/On-Call Response Roster

3_SUBTITLE:

4_AUTHORITY_Data_Acquisit:

5_CONTRACT_REFERENCE: J1 PWS Paragraph C-5.1.5

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See Block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J7 Contract Spec draft1:

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16_REMARKS: Tailored to permit contractor's format. Submit electronically

Submit customer service plan and support procedures not later than 30 calendar days prior to the end of the phase-in period that address at the minimum the following:

1. Customer service hours, location(s) and directions to customer service office(s) and contractor specific instructions to customers and an on-call response roster IAW C-5.1.5.

2. System for communicating with customers and obtaining feedback.

3. System for tracking the receipt, progress, and resolution of customer complaints.

4. Methods for identifying customer needs and expectations and implementing them throughout the workforce.

5. Methods for measuring customer satisfaction.

6. Establishment of a customer satisfaction reporting system.

7. Samples of all documents that will be used for customer satisfaction actions.

8. Methods of direct and indirect, formal and informal communications with the Government regarding customer satisfaction.

Subsequent submissions shall be submitted when the Contractor updates or revises the customer service plan and support procedures or on-call response roster within 2 working days of the change.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the customer service plan and support procedures and updates after coordination with the J-3 Depot Operations review and comments.

Block 14 - Distribution - Contractor to submit original to Contract Specialist and copy to the COR.

Once accepted by the KO, the Contractor shall make the procedures available to all customers in writing.

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 1

Reset:

2018-10-29T15:53:11-0400

CRUSEY.SHANE.M.1287981151

2019-02-13T14:10:12-0500

POWERS.CULLEN.MARTIN.1093893227

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the

Page of Pages DDD

X007 Attachment J.11

A008 Annual FY Inventory Improvement Action Plan

Attachment J.1, Paragraph C-5.4 DLA Distribution J-7

B

N/A

J7 Contract Spec 1

0 1 1

Tailored to permit contractor's format. Submit electronically

Submissions by 30 September of each year covering the next fiscal year for:

1. Actions to be taken to improve inventory accuracy obtaining/sustaining 98% Inventory accuracy and addressing

a) Achieving and sustaining year over year improvement in the reduction of cumulative aggregate dollar value and inventory adjustments

b) Achieving at least a 50% reduction of the cumulative aggregate dollar value of adjustments from previous FY cumulative aggregate dollar value of adjustments

c) Achieving at least a 50% reduction of the aggregate number of adjustments from the previous FY aggregate number of adjustments

2. Approach for completing the Cyclic Book to Floor (B2F) Inventory counts to include:

a) What best practices are to be used

b) Correcting/Updating location placards, labels, warehouse floor markings and painting outside bulk area location markings

c) All locations planograph in DSS

d) All distribution work completed IAW standard processes, ensuring all employees are working the same way, the right way, and are held accountable

3. Location surveys to be performed each month IAW C-5.4.6, The Contractor shall provide justification for deviating from the submitted plan and Location Survey schedule to the COR by the 2nd working day of each month.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the plan after evaluation by the Government, which include members from the On-Site Staff, J3 Audit Readiness, J3 Operations, J-4 Inventory and J7 Acquisition Management Offices.

Block 14 - Distribution - Contractor to submit original to Contract Specialist and copy to the COR.

1 1

EISENHOUR.JENNIFE

R.L.1364950400

Digitally signed by

EISENHOUR.JENNIFER.L.1364950400

Date: 2021.03.03 07:46:37 -05'00'

BOOTH.UNES.AARO

N.1109050845

Digitally signed by

BOOTH.UNES.AARON.1109050845

Date: 2021.03.23 08:53:17 -04'00'

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the

- Audit assertion reports are based on the Distribution Center’s [future] ability to pass audit for the upcoming month. For example, reports due prior to the end of September shall assert to the Contractor's ability to pass audit during the forthcoming month (October).

- The Contractor performing the Storage and Distribution requirements hold responsibility for ensuring the processes are being performed accurately in accordance with standard operating procedures referenced in the Contract.

- All Contractor required audit assertion reports are supported by existing monitoring and surveillance programs and systems the Contractor is currently using in accordance with the contract to monitor performance, identify shortfalls and deficiencies, determine root causes, and develop and execute corrective action plans to mitigate risk and resolve deficiencies.

- Contractor audit assertion reports provide a summary level assessment by the Contractor’s senior managers and subordinate managers and supervisors using data and information from these existing monitoring and surveillance programs.

- The Contractor's senior managers (Site and Alternate Site Manager) shall assert monthly that their assigned areas of responsibility are ready for audit (can assert) OR their areas of responsibility are not ready for audit (cannot assert or can only somewhat assert) using the report at attachment 1. For an area the senior manager reports that they are not ready for audit, the Contractor will be required to identify the audit shortfall and reference an existing Corrective Action Plan (CAP) in the Quality Management Tool (QMT) that is being executed to correct that deficiency. If there is not an existing CAP, the contractor will initiate a self-identified CAP in the QMT.

- The Contractor’s senior managers will designate a minimum of one subordinate manager or supervisor responsible for each functional area to submit a manager/supervisor report using attachment 2. For those areas the manager or supervisor asserts they are not ready for audit, the manager or supervisor will identify the shortfall and any initial corrective actions on the manager/supervisor report and be prepared to submit a Corrective Action Pan (CAP) if required by their management. If the shortfall is documented on an existing CAP in the QMT, the subordinate manager or supervisor shall reference it.

- Every senior manager, subordinate manager, and supervisor shall remain responsible and accountable for their results, to include the results of any audits conducted by external activities within their area(s) of responsibility.

- Attachments 1 and 2 are the active audit assertion reports for senior managers, subordinate managers, and supervisors. The format and content of these audit assertion reports may be revised by the Government to improve communication or refocus priorities on any DLA business cycle, area of responsibility, process, or functional area referenced in the contract. Changes to these forms will be provided to the Contractor through routine communication channels.

- Attachment 3, identifies the active audit control objectives for FY21. The Government will update their audit control objectives annually (or as needed) and provide them to the Contractor through routine communication channels. The contractor shall use the active control objectives to help determine if they are ready for audit.

- The Government encourages the use of Attachment 4, Sample Assertion Checklist (can be modified or Contractor developed) to use as EM to support each supervisor’s and manager’s assertion status. The checklists shall remain internal to the Contractor and On-site Government Personnel for reference for future testing.

- The audit assertion reports shall be signed by each supervisor and manager and a consolidated package of the reports in a functional format shall be provided to the COR NET seven (7) and NLT five (5) business days prior to the end of the month.

- Block 7 - Inspection and acceptance requirements: The COR and Distribution Center Leadership will review and accept the monthly audit assertion memos and submit to DLA Distribution.

- Block 14 - Distribution - Contractor to submit original to COR using the below attachments or updated/revised attachments provided by the Government. CDRL will not be modified for revised/updated forms.

Attachment 1 – CTR DC Audit Assertion Report for Site and Alternate Site Managers Attachment 2 – CTR DC Audit Assertion Report for Subordinate Managers Supervisors Attachment 3 – Control Objectives and Risks Attachment 4 – Sample Assertion Checklist yw06110

Highlight yw06110

DUB0000

DUB0000

Functional Area Can Assert

Can Somewhat

Assert Cannot

Not Applicable

QMT

CAP

OFFLOAD/TALLY

RECEIPT/INDUCTION

STOW/WAREHOUSING

REWAREHOUSING

STOCK SELECTION (PICK/PACK/PREP)

COSIS PROCESSES

PPP&M

PHYSICAL INVENTORY

TRANSPORTATION

RETAIL

(Insert DC Acronym)Distribution Center Name:

Assertion Month:

Site Manager Name:

Alternate Site Manager Name:

OVERALL DISTRIBUTION CENTER ASSERTION:

In support of FY21 Financial Audit, the Distribution Center Contract Management Team reports the following level of assertion:

• (Can Assert) Unmodified/Unqualified – Reasonable Assurance that Internal Controls are adhered to /No issues noted/deficiencies noted

• (Can Somewhat Assert) Modified/Qualified - Some issues noted / Some assurance (dependent upon pervasiveness to each specific process and the individual and cumulative errors/ deficiencies noted)

• (Cannot Assert) Adverse – No assurance

FUNCTIONAL AREA ASSERTIONS:

REVIEW the functional areas below and SELECT the level of assertion for that area to pass an upcoming audit using the definitions above. It is expected your assertion will be based, in part, on the inputs received from your functional area manager and supervisor assertions.

o Site Managers or Alternate Site Managers are REQUIRED to confirm an existing CAP or ensure a Chance

Discovery CAP is opened in the Quality Management Tool (QMT) for all functional area ratings of Can Somewhat Assert and Cannot Assert. SELECT the response (yes/no) below indicating whether or not a CAP is entered into the QMT.

Submission Date:

OVERALL DC ASSERTION: CAN SOMEWHAT ASSERT CANNOT ASSERTCAN ASSERT

Version 2.0 (as of 3/12/21)

DLA Distribution HQ

DC AUDIT ASSERTION PROGRAM

CONTRACTOR Site Manager/Alt Site Manager

X X Alternate Site Manager

ASSERTION SIGNATURE: I am asserting that I and all my subordinate levels of managers/supervisors/employees are executing tasks IAW all Department of Defense (DoD), Defense Logistics Agency (DLA) Policies and Regulations and DLA Distribution Standard Operating Procedures (SOPs). These policies, regulations, and procedures enable alignment of the workforce to comply with FY21 Management's Description of the System (MDS) Control Objectives and Control Activities (in SOPs) as they relate to the Internal Controls Audit for service owned items in DLA Custody.

Instruc tion:

Due By:

Return to:

PRIORITIES AND FOCUS AREAS:

IDENTIFY the Contract Team's top 3 priorities/focus areas to address assertion gaps to sustain a can assert level of audit readiness at the Distribution Center.

Priority/Focus Area 1:

Priority/Focus Area 2:

Priority/Focus Area 3:

Site Manager

Version 2.0 (as of 3/12/21)

DLA Distribution HQ

DC AUDIT ASSERTION PROGRAM

CONTRACTOR Site Manager/Alt Site Manager

As the CONTRACTOR - Site Manager/Alternative Site Manager, you are required to complete a monthly DC Audit Assertion for the Distribution Center under your supervision and submit all assertions, including CONTRACTOR functional area manager or supervisor assertions, to your designated Contractor POC.

Monthly assertions (for the current month) are due NLT 5 business day before the end of each month.

Designated Contractor POC for consolidation and submission requirements.

Please do not print and scan assertion forms. Save the completed PDF assertion form to your computer and return original to the designated Contractor POC.

SIGNATURES

Assertion Month: [ ]

Date Of Submission_af_date:

Commander/Director Name:

Deputy Name:

DC Name (Acronym):

Offload: Off

Receipt: Off

CAP-PPP&M: [NO]

CAP-Physical Invet: [NO]

CAP-Transportation: [NO]

CAP-Retail: [NO]

Stow/Warehousing: Off

CAP-COSIS: [NO]

CAP-Rewarehouse: [NO]

CAP-Offload: [NO]

CAP-Receipt: [NO]

CAP-Stow: [NO]

CAP-Stock Selection: [NO]

Rewarehousing: Off

Stock Selection: Off

COSIS: Off

PPP&M: Off

Physical Inventory: Off

Transportation: Off

Retail: Off

Priority #1:

Priority #2:

Priority #3:

OVERALL: Off

CONTRACTOR - SM/ASM: Command-Level Assertion

Save Form: SAVE FORM

DLDLA Distribution HQ

DDC AUDIT ASSERTION PROGRAM

CONTRACTOR Functional Area Manager and Supervisor

FuntionallArea Can Assert

Can Somewhat

Cannot

Not Applicable

(Insert DC Acronym)Distribution Center Name:

Assertion Month: Name

Name of Person Signing Form:

Position Title / Role:

FUNCTIONAL AREA ASSERTIONS:

SECTION I: REVIEW the functional areas below and SELECT the level of assertion for that area to pass an upcoming audit using the definitions below. It is expected your assertion will be based, in part, on the inputs received from your direct reports.

SECTION II: For those functional areas asserts in Section I that are not ready for audit (Can Somewhat Assert and Cannot Assert), IDENTIFY the shortfall and any initial corrective actions. Be prepared to submit a Corrective Action Pan (CAP) if required by management. If the shortfall is documented on an existing CAP in the Quality Management Tool (QMT), the subordinate manager or supervisor shall reference it.

Submission Date:

Version 1.0 (as of 3/18/21)

SECTION I

ASSERTION: As of this date, I am providing the following assertion(s) for the functional area(s) under my supervision to pass the upcoming FY21 Financial Audits.

• (Can Assert) Unmodified/Unqualified – Reasonable Assurance that Internal Controls are adhered to /No issues noted/deficiencies noted

• (Can Somewhat Assert) Modified/Qualified - Some issues noted / Some assurance (dependent upon pervasiveness to each specific process and the individual and cumulative errors/ deficiencies noted)

• (Cannot Assert) Adverse – No assurance

OFFLOAD/TALLY

RECEIPT/INDUCTION

STOW/WAREHOUSING

REWAREHOUSING

STOCK SELECTION (PICK/PACK/PREP)

COSIS PROCESSES

PPP&M

PHYSICAL INVENTORY

TRANSPORTATION

RETAIL

SECTION II

CONTRACTOR Functional Area Manager and Supervisor Version 1.0 (as of 3/18/21)

PHYSICAL INVENTORY- Identify and corrective actions below

Relevant Information Used tTo Make Your Determination on Assertion. IDENTIFY the shortfall and any initial corrective actions.

OFFLOAD/TALLY - Identify issue(s) and corrective actions below

RECIPT/INDUCTION - Identify issue(s) and corrective actions below

STOW/WAREHOUSING - Identify and corrective actions below

REWAREHOUSING - Identify issue(s) and corrective actions below

STOCK SELECTION - Identify issue(s) and corrective actions below

COSIS - Identify issue(s) and corrective actions below

PPP&M - Identify issue(s) and corrective actions below

X

ASSERTION SIGNATURE: I am asserting that I and all my subordinate levels of managers/supervisors/ employees are executing tasks IAW all Department of Defense (DoD), Defense Logistics Agency (DLA) Policies and Regulations and DLA Distribution Standard Operating Procedures (SOPs). These policies, regulations, and procedures enable alignment of the workforce to comply with FY21 Management's Description of the System (MDS) Control Objectives and Control Activities (in SOPs) as they relate to the Internal Controls Audit for service owned items in DLA Custody.

Digital Signature is Preferred

SIGNATURE

Instruction:

Due By:

Return to:

As a functional area manager or supervisor, you are required to complete a monthly DC Audit Assertion and submit to your designated Contractor POC.

The assertion shall be signed by each supervisor and manager and a consolidated package of all assertions shall be provided to the COR NLT five (5) business days prior to the end of the month.

Designated Contractor POC for consolidation and submission requirements.

CONTRACTOR Functional Area Manager and Supervisor Version 1.0 (as of 3/18/21)

Please do not print and scan assertion forms. Save the completed PDF assertion form to your computer and return original to the designated Contractor POC.

RETAIL - Identify issue(s) and corrective actions below:

TRANSPORTATION - Identify issue(s) and corrective actions below:

https://dlamil.dps.mil/:f:/r/teams/C11/N172/MFR%20for%20Assertion/Monthly%20Submissions%20By%20Distribution%20Center?csf=1&web=1&e=T8iWot

Blank Page

Date Of Submission_af_date:

Offload: Off

Receipt: Off

Stow/Warehousing: Off

Rewarehousing: Off

Stock Selection: Off

COSIS: Off

PPP&M: Off

Physi…