CDRL A006 - Quality Control Plan with Attachments.pdf

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

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 150 per month Material Release Order (MRO Pick/Pack 200 per month Re-Warehousing Pick 45 per month Vehicle Load Order (VLO) Truck Load 45 per month

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.

Quality Control Corrective Action Plan

(CAP)

HighGear Instructions

2/28/2020 AttachmentXXX 1

Generating a QC Corrective Action Plan (CAP) Task

• Click on “Create New” in the upper left hand corner of the screen to open available dashboard menu.

• Click on “Contract QC CAP” task

• The Contract Site QC CAP task and form will open in a new window

• Complete the Contract Site QC CAP using the instructions on the following pages

4/14/2020 Attachment 001 3

Service Provider Section

Site – (Lookup Field) Type the four letter abbreviation for the Distribution Center (i.e. DDBC, DDRV, etc.)

Significance – (Drop-Down Box) Select the significance level of the nonconformance being reported; Critical, Major, or Minor Functional Area – (Text Box) Enter the Functional Area for the nonconformance being reported (i.e. Receiving, Warehousing, etc.)

Problem Description – (Text Box) Describe the problem (nonconformance) that was discovered Root Cause Analysis – (Text Box) Provide a root cause analysis to determine the cause of the problem that is being reported Corrective / Preventive Actions – (Text Box) Provide a narrative explaining what will be done to correct the problem both in the short-term as well as the long-term

Contract Site QC CAP

4/14/2020 Attachment 001 4

Roles & Responsibilities – (Text) Explain the roles and responsibilities within the Contract organization to correct the nonconformance SP Supporting Documentation – (Attachment Field - Optional) This filed may be used to attach supporting documents CAP SP Submit Date – (Date and Time) The date and time are systemically entered when the task is submitted ECD – Provide an Estimated Completion Date – a reasonable date you believe the nonconformance can be corrected CAP SP Status – (Dropdown Field)

• Not Started – (Default value when task is generated)

• Work in Progress – this status permits the individual to enter information, save it, and come back to it later to add more information

• Submit – this status submits the task to the COR for review and acceptance

SP Rep – (Contact Field) Systemically entered with the name of the individual submitting the task.

Note: The COR will review the CAP and has the ability to rework it back to the SP should he/she have questions prior to accepting the corrective actions

Contract Site QC CAP

Quality Control �Corrective Action Plan (CAP)

Generating a QC Corrective Action Plan (CAP) Task

Slide Number 3

Slide Number 4

Compliance Checks HighGear Instructions

Receiving page 3 Pick page 5 Rewarehousing page 7 Vehicle Load Order (VLO) page 8

2/28/2020 AttachmentXXX 1

Accessing the Compliance Check Tasks

• Click on “Show All” in the upper left hand corner of the screen to open available dashboard menu.

• Click on the pin next to “OC QC Tasks” to add the dashboard to your “Pinned Dashboards” menu

• Click on “OC QC Tasks” to access the Compliance Check Tasks

• Click on the applicable task to open the Compliance Check task form

2/28/2020 AttachmentXXX 2

Receiving Compliance Check Completing the Receiving Compliance

Check Form

• Site – Prefilled by system

• Due Date – Prefilled by system

• QC Evaluator Name – System will populate once information is entered and saved

• Building Number – Enter building number where the inspection was performed

• Employee ID Being Audited – Enter the employee number of the person that completed the process you are inspecting

• Supervisor ID – If the Compliance Check failed, enter the supervisor’s employee ID

• Receipt Type – Use the dropdown menu to choose the type of receipt you are inspecting

• FSC – Enter the FSC

• NIIN – Enter the NIIN

• Mission Putaway Number – Enter the

Mission Putaway Number

• OCN – Enter the OCN

• Quantity – Enter the quantity on the label/ticket2/28/2020 AttachmentXXX 3

Receiving Quality Control

• Rec-01 through Rec-15 – Complete each

Compliance Check and mark the applicable answer

• OC Additional Comments – Enter any additional comments that pertain to your Compliance Checks, including details that may have impacted your results

• OC Attached Files – Attach Evidential Matter

• Status – Pull the drop down menu to the applicable status

• Complete – Compliance Checks are completed and you are ready to submit

• Not Started – (Default Status) Compliance Checks have not been started and no data entered into the task

• Work in Progress – Compliance Checks have been started, data has been entered into task, but the Compliance Checks are not complete.

Click on “Save” to retain your work or to submit your Compliance Checks

2/28/2020 AttachmentXXX 4

Pick Compliance Check Completing the Pick Compliance Check

Form

• QC Evaluator Name – System will populate once information is entered and saved

• Building Number – Enter building number where the inspection was performed

• Employee ID Being Audited – Enter the employee number of the person that completed the process you are inspecting

• Supervisor ID – If the inspection failed, enter the supervisor’s employee ID

• Offer Type – Use the dropdown menu to choose the offer type you are inspecting

• NIIN – Enter the NIIN

• PCN – Enter the PCN

• OCN – Enter the OCN

• Quantity – Enter the quantity on the label/ticket

2/28/2020 AttachmentXXX 5

Pick Compliance Check

• P-01 through P-09 – Complete each

Compliance Check and mark the applicable answer

• OC Additional Comments – Enter any additional comments that pertain to your Compliance Checks, including details that may have impacted your results

• OC Attached Files – Attach Evidential Matter

• Status – Pull the drop down menu to the applicable status

• Complete – Compliance Checks are completed and you are ready to submit have not been started and no data entered into the task

Click on “Save” to retain your work or to submit your Compliance Checks

2/28/2020 AttachmentXXX 6

Rewarehousing Compliance Check Completing the Rewarehousing Compliance Check Form

• QC Evaluator Name – System will populate once information is entered and saved

• Building Number – Enter building number where the inspection was performed

• Employee ID Being Audited – Enter the employee number of the person that completed the process you are inspecting

• Supervisor ID – If the inspection failed, enter the supervisor’s employee ID

• NIIN – Enter the NIIN

• PCN – Enter the PCN

• Quantity – Enter the quantity on the label/ticket

• RW-01 through RW-04 – Complete each Compliance Check and mark the applicable answer

• OC Additional Comments - Provide any additional comments that are pertinent to your inspection

• OC Attached Files - Attach evidential matter by clicking

“Upload File” and following the prompts

• Status – Pull the drop down menu to the applicable status

• Complete – Compliance Checks are completed and you are ready to submit

• Not Started – (Default Status) Compliance Checks have not been started and no data entered into the task

• Work in Progress – Compliance Checks have been started, data has been entered into task, but the Compliance Checks are not complete.

Click on “Save” at the bottom of your screen to retain your work or to submit your Compliance Checks

2/28/2020 AttachmentXXX 7

Vehicle Load Order (VLO) Compliance Check

Completing the VLO Compliance Check Form

• QC Evaluator Name – System will populate once information is entered and saved

• Building Number – Enter building number where the inspection was performed

• Employee ID Being Audited – Enter the employee number of the person that completed the process you are inspecting

• Supervisor ID – If the inspection failed, enter the supervisor’s employee ID

• V-01 – Mark applicable answer

• VLO Number – Enter the number on the

VLO

2/28/2020 AttachmentXXX 8

Vehicle Load Order (VLO) Compliance Check

• CCN 1 through CCN 5 –

• V-02 - Complete the Compliance Check and mark the applicable answer

• OC Additional Comments - Provide any additional comments that are pertinent to your inspection

• OC Attached Files - Attach evidential matter by clicking “Upload File” and following the prompts

• Status – Pull the drop down menu to the applicable status

• Complete – Compliance Checks are completed and you are ready to submit have not been started and no data entered into the task

Click on “Save” at the bottom of your screen to retain your work or to submit your Compliance

Checks

2/28/2020 AttachmentXXX 9

Compliance Checks

Accessing the Compliance Check Tasks

Receiving Compliance Check

Receiving Quality Control

Pick Compliance Check

Pick Compliance Check

Rewarehousing Compliance Check

Vehicle Load Order (VLO) Compliance Check

Vehicle Load Order (VLO) Compliance Check

DEFENSE LOGISTICS AGENCY

DISTRIBUTION

PROCESS DEVIATION AND CORRECTIVE ACTION FORM

Task ID: Date: QAE Name:

Process Adherence Deviation Details

Monitor and Focus Area:

Audited Employee ID:

Brief Description of Deviation:

Corrective Action Details

GAO-14-704G “Standards for Internal Control in the Federal Government” (Green Book) requires management to evaluate and document the results of ongoing internal control monitoring and also complete and document corrective actions to remediate internal control deficiencies on a timely basis.

Brief Description of Corrective Action Taken:

Supervisor/Lead Name: Signature: Date:

Attachment 003 - Process Deviation and Corrective Action Form

Brief Description of Deviation:

Brief Description of Corrective Action Taken:

Task ID:

QAE Name:

Date3_af_date:

Employee ID:

Date6_af_date:

Supervisor Name:

Dropdown8: [ ]

Attachment 004 of CDRL A006

PROCESS ADHERENCE MONITORING OVERVIEW

DLA Distribution has identified core process adherence focus areas as a result of both the Agency and the internal annual risk assessment. These focus areas have been developed to prioritize aspects of the business deemed to be of critical importance and areas where deviations may introduce unacceptable risk. This risk may be correlated to one deviation in a sensitive area such as FMS or aggregated in a functional area such as Receiving which is understood to have a financial impact on DLA’s audit assertions.

Compliance Process Adherence Focus Areas:

1. Critical Business Processes – Contractor QC Performed in the Government’s Quality

Management Tool (QMT)

a. Receiving

b. Materiel Release Order (MRO) Pick/Pack

c. Re-Warehousing Pick

d. Vehicle Load Order (VLO) Truck Load

2. Physical Inventory Completeness – Government QA Performed

a. Floor To Book (F2B)

3. Evidential Matter & Documentation – Government QA Performed

a. DACS-RM

4. Contractor developed Quality Control to implement QCP and assess compliance with other terms and conditions of the contract

QUALITY MANAGEMENT TOOL

DLA Distribution’s Quality Management Tool (QMT) is HighGear and is the system of record for the Compliance Program. HighGear shall furthermore be referenced as “QMT” throughout the remainder of this document.

EVIDENTIAL MATTER REQUIREMENTS

The Compliance Program was specifically designed to be performed on a mobile device to gain efficiencies in direct data entry within the QMT. In the limited instances where a mobile device is not available or system connectivity is unavailable, paper forms have been created for each of the process adherence checks. All process adherence checks are required to be entered in the QMT on the same day sampling occurred. Paper copies of process adherence forms may be destroyed upon confirmed entry into the QMT. If a process adherence sample does require Evidential Matter (EM) it will be specifically cited.

PROCEDURES

A robust and active Compliance Program relies on an independent and unbiased evaluation of the effectiveness of the execution of contract terms and conditions that include DLA policies, processes and Standard Operating Procedures (SOP). It is paramount that the Contractor execute the Compliance Program as prescribed to achieve statistically valid sample sizes and create ‘reasonable assurance’ that areas are operating effectively.

Quality Control shall:

• Ensure randomization is used when selecting samples to be monitored

• Move regularly from area to area, building to building, process to process, within a

Distribution Center (DC) to ensure all areas and shifts of the DC are monitored on a regular basis

PERFORMING A SAMPLE

1) Quality Control shall login to the Quality Management Tool (QMT) and access their weekly workload.

a. The workload will specify the distribution processes to be monitored and will provide the samples to be performed.

b. The workload will include targeted monitoring for specific employees with process deviations within the last three (3) weeks.

i. If the employee is not available on the day the QMT schedules a targeted sample, the sample will remain on the worklist the following day(s) until completed.

ii. Quality Control shall prioritize targeted monitoring over routine workload drops.

Targeted samples will be credited as completed workload

2) Proceed to the appropriate area where the distribution process occurs and approach a employee (e.g. Material Examiner and Identifier) where workload has been recently completed.

Quality Control shall strive to maintain a regular rotation of employees audited to ensure a proper representation of all employees in a functional area being monitored.

a. For targeted audits, the QMT schedules a specific employee who must have at least one sample performed during that day.

3) Select a processed item at or around the employees’ workstation for monitoring. A maximum of two (2) processed items may be audited per employee, per week, unless a deviation is found within those two samples. A maximum of five (5) samples may be performed at a single workstation per shift. The exception will be if available employees or workstations limits reaching the overall minimum requirement for DCs weekly samples. In this instance the maximum of two (2) items or five (5) workstations may be disregarded.

a) If a process deviation is found within an initial sample for an employee, an additional three (3) samples shall be performed for that employee within the next three (3) weeks, which are scheduled by the QMT.

b) Monitor a wide variety of size, materials and counts are sampled throughout a day.

c) Ensure all process areas and all employees are represented in samples.

d) Ensure that a variety of types of size, materials and counts are represented in samples.

e) Quality Assurance will monitor for compliance in these areas of sampling.

PROCEDURES FOR CRITICAL BUSINESS PROCESSES MONITORING

Process Adherence Monitoring

There are two (2) types of monitoring attributes on the checklist:

Critical attribute - Critical attributes are the actions/transactions that directly affect the accounting records of an Agency/Organization. Critical attributes are required to be verified when conducting process adherence monitoring and will have a response of “Yes” or “No.” “Yes” is acceptable, “No” is a deviation.

Non-critical attribute – Non-critical attributes are the actions/transactions that do not directly affect the accounting records of an Agency/Organization. Non-critical attributes will be considered any deviation identified that is not specified as a “Yes or No” question on the process adherence monitoring form.

Identifying process deviations allows the organization to review and analyze the health of work areas, training gaps, process flow/control issues, workforce knowledge and understanding of the standard process.

1. Identification of a critical process deviation requires Quality Control to notify the first line supervisor or responsible shift supervisor. Quality control completes the entry of the process adherence sampling data in QMT, complete their portion of the ‘Process Deviation & Corrective Action’ (PDCA) form and send the PDCA electronically to the supervisor. Upon completion of the PDCA form, the supervisor shall email the form to the QAE. The QAE shall then upload the completed form into the QMT for audit documentation.

2. A critical attribute deviation requires the supervisor to direct the employee to correct the deviation within one (1) business day.

3. A non-critical attribute deviation must be corrected immediately by the employee and Quality Control shall note the correction on the QMT form in the additional comments section. No further action is required.

Documenting Process Adherence Monitoring

All data entry recording process adherence monitoring shall be documented within DLA’s QMT.

The following will be on the business process checklists found within the QMT:

1. Generic Data Attributes: Generic data attributes are data points that help identify where, when and by whom monitoring was performed, provide important document/control numbers to trace the sample and provide information on the type of monitoring. These data attributes will be found on at least one checklist, however, may not be on all checklists. If the data attribute is mandatory, it will be marked with an (M).

a) (M) Site: The four (4) letter DLA Depot location identifier. Shall begin with “DD”

(example: DDSP)

b) (M) Quality Control Evaluator Name: The name of the individual performing the Quality Control check. This data field will be auto populated by the QMT.

c) (M) Building Number: The building number where the monitoring occurred.

d) (M) Employee ID: The employee ID of the employee who processed the item being sampled. If the Employee ID is not printed on the paperwork, the employee shall be asked for their Employee ID, or the information may be obtained in DSS.

e) Supervisor ID: The employee ID of the first line supervisor of the employee who processed the item being sampled.

i. This field is mandatory when a deviation is identified.

f) (M) Receipt/ Offer Type: Specify which type of receipt (Receiving) or Offer (Packing) is being audited. This is a dropdown list.

g) (M) Federal Stock Class (FSC): The FSC for the item being sampled.

i. If the National Item Identifier Number (NIIN) is a local stock number, or a part number was used in the NIIN field, use “0000” as the FSC.

h) (M) National Item Identifier Number (NIIN): The NIIN for the item being sampled.

i) (M) Mission Putaway Number: The Mission Putaway number found on the Mission Putaway. (Receiving Only)

j) (M) Operations Control Number (OCN): The OCN number which shall be found on the Evidential Matter (EM) coversheet. (Receiving Only)

k) (M) Pick Control Number (PCN): The PCN which shall be found on the 1348-1A. (Picking or Packing and Rewarehousing Only)

l) Carton Control Number (CCN): The CCN number which shall be found on the outer carton or on the pallet, if available. The CCN is not a mandatory field as it may not always apply.

(Picking or Packing and Outloading Only)

m) (M) Vehicle Load Order (VLO) Number: The VLO number which shall be found on the

VLO printout. (Outloading only)

n) (M) Quantity: The quantity of material being audited. (Receiving, Picking or Packing and Rewarehousing Only)

2. Critical Attributes: The following is a list of critical attributes that will be found on a process adherence sampling form. The following attributes are broken down per functional process being sampled. All critical attributes are mandatory and must be verified during an audit. If a scenario occurs where a critical attribute cannot be verified, but does not result in a deviation, the default response is “Yes” on the form.

Receipt Process Adherence Sampling

NOTE: EM on the form refers to the Receiving Document (example: DD-250) and the Cover Sheet.

Both documents must match and be verified.

Questions:

a) Mission Putaway NIIN matches the MIL-STD-129 label NIIN: Does the Mission Putaway

NIIN match the NIIN found on the MIL-STD-129 label?

i. IF Yes, input “Yes” on the checklist (compliant)

ii. IF No, input “No” on the checklist (deviation)

b) Mission Putaway NIIN matches EM: Does the Mission Putaway NIIN match the NIIN found on the EM package?

c) Mission Putaway Unit of Issue (UI) matches MIL-STD-129: Does the Mission Putaway UI match the UI found on the MIL-STD-129 label?

d) Mission Putaway UI matches EM: Does the Mission Putaway UI match the UI found on the EM package?

e) Mission Putaway PIIN matches the MIL-STD-129 label PIIN: THIS ONLY APPLIES TO NEW PROCUREMENT RECEIPTS. Does the PIIN on the Mission Putaway match the PIIN on the MIL-STD-129 label?

i. IF not New Procurement, input “Yes” on the checklist (compliant)

ii. IF new procurement and Yes, input “Yes” on the checklist (compliant)

iii. IF new procurement and No, input “No” on the checklist (deviation)

f) Mission Putaway PIIN/Document # matches EM: Does the Mission Putaway PIIN/Document Number match the PIIN/Document Number on the EM package?

g) Physical Count matches Mission Putaway: Does the Mission Putaway count match the physical count?

h) Physical Count matches EM: Does the EM package count match the physical count?

i) Condition code matches Mission Putaway: Does the Mission Putaway condition code match the physical material’s condition? Because the material will likely not be labeled with a condition code, the QAE shall determine if the material VISUALLY appears to match the CC on the Mission Putaway.

j) Condition code matches EM: Does the EM condition code match the physical material’s condition? Because the material will likely not be labeled with a condition code, the QAE shall determine if the material VISUALLY appears to match the CC on the EM.

k) Receiver signed and dated the EM: Was the cover sheet AND receiving document signed by the receiver?

l) OCN was recorded on the EM: Was the OCN recorded on the receiving document?

m) Owner RIC assignment is correct: Does the owner assignment on the cover sheet of the EM package match the owner on the receiving document. IF the EM cover sheet states there was PMR, the owner is assumed correct. If there was no PMR, refer to SOP 4000.02 for determining if the correct owner RIC was selected.

i. IF the EM cover sheet states there was PMR, the owner is assumed correct, input “PMR was Yes” on the checklist (compliant)

ii. IF Yes, input “Yes” on the checklist (deviation)

iii. IF No, input “No” on the checklist (deviation)

n) If an SDR was required, was it generated: If an SDR was required, was it generated?

iii. IF an SDR was not required, input “NA” on the checklist (deviation)

o) Is the Shelf Life acceptable: Was the shelf life reviewed and acceptable?

i. IF the shelf life is acceptable, input “Yes” on the checklist (compliant)

ii. IF there is no shelf life, input “Yes” on the checklist (compliant)

iii. IF the shelf life is unacceptable, but an SDR was written and the Condition Code reflects the unacceptable SL, input “Yes” on the checklist (compliant)

iv. IF the shelf life is unacceptable and was not caught, input “No” on the checklist (deviation)

Pick Process Adherence Sampling

a) MIL-STD-129 label NIIN matches Document: Does the NIIN on the physical material’s MIL-STD-129 label match the NIIN found on the picking document (example: DD-1348- 1A)?

b) MIL-STD-129 label UI matches Document: Does the UI on the physical material’s MIL-

STD-129 label match the UI found on the picking document (example: DD-1348-1A)?

c) Physical Count matches document: Does the physical count match the picking quantity found on the picking document (example: DD-1348-1A)?

d) Condition Code matches document: Does the physical condition of the material match the

Condition Code of the picking document (example: DD-1348-1A)?

e) Adequately Packaged: Is the material properly packaged and labeled?

f) Is a copy of the shipping document in the package: Was there a copy of the shipping document within the package (if applicable per the SOP)?

ii. IF not required due to an exception in the SOP, input “Yes” on the checklist

(compliant)

g) Document Number on the picking document matches Shipping Labels: If the item was offered for shipping, does the document number on the picking document match the shipping label? This is NOT applicable if the material has not yet been offered.

ii. IF not applicable due to the material has not been offered, input “Yes” on the checklist (compliant)

h) Weight is Correct on Offer Label: Does the physical weight match the weight on the shipping labels?

i) Is the Shelf Life acceptable: Was the shelf life reviewed and acceptable?

i. IF the shelf life is acceptable, input “Yes” on the checklist (compliant)

ii. IF there is no shelf life, input “Yes” on the checklist (compliant)

iii. IF the shelf life is unacceptable, input “No” on the checklist (deviation)

Rewarehouse Process Adherence Sampling

a) MIL-STD-129 label NIIN matches Document: Does the NIIN on the physical material’s MIL-STD-129 label match the NIIN found on the rewarehouse ticket?

b) MIL-STD-129 label UI matches Document: Does the UI on the physical material’s MIL-

STD-129 label match the UI found on the rewarehouse ticket?

c) Physical Count matches document: Does the physical count match the picking quantity found on the rewarehouse ticket?

Outloading Vehicle Load Order Process Adherence Sampling

a) VLO Print Status: Was the VLO printed?

i. IF Yes, input “Yes” on the checklist and continue with the sample (compliant)

ii. IF No, input “No” on the checklist and proceed no further (deviation)

b) Verify 5 random CCNs on the truck are on the VLO: Was the material accounted for on the VLO?

3. Additional Comments: For any deviation identified that is not considered a critical attribute, document the deviation within the additional comments section.

4. Upload Documents: Paper documents are NOT required if no deviation is identified during the sampling. If a deviation is identified, the only required document to be uploaded is a completed Process Deviation & Corrective Action Form. Additional pictures and documents may be uploaded, however, are not required.

Receipt Process Adherence Sampling

Pick Process Adherence Sampling

Rewarehouse Process Adherence Sampling

Outloading Vehicle Load Order Process Adherence Sampling

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: