Purpose

The purpose of this procedure is to establish a structured approach for developing and implementing Corrective Action Plans (CAPs) to address deficiencies, non-compliance, or underperformance by contractors. This ensures that contractors align with service expectations and performance goals while fostering accountability and improvement.

Scope

This procedure applies to all instances where contractor performance issues arise, including but not limited to:

• Persistent recurring issues such as missed service KPIs or operator shortages.
• Critical incidents, including safety violations or major service disruptions.
• Breaches of contractual obligations, including missed deadlines or inadequate training.
• High volumes of customer complaints or negative feedback regarding contractor performance.

Responsibilities

Leadership:

• Ensure that CAP guidelines are communicated to contractors and monitored effectively.
• Oversee the resolution of system-related CAP issues impacting contractor performance.
• Approves release of CAPs to Contractors

Compliance Lead

• Collaborate with contractors to draft, review, and finalize CAPs.
• Ensure all CAP timelines, actions, and reporting requirements are clearly defined and documented.
• Maintain CAP records and facilitate audits for compliance.

Contractor Management Team:

• Identify root causes of deficiencies and propose actionable corrective measures.
• Execute assigned corrective actions within the agreed timeline.
• Provide regular updates on CAP progress and submit final performance reports.

Quality Assurance (QA) Team:

• Includes Transportation Administrators, Fleet Managers, and others.
• Validate the effectiveness of CAP implementation through performance metrics, audits, or customer feedback.
• Recommend follow-up measures to ensure sustained compliance and improvement.
• Track performance improvements using KPIs after CAP implementation.
• Engage with the contractor to address ongoing or unresolved issues.

CAP Resources

1. CAP Template

2. CAP Example

3. CAP Tracking
4. Understanding the CAP Categorization Process
5. Training Slidedeck