Attachment 1 - Sample Contractor Performance Assessment Report.pdf

FORM AND INSTRUCTIONS

FOR COMPLETING A SERVICES,

INFORMATION TECHNOLOGY, OR

OPERATIONS SUPPORT CPAR

SERVICES, INFORMATION TECHNOLOGY, AND OPERATIONS

SUPPORT CPAR FORM

FOR OFFICIAL USE ONLY (When Filled In)

CONTRACTOR PERFORMANCE ASSESSMENT

REPORT (CPAR) -

(Source Selection Sensitive Information)(See FAR 3.104)

SERVICES

INFORMATION TECHNOLOGY

OPERATIONS SUPPORT

1. NAME/ADDRESS OF CONTRACTOR (Division)

2.

INITIAL

INTER-

MEDIATE

FINAL

REPORT

ADDENDUM

2. PERIOD OF PERFORMANCE BEING ASSESSED

CAGE CODE DUNS+4 NUMBER 4a. CONTRACT AND ORDER NUMBER 4b. DoD BUSINESS SECTOR & SUB-

SECTOR

FSC OR SERVICE CODE SIC Code 5. CONTRACTING OFFICE (ORGANIZATION AND CODE)

6. LOCATION OF CONTRACT PERFORMANCE (If not in item 1) 7a. CONTRACTING OFFICER

7b. PHONE NUMBER

8. CONTRACT AWARD DATE

9. CONTRACT COMPLETION DATE

10.

N/A

11. AWARDED VALUE

12. CURRENT CONTRACT DOLLAR

VALUE

13. COMPETITIVE NON-COMPETITIVE

14. CONTRACT TYPE

FFP

FPI

FPR

CPFF

CPIF

CPAF

MIXED

OTHER

15. KEY SUBCONTRACTORS AND DESCRIPTION OF EFFORT PERFORMED

16. PROGRAM TITLE AND PHASE OF ACQUISITION (If applicable)

17. CONTRACT EFFORT DESCRIPTION (Highlight key components, technologies and requirements; key milestone events and major modifications to contract during this period.)

CURRENT RATING

18. EVALUATE THE FOLLOWING AREAS PAST Rating Unsatisfactory Marginal Satisfactory Very Good Exceptional N/A

a. QUALITY OF PRODUCT OR SERVICE

b. SCHEDULE

c. COST CONTROL

d. BUSINESS RELATIONS

e. MANAGEMENT OF KEY PERSONNEL *

f. OTHER AREAS

(1)

(2)

* Not applicable to Operations Support

SERVICES, INFORMATION TECHNOLOGY, AND OPERATIONS

SUPPORT

CPAR FORM (continued)

19. N/A

20. ASSESSING OFFICIAL (PROGRAM MANAGER OR EQUIVALENT INDIVIDUAL RESPONSIBLE FOR PROGRAM, PROJECT, OR TASK/JOB ORDER EXECUTION) NARRATIVE (SEE PARA.

1.3)

21. TYPE NAME AND TITLE OF ASSESSING OFFICIAL (SEE PARA. 1.3) ORGANIZATION & CODE PHONE NUMBER

SIGNATURE DATE

22. CONTRACTOR COMMENTS (Contractor’s Option)

23. TYPE NAME AND TITLE OF CONTRACTOR REPRESENTATIVE PHONE NUMBER

24. REVIEW BY REVIEWING OFFICIAL (Comments Optional)

25. TYPE NAME AND TITLE OF REVIEWING OFFICIAL ORGANIZATION AND CODE PHONE NUMBER

INSTRUCTIONS FOR COMPLETING A

SERVICES, INFORMATION TECHNOLOGY,

OR OPERATIONS SUPPORT CPAR FORM

Block 1 - Name/Address of Contractor. State the name and address of the division or subsidiary of the contractor performing the contract. Identify the parent corporation (no address required). Identify the contractor's Commercial and Government Entity (CAGE) code1, Data Universal Numbering System

DUNS+4 number2, Federal Supply Classification (FSC) or Service Code 3, and Standard Industry Classification (SIC) Code4.

1 CAGE Code: Unique five character company identification number issued by the Defense Logistics Service Center (DLSC) to identify DoD contractors. It is automatically assigned and validated in the registration process.

2 DUNS: Unique nine character company identification number issued by Dun & Bradstreet Corporation. DUNS+4 is a four character suffix assigned by the trading partner to identify a division or affiliate.

3 FSC or Service Code: The 4-character federal supply classification or service code that describes the contract effort. To find the code, look in Section I of the Department of Defense (DoD) Procurement Coding Manual (MN02). There are three categories of codes to choose from. In some cases, use a 4-character code from a list of 4-character codes; in other cases, construct a code using the instructions in the Manual. If more than one category or code applies to the contracting action, enter the one that best identifies the product or service representing the largest dollar value.

4 SIC Code: These codes are in the OMB Standard Industrial Classification Manual. If more than one code applies to the contracting action, enter the one that best identifies the product or service representing the largest dollar value.

Block 2 - Type Report. Indicate whether, in accordance with section C, paragraph 6, the CPAR is an initial, intermediate, or final report. If this is an out-of-cycle report, check “intermediate”. If this is a report to record contractor performance relative to contract close-out or other administrative requirements, check “Addendum.”

Block 3 - Period of Performance Being Assessed. State the period of performance covered by the report (dates must be in MM/DD/YY format). In no instance should a period of evaluation include previously reported effort (i.e., CPARs are not cumulative or overlapping). CPAR assessments for "intermediate" reports should only cover a 12 month period of performance; therefore, the report should not reflect a period of performance greater than 12 months. Exceptions to this rule for special circumstances, such as a period of performance that ends one month before contract completion, must be approved by the CPAR focal point. The CPAR focal point has the authority to approve extensions when special circumstances arise.

Block 4a - Contract and Order Number. Self-explanatory. If an order is issued under a Basic Ordering Agreement (BOA) state BOA number and order number under the BOA.

Block 4b - DoD Business Sector and Sub-Sector. The Services sub-sectors are:

Professional/Technical and Management Support Services, Repair and Overhaul (excludes ship repair and overhaul), Installation Services and DoD Transportation System Services. The Information Technology sub-sectors are: Software, Hardware, and Telecommunications Equipment or Services.

The Operations Support sub-sectors are: Mechanical, Structural, Electronics, Electrical, Ammunition, Troop Support, and Base Supplies.

Block 5 - Contracting Office (Organization and Code). Self-explanatory.

Block 6 - Location of Contract Performance. Self-explanatory.

Block 7a - Contracting Officer. Self-explanatory.

Block 7b - Phone Number. Self-explanatory.

Block 8 - Contract Award Date. Self-explanatory.

Block 9 - Contract Completion Date. Self-explanatory.

Block 10 - N/A. Not applicable.

Block 11 - Awarded Value. Total value of contract including unexercised options and orders.

Block 12 - Current Contract Dollar Value. State the current funded amount including options of the contract as of the report date, inclusive of modifications. For incentive contracts, state the target price or total estimated amount. For IDIQ contracts the current contract dollar value will be the awarded value plus (+) the value of delivery orders and modifications. Under a Basic Ordering Agreement, this would be the total value of all orders issued as of the report date.

Block 13 - Basis of Award. Identify the basis of award by placing an "X" in the appropriate box.

Block 14 - Contract Type. Identify the contract type. For mixed contract types, check the predominate contract type and identify the other contract type in the "mixed" block.

Block 15 - Key Subcontractors and Description of Effort Performed. Identify the subcontractors and provide a short description of the effort that they are performing. If possible, include the amount of subcontract costs of the total contract effort. Discussion of the prime contractor’s management of the subcontractor should be included in Block 18d - Business Relations. State whether the contractor met small/small disadvantaged and women-owned business participation goals.

Block 16 - Program Title and Phase of Acquisition. Provide a short descriptive narrative of the program. Spell out all abbreviations. Identify the type of services (for example, professional services, maintenance, installation or information technology services).

Block 17 - Contract Effort Description. Provide a description of the contract effort that identifies the key requirements and/or type of effort. This section is of critical importance to future source selections.

The description should be detailed enough so that it can be used in determining the relevancy of this program to future source selections. Also, keep in mind that users of this information may not understand program jargon. It is important to address the complexity of the contract effort and the overall technical risk associated with accomplishing the effort. For task/delivery order contracts, state the number of orders issued during the period.

Block 18 - Evaluation Areas. Evaluate each area based on the following criteria:

18.1. Each area assessment must be based on objective data that will be provided in Block 20. Facts to support specific areas of evaluation must be requested from the contracting officer and other government specialists familiar with the contractor's performance on the contract under review. Such specialists may, for example include the Contracting Officer’s Representative (COR) for the program and may also, be from engineering, manufacturing, quality, logistics (including provisioning), contract administration services, maintenance, security, data, etc.

18.2 The amount of risk inherent in the effort should be recognized as a significant factor and taken into account when assessing the contractor's performance. When a contractor identifies significant technical risk and takes action to abate those risks, the effectiveness of these actions should be included in the narrative supporting the Block 18 ratings.

18.3 The CPAR is designed to assess prime contractor performance. However, in those evaluation areas where subcontractor actions have significantly influenced the prime contractor's performance in a negative or positive way, record the subcontractor actions in Block 20.

18.4 Evaluate all areas which pertain to the contract under evaluation, unless they are not applicable - ”N/A”.

18.5 When performance has changed from one period to another such that a change in rating results, the narrative in Block 20 must address each change.

18.6 The assessing official (see para. 1.3) should use customary industry quantitative measures where they are applicable if the contract is for commercial products.

18.7 Ratings will be in accordance with the definitions described below in Figure A1.1.

Block 18a - Quality of Product or Service. Assess the contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety and health standards).

For example: Are reports/data accurate? Does the product or service provided meet the specifications of the contract? Does the contractor’s work measure up to commonly accepted technical or professional standards? Assess the degree of Government technical direction required to solve problems that arise during performance.

For Operations Support: Assess how successfully the contractor meets program quality objectives such as producibility, reliability, maintainability and inspectability. The assessing official (see para. 1.3) must be flexible in how contractor success is measured; e.g., using data from field reliability and maintainability and failure reports, user comments and acceptance rates, and scrap and rework rates. These quantitative

Exceptional. Performance meets contractual requirements and exceeds many to the Government’s benefit. 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.

Note: To justify an Exceptional rating, you should identify multiple significant events in each category and state how it was a benefit to the GOVERNMENT. However a singular event could be of such magnitude that it alone constitutes an Exceptional rating. Also there should have been NO significant weaknesses identified.

Very Good. Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

Note: To justify a Very Good rating, you should identify a significant event in each category and state how it was a benefit to the GOVERNMENT. Also there should have been NO significant

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.

Note: To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract. Also there should have been NO significant

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.

Note: To justify Marginal performance, you should identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the GOVERNMENT. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g,. Management, Quality, Safety or Environmental Deficiency Report or letter).

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 being assessed contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

Note: To justify an Unsatisfactory rating, you should identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the GOVERNMENT.

However, a singular problem could be of such serious magnitude that it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g. Management, Quality, Safety or Environmental Deficiency Reports, or letters).

NOTE 1: N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation.

Figure 18.1 Evaluation Ratings.

indicators may be useful later, for example, in source selection evaluations, in demonstrating continuous improvement, quality and reliability leadership that reflects progress in total quality management. Assess the contractor’s control of the overall production process to include material control, shop planning and control, and statusing.

Block 18b - Schedule. Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

This assessment of the contractor’s adherence to the required delivery schedule should include the contractor’s efforts during the assessment period that contribute to or effect the schedule variance.

This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation.

Block 18c - Cost Control. (Not required for Firm Fixed Price or Firm Fixed Price with Economic Price Adjustment). Assess the contractor’s effectiveness in forecasting, managing, and controlling contract cost.

For example, does the contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the contractor’s budgetary internal controls adequate?

Block 18d - Business Relations. Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s history of reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts, and whether the contractor met small/small disadvantaged and women-owned business participation goals.

Is the contractor oriented toward the customer? Is interaction between the contractor and the government satisfactory, or does it need improvement? Timely award and management of subcontractors should include subcontract costs and problem resolution. Also, in making the assessment, include the adequacy of the contractor’s accounting, billing, and estimating systems;

and the contractor’s management of Government Property (GFP), if a substantial amount of GFP has been provided to the contractor under the contract.

Block 18e - Management of Key Personnel (For Services and Information Technology Business Sectors only - Not Applicable to Operations Support). Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

For example, how well did the contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

Block 18f - Other Areas. Specify additional evaluation areas that are unique to the contract, or that cannot be captured elsewhere on the form. More than one type of entry may be included, but should be separately labeled. If extra space is needed, use Block 20.

For an award fee contract, identify elements of performance critical to the award fee determination which are not captured in Block 18 a to e. All evaluation areas shall be consistent with the award fee.

If any other type of contract incentive is included in the contract (excluding contract shareline incentives on fixed price or cost-type contracts), it should be reported in a manner similar to the procedures described above for award fee.

Use Block 18f in those instances where the assessing official (see para. 1.3) believes strongly, either positively or negatively, regarding an aspect of the contractor's performance, but cannot fit that aspect into any of the other blocks on the form.

Block 19 - N/A. Not applicable.

Block 20 - Assessing official (or Equivalent Individual Responsible for Program, Project, Task/Job Order Execution) Narrative (see paragraph 1.3). A short, factual narrative statement is required for all assessments regardless of rating. Cross-reference the comments in Block 20 to their corresponding evaluation area in Block 18. Each narrative statement in support of the area assessment must contain objective data. An exceptional cost performance assessment could, for example, cite the current underrun dollar value and estimate at completion. A marginal assessment could, for example, be supported by information concerning personnel changes or schedule delinquency rate. Key personnel familiar with the effort may have been replaced by less experienced personnel. Sources of the data used by the assessing official (see para. 1.3) for the assessment may include customer/field surveys or evaluation of contractor reports. The PCO/ACO shall be contacted to ensure that all applicable data has been incorporated.

The final entry in this block will be a statement by the evaluator in the following form: “Given what I know today about the contractor’s ability to execute what he promised in his proposal, I (definitely would not, probably would not, might or might not, probably would or definitely would) award to him today given that I had a choice”.

Block 21 - Assessing official (see Paragraph 1.3) Signature. The assessing official "signs and dates" the form prior to making it available to the contractor for review. (See Section C, paragraph 7.5. for guidance on sending the CPAR to the contractor for review and comment.)

Block 22 - Contractor Comments. Contractor comments are optional(see paragraph 7.5.2.5).

Block 23 - Contractor Representative Signature. Self-explanatory.

Block 24 - Reviewing Official Comments. The reviewing official must acknowledge consideration of any significant discrepancies between the assessing official assessment and the contractor's comments.

Block 25 - Reviewing Official Signature. Self-explanatory. See section C, paragraph 7.8 and Table 1 (page 3) for guidance as to who may act as the reviewing official.