J.5 Contractor Performance Self Assessment Worksheet_V2.pdf

Contractor Performance Assessment Reporting System (CPARS) Contractor Performance Self-Assessment Report Worksheet

“FOR OFFICIAL USE ONLY – SOURCE SELECTION INFORMATION” – See FAR 2.101 and 3.104

Contract No./Order No. Contractor Assessment Date

Assessor's Name Assessor's Phone Number Assessor's E-mail Address

Self-Assessment Purpose Period of Performance Start Date: Period of Performance End Date:

See Tables 42-1 and 42-2 starting on Page 4 for Rating Definitions and Notes in accordance with FAR 42.1503.

Select a rating from the pull down menus below and provide a detailed justification for each assigned rating.

Quality Rating Consider conformance to contract requirements and standards of good workmanship of commonly accepted technical, professional, environmental, or safety standards; meeting contract specifications and performance requirements, the accuracy of reports and data, process effectiveness, staff knowledge and skills, the degree of Government technical direction required to solve problems during performance, maintaining quality control, correction of deficient work, coordination between disciplines, quality of final product and/or service, etc.

Provide justification to substantiate rating.

Schedule Rating Consider the timeliness of the contractor against the completion of contract deliverables (services, reports, etc.), adequacy of scheduling the work, administrative milestone dates, furnishing deliverables on or ahead of schedule, updating project schedules on a timely basis, schedule slip through contractor's negligence, assess corrective actions, etc.

Provide justification to substantiate rating.

“FOR OFFICIAL USE ONLY – PROCUREMENT SENSITIVE” – See FAR 2.101 and 3

Cost Control Rating / Value Added Services Consider the currency, accuracy, and completeness of contractor invoicing, efforts to provide cost savings or value added services such as suggesting forecasting tools, encouraging enrollment in a demand response program, proposing energy savings initiatives, discuss causes for cost overruns or underruns, etc.

Provide justification to substantiate rating. NOTE: This section is not applicable for Fixed Price.

“FOR OFFICIAL USE ONLY – PROCUREMENT SENSITIVE” – See FAR 2.101 and 3.104

Management Rating Consider the interaction between Contractor and Government and interaction and coordination of all activity needed to execute the contract - customer orientation, problem identification and solving, government furnished property management; risk management practice, planning, organizing and otherwise managing of the work, etc.

Provide justification to substantiate rating.

Small Business Subcontracting Rating Assess with all terms and conditions in the contract relating to Small Business participation. NOTE: This area must be rated for all contracts and task orders that contain a small business subcontracting goal. This section is not applicable to contracts/orders awarded to a Small Business prime.

Other Areas Rating Specify additional evaluation areas that are unique to a contract/order, or that cannot be captured elsewhere in the evaluation. More than one type of entry may be included, but should be separately labeled (e.g., award fee).

“FOR OFFICIAL USE ONLY – PROCUREMENT SENSITIVE” – See FAR 2.101 and 3.104

Regulatory Compliance Rating Assess compliance with all terms and conditions in the contract/order relating to applicable regulations and codes including contract clauses, reporting requirements, quality assurance surveillance plans; and FAPIIS reporting, financial reporting, environmental reporting, safety requirements, standard and/or unique specific contract requirements, etc.Provide justification to substantiate rating.

Provide justification to substantiate rating.

Assessor's Signature

RATING SCHEMES

FAR 42.1503 - Procedures

Table 42-1 - Evaluation Rating Definitions

Rating Evaluation Ratings Definitions1 Notes

Exceptional (E) Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

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

To justify a Very Good rating, identify a significant event and state how it was a benefit to the Government. There should have been no significant weaknesses identified.

Satisfactory (S) 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.

To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract/order. There should have been NO significant weaknesses identified.

A fundamental principle of assigning ratings is that contractors will not be evaluated with a rating lower than Satisfactory solely for not performing beyond the requirements of the contract/order.

Marginal (M) Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated 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.

To justify Marginal performance, 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 (U) Performance does not meet most contractual requirements and recovery is

To justify an Unsatisfactory rating, identify multiple significant events in

1 Reference FAR 42.1503, Table 42-1 not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, 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).

Not Applicable (N/A)

Performance in this area not applicable to the effort assessed.

Not Applicable should be used if the ratings are not going to be applied to a particular area for evaluation.

NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change the evaluation status.

Table 42-2 -Evaluation Rating Definitions [For the small business subcontracting evaluation factor, when 52.219-9 is used]

Rating Small Business Evaluation Ratings Definitions2 Notes

Exceptional (E) Exceeded all statutory goals or goals as negotiated. Had exceptional success with initiatives to assist, promote, and utilize small business (SB), small disadvantaged business (SDB), women-owned small business (WOSB), HUBZone small business, veteran-owned small business (VOSB) and service disabled veteran owned small business (SDVOSB).

Complied with FAR 52.219-8, Utilization of Small Business Concerns. Exceeded any other small business participation requirements incorporated in the contract/order, including the use of small businesses in mission critical aspects of the program. Went above and beyond the required elements of the subcontracting plan and other small business requirements of the contract/order. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner. Did not have a history of three or more unjustified reduced or untimely payments to small business subcontractors within a 12-month period.

To justify an Exceptional rating, identify multiple significant events and state how they were a benefit to small business utilization. A singular benefit, however, could be of such magnitude that it constitutes an Exceptional rating. Small businesses should be given meaningful and innovative work directly related to the contract, and opportunities should not be limited to indirect work such as cleaning offices, supplies, landscaping, etc. Also, there should have been no significant weaknesses identified.

2 Reference FAR 42.1503 Table 42-2

Very Good (V) Met all of the statutory goals or goals as negotiated. Had significant success with initiatives to assist, promote and utilize SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB. Complied with FAR 52.219-8, Utilization of Small Business Concerns.

Met or exceeded any other small business participation requirements incorporated in the contract/order, including the use of small businesses in mission critical aspects of the program. Endeavored to go above and beyond the required elements of the subcontracting plan. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner. Did not have a history of three or more unjustified reduced or untimely payments to small business subcontractors within a 12-month period.

To justify a Very Good rating, identify a significant event and state how it was a benefit to small business utilization.

Small businesses should be given meaningful and innovative opportunities to participate as subcontractors for work directly related to the contract, and opportunities should not be limited to indirect work such as cleaning offices, supplies, landscaping, etc. There should be no significant weaknesses identified.

Satisfactory (S) Demonstrated a good faith effort to meet all of the negotiated subcontracting goals in the various socio-economic categories for the current period. Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met any other small business participation requirements included in the contract/order. Fulfilled the requirements of the subcontracting plan included in the contract/order. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner.

To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor has addressed or taken corrective action.

There should have been no significant weaknesses identified. A fundamental principle of assigning ratings is that contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract/order.

Marginal (M) Deficient in meeting key subcontracting plan elements. Deficient in complying with FAR 52.219-8, Utilization of Small Business Concerns, and any other small business participation requirements in the contract/order. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or timely manner. Failed to satisfy one or more requirements of a corrective action plan currently in place; however, does show an interest in bringing performance to a satisfactory level and has demonstrated a commitment to apply the necessary resources to do so. Required a corrective action plan.

To justify Marginal performance, identify a significant event that the contractor had trouble overcoming and how it impacted small business utilization. A Marginal rating should be supported by referencing the actions taken by the government that notified the contractor of the contractual deficiency.

Unsatisfactory (U) Noncompliant with FAR 52.219-8 and 52.219-9, and any other small business participation requirements in the contract/order. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or

To justify an Unsatisfactory rating, identify multiple significant events that the contractor had trouble overcoming and state how it impacted small business utilization. A singular problem, however, could be of such timely manner. Showed little interest in bringing performance to a satisfactory level or is generally uncooperative.

Required a corrective action plan.

serious magnitude that it alone constitutes an Unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the actions taken by the government to notify the contractor of the deficiencies. When an Unsatisfactory rating is justified, the contracting officer must consider whether the contractor made a good faith effort to comply with the requirements of the subcontracting plan required by FAR 52.219-9 and follow the procedures outlined in FAR 52.219-16, Liquidated Damages-Subcontracting Plan.

Not Applicable (N/A)

Performance in this area not applicable to the effort assessed.

NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change evaluation status.

NOTE 2: Generally, zero percent is not a goal unless the Contracting Officer determined when negotiating the subcontracting plan that no subcontracting opportunities exist in a particular socio-economic category. In such cases, the contractor shall be considered to have met the goal for any socio-economic category where the goal negotiated in the plan was zero.