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Performance Plan

                                     for


   C4ISR Operational Management, Engineering and Technical Se...
TABLE OF CONTENTS
Subject                                                Paragraph

1. Overview                           ...
1. OVERVIEW

1.1 Purpose. This Performance Plan prescribes how the multi-functional team will assess
the contractor’s perf...
4. DUTIES AND RESPONSIBILITIES

4.1 Multi-Functional Team (MFT).

4.1.1 A customer-focused team comprised of stakeholders ...
4.3.4 Inputs contract registration data into the Contractor Performance Assessment
Reporting System (CPARS) database withi...
4.5.7 Attend MFT meetings, as needed, and recommend improvements to the PWS and the
Performance Plan.

4.5.8 Monitor assig...
5.4 Market Research and Best Practices. Market research is a continual effort performed
     throughout the acquisition li...
continuous improvement in cost and performance. The method of surveillance and
    frequency will also be addressed.

    ...
task order.
Objective 2:                 4.5.2      Contractor receives      Periodic                Monthly
Provide timel...
8.3 Performance Ratings. TM shall assign an overall rating for the month. Definitions of
ratings are as follows:

    EXCE...
with periods of performance of less than one year, and again at the completion of the task
order. TM shall forward copies ...
9.1.1.3 Section 3. Task Order and Performance Work Statement and copies of contract
      documents including original awa...
Attachment 1 Sample Performance Plan Supplement


                                    TASK ORDER SUPPLEMENT TO THE
       ...
tasks within proposed            CDRL 0002 reports show            & CDRL 0006 &
     funding and notifies KO          cum...
Attachment 2

MEMORANDUM FOR: SMDC CIO/G6 (COMETS II Program Manager)                              DD MMM YY
             ...
c. CPARS INPUTS/NARRATIVE COMMENTS:

 1. SPECIAL CONDITIONS: (if applicable)

 2. STRENGTHS & WEAKNESSES: (if applicable)
...
MONTHLY PERFORMANCE REPORT INSTRUCTIONS

The Monthly Performance Report (MPR) is primarily a Quality Performance Assessmen...
(i.e. worsening, steady, and improving). Describe any corrective actions that are being planned or
taken, as appropriate. ...
Attachment 3

                     PERFORMANCE EVALUATION REPORT

Contract Number ______________________ Customer’s Organi...
a. Was the work timely? Did the contractor meet deadlines and scheduled milestones?

 Exceptional    Very Good        Sati...
6. AREA OF EVALUATION: BUSINESS RELATIONS. Assess the integration and
coordination of all activity needed to execute the t...
Comments:

8. Did the contractor comply with applicable portions of the DD Form 254?

YES            NO         NA



____...
Attachment 4


                                 PERFORMANCE ASSESSMENT REPORT (PAR)
                                      ...
1 17. CONTRACTOR RESPONSE 18. EVALUATING TM GRADE/NAME                    19. FINDING CLOSE DATE

    ACCEPTED
    REJECTE...
Performance Assessment Report (PAR) Instructions

Purpose: The PAR encompasses the requirements of assessment reporting as...
PART I PERFORMANCE DESCRIPTION

Block 5, CONTRACT REQUIREMENT: Identify contract requirement, i.e., Civil
Engineering.

Bl...
Block 15, CONTRACTOR RESPONSE: Contractor must respond with a written
corrective action plan that details the corrective a...
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Attachment 2 Performance Plan 21 Apr 08

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Transcript of "Attachment 2 Performance Plan 21 Apr 08"

  1. 1. Performance Plan for C4ISR Operational Management, Engineering and Technical Services II (COMETS II) 8 April 2008 Approved: Review and Coordination: _____________________________________________ _________________ Contracting Officer’s Representative (COR) Date _____________________________________________ _________________ Contracting Officer Date
  2. 2. TABLE OF CONTENTS Subject Paragraph 1. Overview 1 2. Description of Services 2 3. Contract Quality Requirements 3 4. Duties and Responsibilities 4 5. Performance Management 5 6. Performance Assessment 6 7. Services Schedule (SS) 7 8. Performance Assessment and Reporting Requirements 8 9. Documentation Requirements 9 Attachments: 1. Sample Performance Plan Supplement 2. Quarterly Performance Report (QPR) 3. Performance Evaluation Report 4. Performance Assessment Report (PAR)
  3. 3. 1. OVERVIEW 1.1 Purpose. This Performance Plan prescribes how the multi-functional team will assess the contractor’s performance and manage the acquisition throughout its life cycle. The team’s goal is successful contract performance while achieving cost savings, enabling performance efficiencies, and improving customer service and to provide Command leadership visibility into scope, quality, and cost of the services. This plan addresses both Performance Management and Performance Assessment. 1.2 Performance Management. Performance Management is a cradle-to-grave process beginning with the identification of the requirement and ending when the service is completed or a follow-on acquisition begins. The performance management section outlines how the multi-functional team is going to manage the contract. 1.3 Performance Assessment. Performance assessment is evaluating, assessing and documenting the contractor’s performance in accordance with the overall Performance Plan. The performance assessment section identifies the methods and procedures the Government will use to ensure it receives the services under contract and how performance information will be documented for use as past performance information. 2. DESCRIPTION OF SERVICES 2.1 Objectives. The objective of COMETS II is to provide Scientific, Engineering, and Technical Assistance (SETA) and operational support services under a multiple award, indefinite delivery / indefinite quantity (IDIQ), task order type contract for U.S. Army Space and Missile Defense Command (USASMDC) / U.S. Army Strategic Command (ARSTRAT) and agencies which collaborate with them on definition, planning, development, and execution of C4ISR, space, missile defense, and Transformational Communications Architecture (TCA) missions. Typical tasks will include development of tools and architectures, vision statements, and doctrine; program services to include planning, development, fielding, implementation, integration, installation, and documentation; modeling, simulation, and integration; technical services to define and exploit existing and future communications capabilities; rapid prototyping, limited fabrication, and limited procurement or production of communications systems; operational services; testing; training; independent verification and validation; integrated logistics services; programmatic services; and analysis of emerging technologies. 2.2 Contract. The COMETS II contract is a multiple award, Indefinite-Delivery Indefinite Quantity (IDIQ) contract that allows for Firm Fixed Price (FFP) and Cost Plus Fixed Fee (CPFF) Task Orders. Inspection of Services FAR Clauses 52.246-4 and 52.246-5 apply. 3. CONTRACT QUALITY REQUIREMENTS 3.1 Quality Program. The Contractor’s Quality Program and Quality Control Plan (QCP ) requirements are defined in paragraph 4.9 of the PWS. The QCP shall ensure the Government receives the level of quality that is consistent with requirements specified in the contract and each task order.
  4. 4. 4. DUTIES AND RESPONSIBILITIES 4.1 Multi-Functional Team (MFT). 4.1.1 A customer-focused team comprised of stakeholders in the acquisition. The MFT is responsible for requirements throughout the life of the contract. 4.1.2 Members of the MFT include the COMETS II Program Manager (PM), KO, Contract Specialists, Technical Monitors (TMs), and the Contractor who provides the service. 4.1.3 The MFT reviews contractor performance assessment documentation prepared by the TM on a quarterly basis to conduct a contract level review and ensure that performance is compatible with contract objectives. The PM meets quarterly with contractor counterparts to review and discuss performance. 4.2 Functional Commander/Functional Director (FC/FD). 4.2.1 SMDC-LC-W shall assign an 0-5 level Functional Commander/Functional Director (FC/FD). Normally this position is in the SMDC CIO/G6. The FC/FD assigns competent and capable functional experts to the multi-functional team that will be available full time or as warranted by the procurement cycle. Functional experts assigned to the multi-functional team will: 4.2.1.1 Maintain functional knowledge. 4.2.1.2 Have priority for continuing education. 4.2.1.3 Provide functional continuity and stability. 4.2.2 Assigns primary and alternate TM for each task order. TM duties take precedence over all other duties. TM must be appointed and receive Phase I and II training prior to assuming assessment responsibilities. This written assignment must be forwarded to the Contracting Officer. The FC/FD may delegate TM assignment responsibility to the PM/COR or PM. 4.3 Contracting Officer (KO). 4.3.1 The KO ensures performance of all necessary actions for effective contracting; ensures compliance with the terms and conditions of the contract, safeguards the interests of the United States, ensures that contractors receive fair, impartial, and equitable treatment and requests and considers the advice of government functional experts as appropriate. The KO has the authority to resolve disputes or conflicts. 4.3.2 Delegates authority for inspection and/or acceptance IAW terms of the contract. Informs the contractor of the names, duties, and limitations of authority for all TM assigned to the contract. 4.3.3 Conducts Phase II training for all TM before they perform quality duties.
  5. 5. 4.3.4 Inputs contract registration data into the Contractor Performance Assessment Reporting System (CPARS) database within 30 days of contract award. Initiates and ensures Contract Performance Assessments are completed as required. 4.3.5 Appoints TM personnel 4.3.6 Receives PARs and discusses resolution plans with Contractor. 4.4 Government Program Manager and Contracting Officer Representative (PM/COR). 4.4.1 Responsible for performance management on this acquisition. Provides oversight of the MFT in management of the acquisition throughout the life of the requirement and ensures the program is within cost and schedule. 4.4.2 Ensures requirement documents developed by the MFT satisfy mission requirements, are performance-based, and foster innovation. 4.4.3 Assigns FC/FD nominated TMs and monitors training. 4.4.4 Serves as the focal point for TM performance assessment activities. Ensures performance assessment is evaluated and documented IAW this plan 4.4.5 Manages contractor performance assessment data and prepares the annual CPARS evaluation and assists with other reporting requirements. 4.4.6 Receives PARs and discusses resolution plans with Contractor. 4.4.7 Reviews Monthly Performance Reports (MPR) (Attachment 2). 4.5 Technical Monitors (TM). 4.5.1 Observe contractor performance and provides current, accurate information and assessment. 4.5.2 Maintain accurate documentation of contractor performance assessment in accordance with the Performance Plan. 4.5.3 Review contractor-submitted Receiving Report in Wide Area Work Flow (WAWF) system and notifies PM if inappropriate for payment. 4.5.4 Prepare the MPRs and provides to PM/COR and KO by 20th calendar day of each month. 4.5.5 Assist in development of annual CPARS evaluation and reports. 4.5.6 Collect and document all contractor deficiencies, analyze them for recurring instances (trend analysis) and monitor all corrective actions. Write and submit PARs for PM & KO resolution with Contractor.
  6. 6. 4.5.7 Attend MFT meetings, as needed, and recommend improvements to the PWS and the Performance Plan. 4.5.8 Monitor assigned task orders to ensure they remain within cost and schedule, and reports to PM/COR with discrepancies. 4.5.9 Prepare Performance Plan Supplements, if required. 4.6. Contractor Program Manager (CPM) 4.6.1 Provide monthly reports (CDRL 0002 & 0006) that present insight into the status of issues affecting quality and the contractor’s self-assessment of their performance on the contract. 4.6.2 Participates as a member of the MFT. 5. PERFORMANCE MANAGEMENT 5.1 Performance Management. Performance is managed by a multi-tiered approach including the day-to-day management performed by the multi-functional team, periodic Performance Management Reviews for executive leadership and compilation and submission of the CPAR. 5.2 Multi-Functional Team (MFT). The MFT is the first element of performance management. An MFT is established and meets on a periodic basis, at least quarterly. The MFT will manage contract performance throughout its lifecycle with the goal of achieving cost savings, performance efficiencies and improved customer service. The MFT will ensure the acquisition requirements are met on schedule and within budget during its lifecycle. 5.2 1 Manage contract performance IAW the Performance Plan. 5.2.2 Develop and foster partnerships for the common goal of continuous improvement. Establish effective communication with the Contractor for the overall good of the contract. 5.2.3 Identify opportunities to improve performance throughout the life of the contract. Implement changes to make these goals a reality. 5.2.4 Assess and report contractor performance assessment data, to include the CPAR. 5.2.5 Develop performance objectives and any other assessment items for periodic performance assessment. 5.3 Contractor Performance Assessment Report (CPAR). The CPAR assesses a contractor’s performance and provides a record, both positive and negative, on a given contract for a specific period of time, usually one year. Each assessment is based on objective facts and is supported by contract management data, performance management data, and performance assessment data. Data is entered into the web-based CPARS.
  7. 7. 5.4 Market Research and Best Practices. Market research is a continual effort performed throughout the acquisition lifecycle. Market research supports the acquisition lifecycle process, supplying technical and business information about commercial technology and industrial capabilities. 5.4.1 Market research can identify best practices for MFT consideration. This research is used for identifying opportunities to improve performance throughout the life of the contract, such as benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the Performance Plan for implementing initiatives brought forward, and monitoring the success of implementation. 6. PERFORMANCE ASSESSMENT 6.1 Purpose. Performance assessment detailed in this plan focuses on the performance outcomes required by the PWS, not the methodology or process implemented by the contractor. The objective of this plan is to rely on the contractor’s quality management system for quality control, effectively changing the Government’s role from “oversight” to “insight”. This plan identifies the methods and procedures the Government will use to ensure it receives the services under contract as identified in the PWS. 6.2 Approach. The approach is to gain confidence in the contractor’s ability to provide satisfactory services through on-site assessment by TM, and analysis of performance reports and metrics. The level of assessment and approach may be adjusted as needed to maintain confidence based upon the contractor’s performance. 6.2.1 The key elements of this process are the Contractor’s Quality Management System complimented by the Government’s assessment of performance objectives identified in the Services Schedule (SS). 6.2.2 Performance objectives listed in this plan are based upon the SS in the PWS. The performance objectives establish performance thresholds as the minimum acceptable quality level of performance that must be assessed, documented and reported by the TM. 6.3 Use of Metrics. Metrics will be used wherever possible to track contractor progress in meeting performance objectives. Metrics may be contractor or Government generated, however, when contractor’s metrics are used, they must first be validated to assure the correct information is captured. 7. PERFORMANCE METRICS 7.1 The purpose of the SS is to set contractor performance objectives and acceptable thresholds of performance and to provide objective measurement of the contractor’s performance. The SSs are written into the task orders as a separate paragraph and used in the Performance Plan to measure contractor performance. 7.2 The SS cites the performance objective (or service required), pertinent PWS paragraph thresholds (specific standard), assessment methods, and assessment frequencies required. The SS aligns the contractor’s performance with the contract performance objectives and focuses on critical factors in meeting those objectives. The goal of the SS is to promote
  8. 8. continuous improvement in cost and performance. The method of surveillance and frequency will also be addressed. 7.3 There are two levels of SSs. The first is at the contract level and is relevant to the contractor’s management of the overall contract. This SS addresses the contractor’s performance of contract management functions. The other is at the task order level and addresses the performance objectives that are measured relevant to the specific task order. Task order SSs contribute to performance ratings at the contract level, but specifically address objectives at the task order level. 7.4 If contract-wide performance objectives, thresholds, assessment methods, or frequencies are inadequate to properly assess performance for a particular task order, the responsible TM will develop an individualized Performance Plan Supplement and include along with PWS during requests for proposals. The supplement will contain the elements of the SS from the PWS, with added objectives, thresholds, methods and frequencies of surveillance, as needed. The SS at the task order level shall identify the performance objectives from the basic contract that are to be applied to the specific task order, as well as any performance objectives that are additional to those in the basic contract SS. The template at Attachment 1 will be used for the Performance Plan Supplement. The TM will maintain a copy of the Performance Plan Supplement in Section 2 of the Performance Assessment folder and will forward one copy to the KO with the task order requirements package. 7.5 PERFORMANCE METRICS Performance PWS Performance Assessment Method Frequency Objective Para. Threshold (standards) Objective 1: 4.3.11 No more than three Periodic Upon delivery Provide accurate and late documents per Assessment/Inspection as required in timely technical and year per task order and Customer the task order analytical advice, guidance and no more than 2 Feedback and products as required working days late. by individual task orders. No more than two sets of correction/edits and all corrections must be accomplished within two working days, or other such time periods as established in the task order. Contractor receives no more than one formal customer complaint/contract discrepancy reports per year for each task order. Contractor successfully resolves any customer complaint within 10 working days of receipt, or less time as specified in the
  9. 9. task order. Objective 2: 4.5.2 Contractor receives Periodic Monthly Provide timely response to 4.5.3 no more than one Assessment/Inspection time-sensitive formal customer and Customer requirements, including complaint/contract Feedback short notice requirements discrepancy reports and a large number of per year from all task requirements in a short orders period (surge capability) Objective 3: 4.2 No security violations Customer Feedback Monthly Compliance with DD254, Contract Security Classification Specification, to include proper handling, storage, transmission, and destruction of classified materials. Objective 4: 4.3.11.2 0% of CDRL 0002 100% Inspection of Monthly Contractor performs tasks 4.3.11.6 reports show Deliverables CDRL within proposed funding cumulative cost 0002 & CDRL 0006 and notifies KO and PM, overruns. 91% of & Meetings, in writing, when CDRL 0002 reports Conferences with significant overruns or show cumulative cost Contractor underruns are incurred. underruns less than 3% from budget. 100%of CDRL 0006 reports recommend solutions to CDRL 0002 underruns exceeding 3% or overruns. 8. PERFORMANCE ASSESSMENT AND REPORTING REQUIREMENTS. 8.1 Monthly Assessment. TM will monitor the contractor’s performance monthly as it relates to the performance thresholds set forth in the Performance Plan/Supplement. TM will document results on the Monthly Performance Report (MPR) (Attachment 2) and forward to the PM/COR and KO by the 20th calendar day of the following month to document the previous month’s performance. 8.2 Assessment Method. The Contractor’s performance will be monitored using any of the following methods: 1. Review of Contractor Data. 2. Meetings, Conferences with Contractor. 3. Periodic Assessment/Inspection. 4. Customer Feedback. 5. Third Party Audits or Assessments. 6. 100% Inspection of Deliverables. 7. Other. The report shall indicate what methods of assessment were used that month and shall detail the strengths, weaknesses and any areas where the Contractor does not meet contract requirements.
  10. 10. 8.3 Performance Ratings. TM shall assign an overall rating for the month. Definitions of ratings are as follows: EXCEPTIONAL: Performance meets contractual requirements and exceeds many to the Government’s benefit. The Contractor’s performance was accomplished with few minor problems for which corrective action taken by the Contractor was highly effective. To justify an Exceptional rating, TM shall identify multiple significant events and state how each was a benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an Exceptional rating. Additionally, there should have been no significant weaknesses identified. VERY GOOD: Performance meets contractual requirements and exceeds some to the Government’s benefit. The Contractor’s performance was accomplished with some minor problems for which corrective actions taken by the Contractor were effective. To justify a Very Good rating, TM shall identify a significant event and state how it was a benefit to the Government. Additionally, there should be no significant weaknesses identified. SATISFACTORY: Performance meets contractual requirements. The Contractor’s performance has been satisfactory and any corrective actions taken by the Contractor are acceptable. To justify a Satisfactory rating, there should only have been minor problems, or major problems the Contractor recovered from without impact to the contract. Additionally, there should be no significant weaknesses identified. MARGINAL: Performance does not meet some contractual requirements, or re- performance was necessary due to contractor negligence. The Contractor’s proposed corrective actions appear only marginally effective or were not fully implemented. To justify a Marginal rating, TM shall identify a significant event that the Contractor had trouble overcoming and state how it impacted the Government. TM shall support a Marginal rating by attaching a copy of any Performance Assessment Reports (PAR) that notified the Contractor of contractual deficiency. 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 contains serious problem(s) for which the Contractor’s corrective actions were ineffective. To justify an Unsatisfactory rating, TM shall identify multiple significant events that the Contractor had trouble overcoming and state the impact of each on the Government. However, a singular problem could be of such serious magnitude that it alone constitutes an Unsatisfactory rating. TM shall support an Unsatisfactory rating by attaching a copy of any Performance Assessment Reports (PAR) that notified the Contractor of contractual deficiency. 8.4 Invoices. TM shall maintain copies of monthly invoices from WAWF in their surveillance folders. 8.5 Contractor Performance Assessment Reporting System (CPARS). TM shall assist the PM/COR in preparing the annual CPARS report. TM shall complete the Performance Evaluation Report at Attachment 3 at least annually, or at least once for those task orders
  11. 11. with periods of performance of less than one year, and again at the completion of the task order. TM shall forward copies of all Performance Evaluation Reports to the PM/COR. These reports will serve as supporting documentation for the contractor’s annual assessment. 8.6 Performance Deficiency Resolution. If discrepancies are found during task order performance, TM shall notify the contractor’s representatives immediately upon discovery. Performance deficiencies should be resolved at the lowest practical level. TM shall determine the type of deficiency notification to issue based on the severity of the deficiency. TM shall document in the Performance Assessment folder the type of notification issued, the name of the individual contacted and date of notification. 8.6.1 Performance Deficiency Notification. There are two types of notification: verbal notification and Performance Assessment Report (PAR). Verbal notification is primarily used for minor discrepancies or tasks that can be re-performed. A PAR will be issued by TM when previous verbal notifications failed to result in corrective actions or when severe deficiencies exist. The PAR will be forwarded to the KO through the PM/COR for action. 8.7 Timely Feedback to the Contractor. TM will provide timely feedback regarding any deficiencies or substandard work for contractor corrective action. Performance Evaluation Reports to support the annual CPARS assessment shall be provided to the Contractor, annually. A progress meeting shall be held not less than quarterly to review performance and contract issues. Required attendees at the quarterly meeting shall be the Government Program Manager, the Contracting Officer and the Contractor’s Program Manager, however TMs and other MFT personnel may also attend. 9. DOCUMENTATION REQUIREMENTS Federal Acquisition Regulation (FAR) 46.401 states the Government has the responsibility to ensure services conform to contract quality requirements. Records are to be maintained of actions taken to verify services conform to contact quality requirements, to include the methods used to assess the contractor’s performance, type and number of deficiencies found as well as actions taken to correct deficiencies. 9.1 Performance Assessment Folder. The purpose of the Performance Assessment Folder is to have a central point to file and maintain documentation relating to performance assessment. 9.1.1 Performance Assessment Folder Contents. TM must develop and maintain a Performance Assessment Folder. TM may maintain the folder in hard copy, electronic format or any combination thereof provided there is adequate backup of the data to preclude accidental loss. The folder must contain the following sections and may contain other sections or information the folder owner finds necessary. 9.1.1.1 Section 1. Appointment Letters. This section must include: a. TM appointment letter and Phases 1 and 2 training certificates. b. The KO’s Letter of Delegation to TM. 9.1.1.2 Section 2. A copy of the contract Performance Plan and task order Performance Plan Supplement, if applicable..
  12. 12. 9.1.1.3 Section 3. Task Order and Performance Work Statement and copies of contract documents including original awards and modifications.. 9.1.1.4 Section 4. Activity/Correspondence. Documentation of meetings or communication (written or email) with the Contractor regarding task order performance. 9.1.1.5 Section 5. Records. Documentation of all contractor performance assessment. This section shall contain completed Monthly Performance Report forms, completed Performance Evaluation Reports and any PARs issued to the Contractor. 9.1.2 Disposition of Performance Assessment Folder. Upon completion of task order performance or in the event of TM departure, the performance monitor folder shall be submitted to the PM/COR.
  13. 13. Attachment 1 Sample Performance Plan Supplement TASK ORDER SUPPLEMENT TO THE PERFORMANCE PLAN TASK ORDER_______________ TASK ORDER TITLE __________________________________________________ 1. INTRODUCTION. The purpose of this supplement is to provide the Technical Monitors (TM) a formal and effective assessment method for evaluating tasks required by the specific Task Order (TO) issued under the COMETS II Contract. This supplement is used in conjunction with the COMETS II Contract Performance Plan. Assessment for this contractor will be based on COMETS II Contract Performance Plan, paragraph 7, and the following factor(s)/method(s) below in the Performance Metrics for Task Order __________. Performance Objective PWS Performance Threshold Assessment Method Frequency para. Objective 1: 4.3.11 No more than three late Periodic Upon Provide accurate and documents per year per task order Assessment/Inspection delivery as timely technical and and no more than 2 working days and Customer Feedback required in analytical advice, late. No more than two sets of the task order guidance and products as correction/edits and all corrections required by individual must be accomplished within two task orders. working days, or other such time periods as established in the task order. Contractor receives no more than one formal customer complaint/contract discrepancy reports per year for each task order. Contractor successfully resolves any customer complaint within 10 working days of receipt, or less time as specified in the task order. Objective 2: 4.5.2 Contractor receives no more than Periodic Monthly Provide timely response 4.5.3 one formal customer Assessment/Inspection to time-sensitive complaint/contract discrepancy and Customer Feedback requirements, including reports per year from all task short notice requirements orders and a large number of requirements in a short period (surge capability) Objective 3: 4.2 No security violations Periodic Monthly Compliance with Assessment/Inspection DD254, Contract and Customer Feedback Security Classification Specification, to include proper handling, storage, transmission, and destruction of classified materials. Objective 4: 4.3.11.2 0% of CDRL 0002 reports show 100% Inspection of Monthly Contractor performs 4.3.11.6 cumulative cost overruns. 91% of Deliverables CDRL 0002
  14. 14. tasks within proposed CDRL 0002 reports show & CDRL 0006 & funding and notifies KO cumulative cost underruns less Meetings, Conferences and PM, in writing, when than 3% from budget. 100%of with Contractor significant overruns or CDRL 0006 reports recommend underruns are incurred. solutions to CDRL 0002 underruns exceeding 3% or overruns. Objective 5: TBD TBD TBD TBD Etc. 2. TECHNICAL MONITORS. For the purpose of this TO there are (number of TM) assigned to evaluate the contractor’s performance, service and products. TM duties and responsibilities are detailed in paragraph 4.5 of the Performance Plan. Mandatory TM assessment documentation and reporting requirements are detailed in Sections 6, 7 and 8 of the Performance Plan. Below is the listing for all TM assigned: Primary: Name/Rank or Grade Office Symbol Phone Number Alternate: Name/Rank or Grade Office Symbol Phone Number 3. DEFICIENCY RESOLUTION. The TM must use his/her judgment in determining what type of action to take for a noted deficiency. An attempt should be made to resolve performance deficiencies at the lowest practical level. Paragraph 8.6.1 of the Performance Plan provides basic guidelines to assist the TM in determining which form of action to take.
  15. 15. Attachment 2 MEMORANDUM FOR: SMDC CIO/G6 (COMETS II Program Manager) DD MMM YY Attn: Mr David McAdam FROM: Technical Monitor Address SUBJECT: DSAG62-08-D-XXXX, DO-XXXX , Name of Contractor, Monthly Performance Report for the period of Month/Year 1. INVOICE APPROVAL: Contractor has satisfactorily performed all requirements and should be paid for service. Contractor hours and travel for this task order are approved via Wide Area Workflow system. Please see WAWF monthly payment information for details. 2. TECHNICAL MONITOR (TM) ASSESSMENTS: a. TASK ORDER LEVEL PERFORMANCE OBJECTIVE RATINGS: Ratings below correspond to areas in the Performance Plan for this TO. Explanations are included for all ratings other than satisfactory. Performance Objectives Rating/Explanations Objective 1: Satisfactory Provide accurate and timely technical and analytical advice, guidance and products as required by individual task orders. Objective 2: Satisfactory Provide timely response to time-sensitive requirements, including short notice requirements and a large number of requirements in a short period (surge capability) Objective 3: Satisfactory Compliance with DD254, Contract Security Classification Specification, to include proper handling, storage, transmission, and destruction of classified materials. Objective 4: Satisfactory Contractor performs tasks within proposed funding and notifies KO and PM, in writing, when significant overruns or underruns are incurred. b. CONTRACT LEVEL CONTRACTOR PERFORMANCE ASSESSMENT RATING SYSTEM (CPARS) INPUTS: Explanations are provided in “Narrative Comments” section below for all ratings higher or lower than satisfactory. PERFORMANCE RATING Exceptional Very Satisfactory Marginal Unsat. Good Technical Performance X Schedule X Cost Management X Business Relations X Management of Key Personnel X Security X OVERALL X
  16. 16. c. CPARS INPUTS/NARRATIVE COMMENTS: 1. SPECIAL CONDITIONS: (if applicable) 2. STRENGTHS & WEAKNESSES: (if applicable) Technical Performance: Schedule: Cost Management: Business Relations: Management of Key Personnel: Security: Special Interest: 3. ADDITIONAL COMMENTS/AREAS FOR IMPROVEMENT: 3. PERFORMANCE ASSSESSMENT REPORT (PAR) SUMMARY: (if any) Control # Title Date Date Opened Closed XXXX-00# 4. TASK ORDER TM LIST: Note: Names in bold italics are new TMs. Rank/Name/ Position/ Phone DEROS or PWS Para Phase I Phase Office Symbol Function PCS Evaluated Comp II Date (if Date Comp known) Date Primary All Alternate All //SIGNED// NAME, RANK, SERVICE Technical Monitor cc: SMDC-LC-W (Ms Anna Partee) “FOR OFFICIAL USE ONLY/SOURCE SELECTION INFORMATION - SEE FAR 2.101 AND 3.104”
  17. 17. MONTHLY PERFORMANCE REPORT INSTRUCTIONS The Monthly Performance Report (MPR) is primarily a Quality Performance Assessment Tool. It is used as a TM input tool for the Program Manager and Contracting Officer to support monthly feedback to contractor leadership and ensure they understand how customers feel about the service they are receiving and are award of issues that may need higher-level management work to resolve. The MPR is also used as an input tool for collecting and tracking “past performance” on the COMETS II contract, providing extremely recent data for technical evaluators to use in evaluating performance on the COMETS II contract and refine their confidence in contractors competing for new work on this contract. Finally, the MPR supports end of year CPARS ratings consolidated from all TMs by contract managers in SMDC CIO/G6. Submission of the MPR is required electronically to the Contracting Officer and Chief, Technical Monitors by the 20th calendar day of each month to support quarterly meetings with contractor management. 1. INVOICE APPROVAL: Standard certification. No monthly changes to paragraph needed, unless payment should not be made. 2. QUALITY ASSURANCE EVALUATOR (TM) ASSESSMENTS: a. TASK ORDER LEVEL PERFORMANCE OBJECTIVE RATINGS: Enter ratings applicable due to SS objectives. If above or below “acceptable,” explain how the contract requirements were exceeded or missed, respectively. b. CONTRACT LEVEL CONTRACTOR PERFORMANCE ASSESSMENT RATING SYSTEM (CPARS) INPUTS: Enter “X” in correct rating based on what you’ve seen. Default should be “acceptable.” Ratings will be combined with other TM inputs for a composite rating at end of year. Definitions of five ratings are provided in paragraph 8.3 of the contract Performance Plan. c. CPARS INPUTS/NARRATIVE COMMENTS: Enter explanations of any ratings other than acceptable given in Section III-1. Technical ratings are especially important, if you have them. All ratings below “acceptable” will be discussed in monthly PMO meetings with contractor program management to improve. This area allows TMs help PMO rate contractor in areas other than SS factors and ensure contractors correct problems quickly. 1. Special Conditions. Describe any special conditions which may have influenced contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the Contractor was required to perform and the effect they had on contractor performance and may include Government funding or requirements changes, contingencies, and/or other extenuating circumstances which affected performance. If any action initiated by the Government or outside source results in the Contractor’s inability to perform requirements of the task order PWS it shall be considered a special condition. Contractor ratings shall not be reduced for conditions that are outside of their control, but may be increased if contractor response achieved extraordinary success, given the circumstances listed. 2. Strengths & Weaknesses. Describe the Contractor’s performance relative to each of the Services Schedule areas (as applicable). Include strengths, weaknesses, and performance trends
  18. 18. (i.e. worsening, steady, and improving). Describe any corrective actions that are being planned or taken, as appropriate. Identify any areas of notable achievement or areas where the Contractor exceed contract requirements, particularly if resulting in cost, time, energy, or process-related savings to the government. Document the Contractor’s performance against the contract/task order requirements only, not status, employee names, individual employee accomplishments or your “opinion” as a government TM. Use the “insight” approach to performance assessment unless a deeper level of scrutiny is warranted. 3. Additional Comments/Areas for Improvement. Enter any comments you want to capture but were not appropriate anywhere else. 3. PERFORMANCE ASSSESSMENT REPORT (PAR) SUMMARY: (if any) If performance is unacceptable or lower, and corrective action PARs were required that month, enter summary of PAR actions. PARs are mandatory discussion items at each quarterly PMO meeting until closed and TM attendance at PMO meetings is required if there are any open PARs. 4. TASK ORDER TM LIST: Provide TM status information for PMO awareness, including known personnel changes so new personnel can be contacted and trained prior to assumption of new duties. Information should stay the same every month, unless new TM nomination letters are submitted to PMO or individual information (e.g. DEROS) changes.
  19. 19. Attachment 3 PERFORMANCE EVALUATION REPORT Contract Number ______________________ Customer’s Organization ___________ TASK ORDER (TO) NUMBER: ___________________________ Task Order Title__________________________________________________________ Review Type (circle one) PERIODIC END OF TASK 1. This report is used to evaluate the contractor during and at the end of each task. In addition to providing verification that performance thresholds are being met, the ratings and comments provided on this checklist help to determine the contractor’s annual CPARS ratings. 2. The ratings used will be as follows: Exceptional (E), Very Good (VG), Satisfactory (SAT), Marginal (MAR) and Unsatisfactory (UNSAT). Ratings will be in accordance with the definitions described in the Performance Plan section 8.3. N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation. 3. AREA OF EVALUATION: QUALITY OF PRODUCT OR SERVICE. Assess the contractor’s conformance to task order requirements, specifications and standards of good workmanship a. Did the work performed satisfy technical requirements/stated objectives? Was the work professional and did it meet standards specified in the Services Schedule and any other standards specified elsewhere in the Task Order PWS? Exceptional Very Good Satisfactory Marginal Unsat. Comments: b. Were written deliverables clear, concise, and correctly formatted? Were reports/data accurate? Exceptional Very Good Satisfactory Marginal Unsat. Comments: 4. AREA OF EVALUATION: SCHEDULE. Assess the timeliness of the contractor against the completion of the task order, milestones, delivery schedules and administrative requirements.
  20. 20. a. Was the work timely? Did the contractor meet deadlines and scheduled milestones? Exceptional Very Good Satisfactory Marginal Unsat. Comments: b. How does the contractor rate in terms of quick response to tight deadlines and/or contingencies? Exceptional Very Good Satisfactory Marginal Unsat. Comments: c. Are deliverables completed in a timely manner? Exceptional Very Good Satisfactory Marginal Unsat. Comments: 5. AREA OF EVALUATION: COST CONTROL. Assess the contractor’s effectiveness in forecasting, managing and controlling task order cost. a. Does the contractor keep within the total estimated cost? Exceptional Very Good Satisfactory Marginal Unsat. Comments: b. Did the contractor do anything innovative that resulted in cost savings? Exceptional Very Good Satisfactory Marginal Unsat. Comments: c. Were billings current, accurate and complete? Exceptional Very Good Satisfactory Marginal Unsat. Comments:
  21. 21. 6. AREA OF EVALUATION: BUSINESS RELATIONS. Assess the integration and coordination of all activity needed to execute the task order, specifically the timeliness, completeness and quality of problem identification, corrective action plans and the contractor’s reasonable and cooperative behavior. a. Is the contractor oriented towards the customer? Was the contractor responsive to task order requirements and customer/TM concerns? Exceptional Very Good Satisfactory Marginal Unsat. Comments: b. Is the contractor proactive in problem identification and resolution? Exceptional Very Good Satisfactory Marginal Unsat. Comments: 7. AREA OF EVALUATION: MANAGEMENT OF KEY PERSONNEL. Assess the contractor’s performance in selecting, retaining, supporting and replacing, when necessary, key personnel. a. Did the contractor provide key personnel that demonstrate leadership, initiative and technical expertise for successful task order completion? Exceptional Very Good Satisfactory Marginal Unsat. Comments: b. Did the contractor provide guidance and support key personnel so they were able to work effectively? Exceptional Very Good Satisfactory Marginal Unsat. Comments: c. If a replacement for a key person was necessary did the replacement meet or exceed the qualifications needed for the position? Exceptional Very Good Satisfactory Marginal Unsat.
  22. 22. Comments: 8. Did the contractor comply with applicable portions of the DD Form 254? YES NO NA _______________________________ TM Signature Block/Contact Info “FOR OFFICIAL USE ONLY/SOURCE SELECTION INFORMATION - SEE FAR 2.101 AND 3.104”
  23. 23. Attachment 4 PERFORMANCE ASSESSMENT REPORT (PAR) For Check Blocks, enable and lock Forms Toolbar 1. CONTRACTOR 2. CONTRACT NUMBER 3. TYPE OF SERVICES 4. FINDING CATEGORY NO FINDING MINOR FINDING MAJOR FINDING I. PERFORMANCE DESCRIPTION 5. CONTRACT REQUIREMENT 6. PWS REFERENCE 7. DETAILED PERFORMANCE ASSESSMENT—DESCRIBE CONTRACTOR PERFORMANCE 8. ASSESSING TM GRADE/NAME 9. ASSESSMENT DATE II. FINDING DESCRIPTION 10. CONTROL NUMBER 11. ISSUING AUTHORITY GRADE/NAME 12. SUSPENSE DATE 13. BRIEF DESCRIPTION OF THE FINDING 14. FINDING IMPACT 15. CONTRACTOR RESPONSE: Contractor must respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 12. If date was not entered in Block 12, the Contractor is not required to provide a response. 16. TM RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE:
  24. 24. 1 17. CONTRACTOR RESPONSE 18. EVALUATING TM GRADE/NAME 19. FINDING CLOSE DATE ACCEPTED REJECTED PERFORMANCE ASSESSMENT REPORT (CONTINUATION SHEET) ENTER CONTROL NUMBER (Same as Block 10) if applicable
  25. 25. Performance Assessment Report (PAR) Instructions Purpose: The PAR encompasses the requirements of assessment reporting as well as deficiency identification, correction and actions taken by the contractor to prevent recurrence. Scope: The PAR is used by all Technical Monitors in the documentation of assessment of PWS requirements and any deficiencies identified during those assessments. Section I: Tracks and documents detailed assessments of contractor performance based upon the requirements of the PWS. As a minimum, assessments of performance objectives from the Performance Plan are documented in this section. Section II: Used to document findings, which are deficiencies that are identified during an assessment. Section II is used to notify the contractor of the finding and request corrective action. Block 1, CONTRACTOR NAME: Enter name. Block 2, CONTRACT NUMBER: Enter number. Block 3, TYPE OF SERVICES: Enter Type of Services. Block 4, FINDING CATEGORY: Check one block only. Categorize Deficiencies as follows: Major Finding: A Major Finding is a conclusion that identifies a condition having a significant adverse effect on the quality of the activity under review such as: • Failure to meet a Performance Threshold. • Significant mission degradation in any Contractor operated function. • A situation that is likely to result in hazardous or unsafe conditions for individuals (or any other government resource) coming into contact with the work. • Failure to provide adequate corrective action to prevent reoccurrence of government identified findings. • Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period. • Any failure to adhere to security requirements that results in a security incident. Minor Finding: A departure from established standards having little bearing on service provided, however, if the same minor finding is repeatedly identified, it may be an indication that Major Finding has occurred because the Contractor’s quality system has not acted to prevent recurrence. In this case, the Minor Finding should be elevated to the level of a Major Finding and a new PAR initiated.
  26. 26. PART I PERFORMANCE DESCRIPTION Block 5, CONTRACT REQUIREMENT: Identify contract requirement, i.e., Civil Engineering. Block 6, PWS REFERENCE: If the requirement being assessed is a PO or AI from the Performance Plan, enter the PO or AI number. A PWS reference requirement will need to be entered for items that are not listed as POs or AIs in the Performance Plan Block 7, DETAILED PERFORMANCE ASSESSMENT - DESCRIBE CONTRACTOR PERFORMANCE: Enter the particular details and results of the assessment. Detailed results of assessments are required to report and manage contract performance. Avoid Pass/Fail descriptions of contract performance whenever possible. Block 8, ASSESSING TM: Enter grade/name. Block 9, ASSESSMENT DATE: Enter the date of the assessment, normally the day the PAR is completed. Performance Assessment should be documented as contract requirements are assessed. PART II FINDING DESCRIPTION Block 10, CONTROL NUMBER: All findings of either category are tracked with a Control Number. The control number will be made up of the four numbers designating the task order number and a three digit number starting with 001 for the first PAR and progressing upward throughout TO performance. Example, 9001-001 denotes task order 9001 and the 1st PAR finding. Number should be coordinated with the PM prior to assignment. Block 11, ISSUING AUTHORITY GRADE/ NAME: Enter the Grade/Name. Block 12, RESPONSE SUSPENSE DATE: Enter the date the response is due from the contractor for the cited deficiency. Normally, this is two calendar weeks unless extenuating circumstances exist. The response suspense date is for initial response from the contractor and not necessarily the complete corrective action plan. Block 13, BRIEF DESCRIPTION OF THE FINDING (IF MAJOR OR MINOR FINDING BOX WAS CHECKED IN BLOCK 4): Enter a brief description of the finding if a Major or Minor finding block was checked in Block 4. Clearly and briefly, state the details of the finding. Most finding details will not be more than a sentence. Block 14, FINDING IMPACT: Enter the impact that the finding has, or could reasonably have, on mission accomplishment.
  27. 27. Block 15, CONTRACTOR RESPONSE: Contractor must respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 11. If date was not entered in Block 11, the Contractor is not required to provide a response. Block 16, TM RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE: After the Contractors response is received and evaluated by TM, TM enters response based on whether the Contractor’s actions were sufficient to correct the cited deficiency and prevent it from reoccurring. If the response is being rejected, the TM must fully explain the reason behind the rejection. Block 17 CONTRACTOR RESPONSE ACCEPTED/REJECTED: Check the appropriate check block using forms tool bar to check and lock the selection. Block 18, EVALUATING TM GRADE/NAME: Enter grade and name of TM evaluating the Contractor’s response. Block 19, FINDING CLOSE DATE: Enter date of closure if the Contractor Response was acceptable to correct the cited deficiency and prevent it from reoccurring. PAR Continuation sheet: Use the PAR continuation sheet and number by PAR block items that do not fit in the PAR.

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