Free Memorandum - District Court of Federal Claims - federal

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 1 of 52

ATTACHMENT 1

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 2 of 52

Contractor Performance Assessment Reporting System (CPARS) Guide
DEPARTMENT OF THE AIR FORCE

March 2006

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 3 of 52

Contractor Performance Assessment Reporting System (CPARS)
The Federal Acquisition Regulation (FAR) requires that past performance information (PPI) be collected (FAR Part 42) and used in source selection evaluations (FAR Part 15). The Contractor Performance Assessment Reporting System (CPARS) process establishes procedures for the collection and use of PPI for the business sector contracts listed in Table 1. CPARS-generated PPI is one of the tools used to communicate contractor strengths and weaknesses to source selection officials and Contracting Officers (COs). Communication between the Government and contractor during the performance period is encouraged. The past performance evaluation contained in the CPARS is a method of recording contractor performance and should not be the sole method for reporting it to the contractor. Award fee and other vehicles are available for incentivizing performance; the CPARS should be an objective report of the performance during that period against the contract requirements. The Air Force's (AF) usage of the automated CPARS collection capability is aimed at reducing reliance on paper, improving the business process, and being more efficient. This is one of several initiatives the Air Force deployed to meet the Department of Defense's (DoD's) paperless contracting mandates. The Air Force (in accordance with AF FAR Supplement (AFFARS) 5342.1503 mandates use of the existing Navy CPARS tool to collect PPI and pass it to the Federal Past Performance Information Retrieval System (PPIRS) where PPI can be retrieved by Federal Agencies including the DoD Services. The CPARS Automated Information System (AIS) collection tool and other CPARS information can be accessed at http://cpars.navy.mil/. For additional assistance, contact the Customer Support Desk at Voice Phone: (603) 431-9460 extension 486 or DSN: 684-1690 extension 486 or through mailto:[email protected]. All CPARS information is treated as "For Official Use Only/Source Selection Information in accordance with FAR 2.101 and 3.104" and the DoD Guide to Collection and Use of Past Performance Information. A CPAR is source selection information because it is in constant use to support ongoing source selections and contains sensitive data concerning a contractor and its performance. A Contractor Performance Assessment Report (CPAR) has the unique characteristic of always being pre-decisional in nature. Distribution of CPARs among activities will be made solely through use of DoD's PPIRS at http://www.ppirs.gov/. Access to the CPARS AIS and other PPI will be restricted to those individuals with an official need to know. This revision of the CPARS Guide supersedes the February 2004 Guide. There were extensive revisions so the February 2004 Guide is replaced in total. Readers are encouraged to review the entire Guide to see changes in responsibilities, roles and form instructions. Links have been added in the Table of Contents and in the text of this Guide; in addition, a List of Acronyms has been included (Attachment 6).

i

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 4 of 52

~ TABLE OF CONTENTS ~ Section A ­ Policy.......................................................................................................................... 1
1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 Introduction ...........................................................................................................................1 Background ...........................................................................................................................1 Purpose ..................................................................................................................................1 Responsibility for Completing CPARs .................................................................................2 Responsibility for Completing CPARs that have Contract Performance at Multiple Sites ..2 Uses of Summary CPAR Data ..............................................................................................2 CPAR Requirements for Program Executive Officer (PEO) Programs................................3 Successor-in-Interest/Change-of-Name/Novation ................................................................3

Section B - Applicability and Scope .......................................................................................... 4
2.0 2.1 2.1.1 2.1.2 2.2 2.3 2.4 2.5 2.6 2.7 Business Sectors and Thresholds ..........................................................................................4 CPARS for Indefinite-Delivery-Indefinite-Quantity (IDIQ) Contracts, Basic Ordering Agreements (BOAs) and Blanket Purchase Agreements (BPAs).........................................4 IDIQ Contracts Used by a Single AF Organization..........................................................4 IDIQs Awarded for Use by Multiple Organizations, BOAs and BPAs ............................4 Joint Ventures........................................................................................................................5 Classified and Special Access Programs (SAPs) ..................................................................5 Section 8(a) Direct Awards ...................................................................................................5 Awards under the Randolph-Sheppard Act (RSA) to a State Licensing Agency (SLA) ......5 Awards to the Canadian Commercial Corporation (CCC)....................................................6 Undefinitized Contractual Actions (UCAs) ..........................................................................6

Section C ­ Responsibilities Assigned ....................................................................................... 7
3.0 3.1 3.2 3.3 3.4 3.4.1 3.4.2 3.4.3 3.4.4 Responsibilities .....................................................................................................................7 Major Commands (MAJCOMs) and Direct Reporting Units (DRUs)..................................7 MAJCOM/DRUs CPARS Focal Point (the CPARB Role)...................................................7 Requiring Activity.................................................................................................................7 CPARS Roles and Responsibilities.......................................................................................8 Activity CPARS Focal Point.............................................................................................8 AO Representative (AOR) ................................................................................................8 Assessing Official (AO)....................................................................................................8 Designated Contractor Representative ..............................................................................9

ii

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 5 of 52

3.4.5

Reviewing Official (RO).................................................................................................10

Section D ­ Frequency and Types of Reports ........................................................................ 12
4.0 4.1 4.2 4.3 4.4 4.5 Frequency of Reporting.......................................................................................................12 Initial Reports......................................................................................................................12 Intermediate Reports ...........................................................................................................12 Final Report.........................................................................................................................12 Out-of-Cycle Reports ..........................................................................................................12 Addendum Reports..............................................................................................................13

Section E ­ Administrative Information ................................................................................. 14
5.0 5.1 5.2 5.2.1 5.2.2 5.2.3 5.3 5.4 Records Retention and Disposition .....................................................................................14 License Exemption ..............................................................................................................14 CPAR Markings and Protection ..........................................................................................14 Internal Government Protection......................................................................................14 External Government Protection.....................................................................................14 Freedom of Information Act (FOIA) ..............................................................................15 Use of CPARS in Source Selection.....................................................................................15 Forms Prescribed.................................................................................................................15

Section F ­ References ............................................................................................................... 16
6.0 6.1 6.2 Department of Defense (DoD) "Guide to Collection and Use of Past Performance Information, May 2003" .....................................................................................................16 USD (AT) Memorandum dated 20 November 1997, "Collection of Past Performance Information in the Department of Defense" .......................................................................16 USD (AT) DP Memorandum dated 29 January 1999, "Class Deviation -- Past Performance" ......................................................................................................................16

Attachments ................................................................................................................................ 17
1. Business Sectors......................................................................................................................A1-1 2. Evaluation Ratings Definitions .............................................................................................A2-17 3. Form and Instructions for Completing a Systems CPAR .......................................................A3-1 4. Form and Instructions for Completing a Services, IT, or Operations Support CPAR .........A4-17 5. Major Command Points of Contact ........................................................................................A5-1 6. List of Acronyms ....................................................................................................................A6-1 7. CPARS Features ...................................................................................................................A7-17

iii

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 6 of 52

Section A ­ Policy 1.0 Introduction This document sets policy, assigns responsibilities and provides procedures for systematically assessing contractor performance as required by Federal Acquisition Regulation (FAR) Part 42. 1.1 Background The Contractor Performance Assessment Reporting System (CPARS) is a paperless contracting initiative directed by SAF/AQC [see AF FAR Supplement (AFFARS) 5342]. Use of the CPARS Automated Information System (AIS) for the thresholds found in Table 1 is mandatory as it ensures that evaluations will be entered into the CPARS database to provide a centralized data repository of past performance information (PPI). Paper copies of the evaluations are to be used only for classified and special access programs. The automated CPARS must be used for all other evaluations meeting the criteria in Table 1. 1.2 Purpose The primary purpose of the CPARS is to ensure that accurate data on contractor performance is current and available for use in source selections through the Past Performance Informational Retrieval System (PPIRS). Performance assessments will be used as a resource in awarding best value contracts and orders to contractors that consistently provide quality, on-time products and services that conform to contractual requirements. CPARS can be used to effectively communicate contractor strengths and weaknesses to source selection officials. Senior Air Force and contractor officials may also use information derived from the CPARS for other management purposes consistent with DoD guidance and policy. The CPAR assesses a contractor's performance and provides a record, both positive and negative, on a given contract during a specified period of time. Each assessment must be based on objective data (or measurable, subjective data when objective data is not available) supportable by program1 and contract management data, such as cost performance reports, customer comments, quality reviews, technical interchange meetings, production management reviews, contractor operations reviews, functional performance evaluations, earned contract incentives, quality assurance evaluations, etc. Subjective assessments concerning the cause or ramifications of the contractor's performance may be provided, however, speculation or conjecture must not be included. Attachments 3 and 4 to this document contain the specific areas to be evaluated for the identified business sectors. A best practice is to include performance expectations in the Government and contractor's initial post-award meeting.

Throughout this document, whenever "program" is used, it means the program, project, or task/delivery order for which the procurement was made.

1

1

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 7 of 52

1.3

Responsibility for Completing CPARs Responsibility for completing quality CPARS in a timely manner rests with the Program Manager (PM) or the equivalent individual responsible for project execution of each Command's or Direct Reporting Unit's (DRUs) contracts. The value of CPARs to a future source selection team is inextricably linked to the care the Assessing Official (AO)2 (PM or equivalent individual responsible for program, project, or task/delivery order execution) takes in preparing a quality and timely narrative to accompany the CPAR ratings. It is of the utmost importance that the AO submits a rating consistent with the definitions of each rating (Attachment 2) and thoroughly describes the circumstances surrounding a rating. The CPARS process is designed with a series of checks-and-balances to facilitate the objective and consistent evaluation of contractor performance. Both Government and contractor perspectives are captured on the CPAR form. The opportunity to review/comment on the CPAR by the designated Government and contractor personnel together makes a complete CPAR.

1.4

Responsibility for Completing CPARs that have Contract Performance at Multiple Sites In the event there are multiple assessments on one contract due to Geographically Separated Units (GSUs), the AO of the office or GSU with the preponderance of the effort (based on largest dollar value) on the contract will consolidate the multiple assessments and provide a consensus evaluation and rating of the performance prior to forwarding to the contractor.

1.5

Uses of Summary CPAR Data Summary data from the CPARS database or from the reports themselves may be used to measure the status of industry performance and support continuous process improvement. Further analysis of data from the CPARS database may be accomplished by the CPAR Focal Point for internal Government use but is not authorized for release outside the Government.

NOTE: For AFMC systems acquisitions, the AO will always be the person who has overall responsibility for acquisition of a system within the approved Acquisition Program Baseline and must be at least at the Squadron Commander/Director, Group Commander/Director, Wing Commander/Director level, or a PM that is a direct report to the Wing Commander/Director consistent with the level at which the program is organized.

2

2

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 8 of 52

1.6

CPAR Requirements for Program Executive Officer (PEO) Programs SAF/AQ requires that Program Executive Officers (PEOs) present summary data at PEO portfolio reviews by providing a single CPAR chart on each Acquisition Category (ACAT) I program and on PEO program major development and production contracts; the hard copy will be marked "Source Selection Sensitive/For Official Use Only (SSI/FOUO)" and will not be displayed on overheads. For AFPEO/CM reviews, the CPARS ratings must be addressed in the annual review required by the Air Force Management and Oversight of the Acquisition of Services Process (MOASP).

1.7

Successor-in-Interest/Change-of-Name/Novation See FAR 42.12 for guidance in these circumstances since the DUNS, CAGE codes and contractor names may be affected in the CPARS. The AO of each contract affected by any such changes is ultimately responsible for ensuring that the contract information in the CPARS is current and correct.

3

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 9 of 52

Section B - Applicability and Scope 2.0 Business Sectors and Thresholds PPI must be collected, and a CPAR completed, on contracts meeting the business sector definitions (Attachment 1) and thresholds (Table 1). The AO may elect to complete CPARS below the thresholds in Table 1. The nature of the effort to be acquired will determine which CPAR form is required (the Systems form or the Services, Information Technology, Operations Support form). If a given contract contains a mixture of types of efforts, the acquisition activity will determine which business sector is appropriate based upon the contract dollar value of the preponderance of the effort. CPARS for Indefinite-Delivery-Indefinite-Quantity (IDIQ) Contracts, Basic Ordering Agreements (BOAs) and Blanket Purchase Agreements (BPAs) It is the responsibility of the requiring activity to complete a CPAR in accordance with the reporting thresholds cited in Table 1 under the following conditions: 2.1.1 IDIQ Contracts Used by a Single AF Organization When multiple orders are placed against a single contract and the sum of the orders exceeds the thresholds established in Table 1, and the effort is similar, the AO may elect to prepare a single CPAR that includes all orders vice preparing separate CPARs for each order. If the AO chooses to input a consolidated evaluation for all orders, the period of performance for the assessment shall be based on the effective date/award date of the basic contract and each subsequent, exercised option year period. As a minimum, on at least an annual basis, an evaluation shall be accomplished on all orders that were performed during the reporting period. Where possible, each order number and title may be included in Block 17. Narrative must be provided on the contractor's performance on each order (in Block 20) so that the breadth and quality information on the order is available for source selection official use. If the AO chooses to prepare a separate CPAR for any single order that exceeds the threshold or chooses to provide individual evaluations for each order under the IDIQ, the period of performance for the assessments will be based on the effective date/award date of each individual order. 2.1.2 IDIQs Awarded for Use by Multiple Organizations, BOAs and BPAs It is the responsibility of the ordering/requiring activity to complete a separate CPAR for each order issued for IDIQs used by multiple organizations (e.g., commodity council, AFWAY, General Services Agency (GSA), etc.), for each order issued on a BOA and for each call issued against a BPA when that individual order/call exceeds the thresholds in Table 1. For these evaluations, the period of performance for the assessment shall be based on the effective date/award date of each individual order/call.

2.1

4

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 10 of 52

2.2

Joint Ventures CPARs shall be prepared on contracts for joint ventures. When the joint venture has a unique Commercial and Government Entity (CAGE) code and Dun & Bradstreet Universal Numbering System (DUNS) number, a single CPAR will be prepared for the joint venture using those CAGE and DUNS codes. If the joint venture does not have a unique CAGE code and DUNS code, separate CPARS, containing identical narrative, will be prepared for each participating contractor and will reference that the evaluation is based on performance under a joint venture and will identify the contractors that were part of the joint venture.

2.3

Classified and Special Access Programs (SAPs) Performance evaluations on classified and SAP contracts (although not exempt from past performance evaluations) will be processed, distributed and maintained in accordance with program security requirements and with AFPD 31-4, Information Security and AFI 31-401, Information Security Program Management. Classified and SAP CPARs will not be entered into the CPARS AIS. Only in the case of classified CPARs will paper copies be used for evaluations. (Note: For AFMC, hard copies of SAP CPARs will be provided to HQ AFMC/XRJ.) Copies of SAP CPARs will be marked in accordance with SAF/AO Security Pamphlet 1, Marking Guide for Special Access Required Material, dated November 1997, and written in accordance with National Industrial Security Program Operating Manual Supplement (NISPOM Sup) and the implementers of the NISPOM Sup.

2.4

Section 8(a) Direct Awards Pursuant to the authority of Defense Federal Acquisition Regulation Supplement (DFARS) 252.219-7009, Section 8(a) Direct Award (Mar 2002), 8(a) contracts are issued as a direct award between the contracting office and the 8(a) contractor pursuant to the Partnership Agreement dated February 1, 2002, between the Small Business Administration (SBA) and the DoD. Past performance evaluations for awards written under this authority shall be written on and coordinated directly with the 8(a) contractor.

2.5

Awards under the Randolph-Sheppard Act (RSA) to a State Licensing Agency (SLA) Awards under the RSA to the SLA shall have annual performance evaluations completed on them if they meet the minimum evaluation thresholds in Table 1. The performance evaluations shall be written on the SLA (typically the State in which the federal installation is located) since the SLA has overall responsibility for all aspects of the performance of the contract awarded and the contract awarded has been made to the State (verify this with the information on the award cover page).

5

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 11 of 52

It is essential that evaluators list the Licensed Blind Operator and Third Party Agreement Holder in Block 15, Key Subcontractors and Description of Effort Performed, since the preponderance of the effort under awards through the RSA is performed by the Licensed Blind Operator and the Third Party Agreement Holder. Additionally, the CAGE code and the DUNS number for the Licensed Blind Operator and the Third Party Agreement Holder must be included in Block 15. By completing the information as outlined above, subsequent searches in PPIRS will allow source selection officials to obtain performance information when searching by SLA, Licensed Blind Operator or Third Party Agreement Holder. 2.6 Awards to the Canadian Commercial Corporation (CCC) Awards to the CCC shall have annual performance evaluations completed on them if they meet the minimum evaluation thresholds in Table 1. The performance evaluations shall be written on the CCC since award was made to the CCC that has overall responsibility for performance of the contract (verify with information on the award cover page). It is essential that evaluators list the Canadian subcontractor performing the work in Block 15, Key Subcontractors and Description of Effort Performed, since the Canadian subcontractor performs the awards to the CCC. Additionally, the CAGE code and the DUNS number for the Canadian subcontractor (if available) should be included in Block 15. By completing the information as outlined above, subsequent searches in the PPIRS will allow source selection officials to obtain performance information when searching by CCC or the Canadian subcontractor. 2.7 Undefinitized Contractual Actions (UCAs) Assessment information regarding performance under a UCA shall be included in the annual evaluation. If the final negotiated contract type is not a cost-type, cost information for the period the UCA was in effect (if applicable) shall be included under the Cost rating element. If the final negotiated contract type is a cost-type, cost information for the entire period of performance shall be included under the Cost rating element. The narrative shall fully explain the contractor's performance during the UCA, including definitization of the contract action. The contractor's performance under the UCA shall be separately identified but considered in the overall annual ratings.

6

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 12 of 52

Section C ­ Responsibilities Assigned 3.0 3.1 Responsibilities Major Commands (MAJCOMs) and Direct Reporting Units (DRUs) MAJCOMs and DRUs are responsible for overseeing the implementation and use of the CPAR system. AOs and Reviewing Officials (ROs) will normally be designated from within the command/activity/office/program that identifies the requirement and is in the best position to evaluate contractor performance. 3.2 MAJCOM/DRUs CPARS Focal Point (the CPARB Role) The MAJCOM/DRU CPARS Focal Point shall be assigned to a staff contracting representative and authorized access to the MAJCOM/DRU account by the SAF/AQC CPARS representative. Duties of the MAJCOM/DRU CPAR Focal Point include:
· · · · ·

Coordination and submittal of subordinate organization CPARS Focal Points to the Navy CPARS PM Assistance to subordinate organization CPARS Focal Point (e.g., training, monitoring and policy) Evaluating quality and compliance metrics of subordinate organizations Providing metrics for management, as requested Reviewing and providing subordinate organization issues to the Air Force CPARS Focal Point and/or the Navy CPARS PM

3.3

Requiring Activity The requiring activity will:
·

· ·

Establish procedures to implement CPARS. These procedures will include training requirements for Focal Points, Assessing Official Representatives (AORs), AOs, ROs, and contractors, to ensure procedures for monitoring the timely completion of reports, report integrity (e.g., quality of reports), and overall CPAR system administration are in place. Compliance with submittal requirements by dollar value threshold and business sector should be monitored by comparison of contract award history information maintained by other computer systems (e.g., Standard Procurement System (SPS) or Federal Procurement Data System) with CPARs actually submitted Establish a CPAR Focal Point Register all new contracts meeting the thresholds identified in Table 1 in the CPARS AIS within 30 days after contract award with the information for blocks 1-17 of the CPAR form. Registering the contract will establish the record and facilitate subsequent CPARS reporting.

7

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 13 of 52

3.4 3.4.1

CPARS Roles and Responsibilities Activity CPARS Focal Point The Activity CPARS Focal Point will be designated by completing a Focal Point Access Request Form located at the CPARS web site and obtaining coordination/approval from the MAJCOM/DRU Focal Point authority. The Activity CPARS Focal Point is responsible for:
· ·

· ·

·

Training Assigning access authorization for Government and contractor personnel (complete contract authorization access based on information from the Contracting Officer (CO), Program/Project Manager, AO and contractor personnel authorized to appoint a designated representative) CPARS account management and maintenance (e.g., access changes) Control and monitoring of CPARs, including the status of overdue evaluations. The CPAR Focal Point at each activity is responsible for monitoring the status of late reports. Local processes should be established for the Focal Point to notify the Activity Commander or PEO, if applicable, of reports more than 30 days overdue Establishing processes to monitor the integrity (e.g., quality) of the report

While the Activity CPARS Focal Point is not directly responsible for the timely submission or content of CPARS reports, they are a resource for information regarding input of CPARS information. Although the Activity CPARS Focal Point is responsible for tracking and suspensing CPARs as they become due, this does not relieve the AOs of the responsibility for processing quality reports in a timely manner. 3.4.2 AO Representative (AOR) AORs typically are assigned from the technical, functional, quality assurance, specialty, program management or contracting offices. Multiple AORs may be assigned per contract. Each assigned AOR has the capability of inputting and reviewing information input by the other AORs. AORs are generally responsible for:
· ·

·

Providing a timely and quality narrative Coordinating, off-line, to determine which AOR will select "finalize data and forward to AO" since any AOR has that capability (once that choice is selected, AORs are no longer able to input evaluation information) Assisting the AO or RO, as necessary

3.4.3

Assessing Official (AO)
The AO is responsible for overall program execution and is responsible for preparing (see Attachments 3 and 4 for instructions on preparing report), reviewing, signing, and processing the CPAR. Normal UserID/password authorization access in the CPARS AIS and its requirement for 128-bit encryption is equivalent to signature. When an assessment by a RO is required, the CPAR should be completed and signed by the RO not later than 120 days 8

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 14 of 52

after the end of the evaluation period. AOs are encouraged to foster communication between the Government and contractor about their CPARS evaluations during the entire performance period and CPAR process. AO responsibility includes:
·

·

· · · ·

· ·

·

·

Registering the contract in CPARS within 30 days of award by completing the basic contract information in Blocks 1-17 (this function may be provided by contractor personnel providing assistance to Government program offices, however, their access to the CPARS database is limited to only this function) Ensuring performance input from program management, technical, functional, quality assurance, contracting and other end users of the product or service is included in the evaluation Reviewing evaluation information provided by the AORs Input of evaluation information Quality review of the entire evaluation Forwarding the Government evaluation information to the contractor (check with local policy whether the RO or CO should be forwarded a copy prior to its submittal to the contractor) Reviewing comments from the designated contractor representative once the evaluation has been returned by the contractor or after 30 days have lapsed Modifying the CPAR comments and/or ratings after review of contractor comments, as determined by the AO. After receiving and reviewing the contractor's comments on the CPAR, the AO may revise the assessment, including the narrative. The AO will notify the contractor of any revisions made to a report as a result of the contractor's comments. Such a revised report will not be sent to the contractor for further comment. The contractor will have access to both the original and revised reports in the CPARS AIS when the Government finalizes the evaluation. Forwarding evaluations to the RO which are in disagreement or when requested by the contractor or when the contractor fails to respond to the assessment, or, in the alternative, Completing the evaluation if it does not require further RO review

3.4.4

Designated Contractor Representative The contractor shall designate representatives to whom the evaluations will be sent automatically and electronically. The name, title, e-mail address and phone number of the designated contractor representative shall be provided to the AO who will, in turn, provide that information to the Activity CPARS Focal Point for authorization access. Any changes in designated contractor personnel shall be the sole responsibility of the contractor to inform the AO and the Activity CPARS Focal Point. The designated contractor representative has the authority to:
· ·

·

Receive the Government evaluation from the AO Review/comment/return evaluation to AO within 30 days. If the contractor desires a meeting to discuss the CPAR, it must be requested, in writing, no later than seven calendar days from the receipt of the CPAR. This meeting will be held during the contractor's 30-day review period Request RO review
9

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 15 of 52

3.4.5

Reviewing Official (RO)3 The RO (Table 1) provides the check-and-balance when there is disagreement between the AO and the contractor. The RO must review and sign the assessment when there are significant differences between the AO and the contractor assessment. The RO has the authority to:
· ·

Provide narrative comment (the RO's comments supplement those provided by the AO; they do not replace the ratings/narratives provided by the AO) Sign the CPAR (at this point, it is considered final and is posted in the CPARS AIS and is available for source selection official use in the PPIRS)

Note: For AFMC, the RO must be at least the Wing Commander. Local processes will designate this individual. For PEO programs, the PEO will be given the option of acting as the RO. For Science and Technology (S&T) 6.4funded contracts, the Air Force Research Laboratory (AFRL) Commander may delegate this authority to the Center Technology Director.

3

10

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 16 of 52

Table 1 ­ Business Sector, Dollar Threshold and Reviewing Official

Business Sector
Systems (includes new development and major modifications) Operations Support Services Information Technology5 Health Care Fuels
1

Dollar Threshold1
>$5,000,000 >$5,000,0004 >$1,000,000 >$1,000,000 >$100,000 >$100,000

Reviewing Official2
One level above the PM3 One level above the AO One level above the AO One level above the AO One level above the AO One level above the AO

The contract thresholds for CPAR collection (see FAR 42.1502) apply to the "aggregate" value of contracts; that is, if a contract's original award value were less than the applicable threshold but subsequently the contract was modified and the new value is greater than the threshold, then assessments are required to be made, starting with the first anniversary that the contract's face value exceeded the threshold. If the total contract value including unexercised options and orders (for IDIQ contracts, total estimated value of unexercised options and orders) is expected to exceed the collection threshold, initiate the collection process at the start of the contract. Buying activities may choose to collect performance assessments for awards below these thresholds.
2

Only required if there is a significant disagreement between the AO and the contractor on the assessment, if the Contractor does not respond to the evaluation, or if requested by the contractor in their choice selection during the 30 day comment period. (Or equivalent individual) responsible for program, project or task/job order execution.

3

For contracts under the $5M threshold, buying activities should continue to accumulate contractor performance data from existing management information system, which already capture data on timeliness of delivery and quality of product or service (examples of such performance information collection systems include the "Automated Best Value Method").
5

4

The word "contract" as used in this document includes BPA issued under FAR 8.4 and task orders.

11

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 17 of 52

Section D ­ Frequency and Types of Reports 4.0 Frequency of Reporting Generally, reporting is done on an annual basis. When an out-of-cycle CPAR is required, however, it is acceptable to complete two CPARS in a given year for the contract. Outof-cycle CPARs do not alter the annual reporting requirement. For example, if the regular CPAR period of performance ends on 30 September 2005 and an out-of-cycle CPAR is completed which covers a performance period that ends on 1 May 2005, the next intermediate CPAR report is still required to cover the period of performance from 1 October 2004 to 30 September 2005. A period of performance overlap is only permitted when an out-of-cycle CPAR report has been prepared. 4.1 Initial Reports An initial CPAR is required for new contracts meeting the thresholds identified in Table 1 that have a period of performance greater than 365 days. The initial CPAR must reflect evaluation of at least the first 180 days of performance under the contract, and may include up to the first 365 days of performance. For contracts with a period of performance of less than 365 days, see "Final Reports" below. 4.2 Intermediate Reports Intermediate CPARs are required every 12 months throughout the entire period of performance of the contract after the initial report and up to the final report. An intermediate CPAR is limited to contractor performance occurring after the preceding normal cycle CPAR. To improve efficiency in preparing the CPAR, it is recommended that the CPAR be completed together with other reviews (e.g., award fee determinations, major program events, program milestones and quality assurance surveillance records). 4.3 Final Report A final CPAR will be completed upon contract completion, transfer of program management responsibility outside the original buying activity or delivery of the final major end item on contract. Final Reports are to be prepared on all contracts meeting the thresholds established in Table 1 with a period of performance of less than 365 days. The final CPAR does not include cumulative information but is limited to the period of contractor performance occurring after the preceding CPAR. The CPAR Focal Point has the authority to approve extensions when special circumstances arise. 4.4 Out-of-Cycle Reports An Out-of-Cycle CPAR may be appropriate when there is a significant change in performance that alters the assessment in one or more evaluation area(s). The contractor may request an updated (new) assessment or the AO may unilaterally prepare an updated (new) evaluation and process an Out-of-Cycle (new) CPAR through the automated

12

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 18 of 52

CPAR system. The determination as to whether or not to update an evaluation will be made solely by the AO. The evaluation will follow the same workflow as the annual evaluations and will be posted electronically in the CPARS AIS and PPIRS after review/coordination through the Government and contractor. 4.5 Addendum Reports Addendum reports may be prepared, after the final past performance evaluation, to record the contractor's performance relative to contract closeout, warranty performance and other administrative requirements.

13

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 19 of 52

Section E ­ Administrative Information 5.0 Records Retention and Disposition All records created under this document will be retained and disposed of according to AFI 37-138, Records Disposition-Procedures and Responsibilities and AFMAN 37-139, Records Disposition Schedule and in accordance with any applicable security program requirements. Refer to paragraph 2.3 of this Guide for classified and SAP contracts. 5.1 License Exemption The reporting requirements in this paragraph are exempt from licensing according to paragraph 3.16, AFI 33-324, The Information Collections and Reports Management Program, Controlling Internal, Public, and Interagency Air Force Information Collections. 5.2 CPAR Markings and Protection Those granted access to the CPARS are responsible for ensuring that CPARs are appropriately marked and handled. All CPAR forms, attachments and working papers must be marked "FOR OFFICIAL USE ONLY/SOURCE SELECTION INFORMATION - SEE FAR 2.101 AND 3.104" according to AFI 37-131, Freedom of Information Act Program, FAR 3.104, and 41 USC Sect. 423. CPARs may also contain information that is proprietary to the contractor. Information contained on the CPAR, such as trade secrets and protected commercial or financial data obtained from the contractor in confidence, must be protected from unauthorized disclosure. AOs and ROs shall annotate on the CPAR if it contains material that is a trade secret, etc., to ensure that future readers of the evaluations in the PPIRS are informed and will protect as required. The following guidance applies to protection both internal and external to the government: 5.2.1 Internal Government Protection CPARs must be treated as source selection information at all times. Information contained in the CPAR must be protected in the same manner as information contained in source selection files. (See FAR 3.104 and 41 USC Sect. 423) 5.2.2 External Government Protection Due to the sensitive nature of CPARs, disclosure of CPAR data to contractors other than the contractor that is the subject of the report, or other entities outside the Government, is not authorized. A contractor will be granted access to its CPARs maintained in the CPARS AIS by the activity Focal Point.

14

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 20 of 52

5.2.3

Freedom of Information Act (FOIA) On those occasions when a FOIA request is received for CPAR records, the unit FOIA office must refer the request to the CPAR Focal Point for coordination. CPARs are exempt from FOIA release because they are considered source selection information.

5.3

Use of CPARS in Source Selection CPARs provide an assessment of ongoing performance of contractors. Each report consists of a narrative evaluation by the AO, the contractor's comments, if any, relative to the assessment and the RO's acknowledged consideration and reconciliation of significant discrepancies between the AO's evaluation and the contractor's comments. Source selection officials retrieve CPARS by using the PPIRS.

5.4

Forms Prescribed See Attachments 3 or 4 or http://www.cpars.navy.mil. For contracts that contain supplies or services from more than one business sector, use the form that represents the preponderance of the dollar value of the contract requirements.

15

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 21 of 52

Section F - References 6.0 Department of Defense (DoD) "Guide to Collection and Use of Past Performance Information, May 2003" USD (AT) Memorandum dated 20 November 1997, "Collection of Past Performance Information in the Department of Defense" USD (AT) DP Memorandum dated 29 January 1999, "Class Deviation -- Past Performance"

6.1

6.2

16

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 22 of 52

Attachments 1. Business Sectors 2. Evaluation Ratings Definitions 3. Form and Instructions for Completing a Systems CPAR 4. Form and Instructions for Completing a Services, Information Technology, or Operations Support CPAR 5. Major Command Points of Contact 6. List of Acronyms 7. CPARS Features

17

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 23 of 52
Attachment 1 Business Sectors

Key Business Sectors
Systems Generally, this sector includes products that require a significant amount of new engineering development work. Includes major modification/upgrade efforts for existing systems, as well as acquisition of new systems, such as aircraft, ships, etc. Also includes program budget account code 6.4-funded projects. More specificallyAircraft: Includes fixed and rotary wing aircraft, and their subsystems (propulsion, electronics, communications, ordnance, etc.) Shipbuilding: Includes ship design and construction, ship conversion, small craft (e.g., rigid inflatable boats) and associated contractor-furnished equipment, as well as ship overhaul and repair. Space: Includes all satellites (communications, early warning, etc.), all launch vehicles, strategic ballistic missiles, and all associated subsystems, including guidance and control. Ordnance: Includes all artillery systems (except non-Precision Guided Munitions (PGM) projectiles), tactical missiles (air-to-air, air-to-ground, surface-to-air, and surface-to-surface) and their associated launchers, and all PGM weapons and submunitions, such as the Joint Direct Attack Missile, the Sensor-Fused Weapon and the "Brilliant Antitank" weapon. Ground Vehicles: Includes all tracked combat vehicles (e.g., tanks and armored personnel carriers), wheeled vehicles (e.g., trucks, trailers, specialty vehicles), and construction and material handling equipment requiring significant new engineering development. Does not include commercial equipment typically acquired from existing multiple award "schedule" contracts (e.g., staff cars, base fire trucks, etc.) Training Systems: Generally, includes computer-based (or embedded) virtual and synthetic environments and systems of moderate to high complexity capable of providing training for air, sea, and land-based weapons, platforms, and support systems readiness. Does not include operation and maintenance support services beyond the scope of the initial training system acquisition, or basic and applied research in these areas. Other Systems: Includes technologies and products that, when incorporated into other systems such as aircraft and ships, are often categorized as subsystems. However, many of these products are often acquired as systems in their own right, either as "stand-alone" acquisitions or as the object major modification/upgrade efforts for ships, aircraft, etc. Examples of other systems include Command, Control, Communication, Computer and Intelligence (C4I) systems, airborne and shipborne tactical computer systems, electrical power and hydraulic systems, radar and sonar systems, fire control systems, electronic warfare systems, and propulsion systems (turbine engines--aviation and maritime, diesel engine power installations - maritime and combat vehicle). Does not include tactical voice radios with commercial equivalents, personal

A1-1

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 24 of 52
Attachment 1 Business Sectors

Global Positioning System (GPS) receivers, non-voice communication systems with commercial equivalents (See Operations Support and Information Technology sectors). Services Generally, this sector includes all contracted services except those which are an integral part of a systems contract or related to "Science & Technology," "Construction & Architect--Engineering Services," "Information Technology", and "Health Care." Services are further defined below: Professional/Technical & Management Support Services: Includes all consultant services - those related to scientific, health care services, and technical matters (e.g., engineering, computer software engineering and development), as well as those related to organizational structure, human relations, etc. Includes office administrative support services (e.g., operation of duplication centers, temporary secretarial support, etc.). Does not include any basic or applied research that will result in new or original works, concepts or applications, but does include contract advice on the feasibility of such research, as well as evaluation of research results. Repair & Overhaul: Services related to the physical repair and overhaul of aircraft, ground vehicles, etc., and any associated subsystems or components. Includes condition evaluations of individual items received for repair or overhaul, but does not include evaluations of the feasibility or the benefits of the overall project. Does not include Ship Repair and Overhaul that is included in the Shipbuilding sector. Installation Services: Includes services for grounds maintenance (grass cutting, shrubbery maintenance or replacement, etc.). Includes services related to cleaning, painting, and making minor repairs to buildings and utilities services, etc. Includes contracted security and guard services. Includes installation and maintenance of fencing. It also includes minor electrical repairs (e.g., replacing outlets, changing light bulbs, etc.), minor road surface repairs (patching cracks, filling in potholes, etc.), relocation of individual telephone lines and connections, snow removal. (See Construction for the installation services covered by that sector.) Transportation and Transportation-Related Services: Includes services related to transportation by all the land, water, and air routes, and transportation efforts, which support movement of U.S. forces and their supplies during peacetime training, conflict, or war. Consists of those military and commercial efforts, services and systems organic to, contracted for, or controlled by the DoD. Information Technology This sector includes any equipment or interconnected system or subsystem of equipment, that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission or reception of data or information. Generally, includes all computers, ancillary equipment, software, firmware and similar procedures, services (including support services), and related resources. Does not include any military-unique C4I systems and components included under Systems, such as JTIDS, Aegis, etc. More specifically-

A1-2

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 25 of 52
Attachment 1 Business Sectors

Software: A set of computer programs, procedures, and associated documentation concerned with the operations of a data processing system; e.g., compilers, library routines, manuals and circuit diagrams. Information that may provide instructions for computers; data for documentation; and voice, video, and music for entertainment and education. Hardware: Physical equipment as opposed to programs, procedures, rules and associated documentation. In automation, the physical equipment or devices forming a computer and peripheral components. Telecommunications Equipment or Services: Circuits or equipment used to support the electromagnetic and/or optical dissemination, transmission, or reception of information via voice, data, video, integrated telecommunications transmission, wire, or radio. The equipment or service must be a complete component capable of standing alone. This includes the following type of items; telephones, multiplexers, a telephone switching system, circuit termination equipment, radio transmitter or receiver, a modem, card cage with the number and type of modem cards installed, etc. This does not include the following type of items: a chip, circuit card, equipment rack, power cord, a microphone, headset, etc. Operations Support Generally, this sector includes spares and repair parts for existing systems. Also includes products that require a lesser amount of engineering development work than "Systems," or that can be acquired "build-to-print," "non-developmental," or commercial off the shelf. More specificallyMechanical: Includes transmissions (automotive and aviation), landing gear, bearings, and parts/components related to various engines (turbine wheels, impellers, fuel management and injection systems, etc.) Structural: Includes forgings; castings; armor (depleted uranium, ceramic, and steel alloys); and steel, aluminum, and composite structural components. Does not include "bare" airframes, ships, or combat vehicles (i.e., without engines and electronics). Electronics: Includes parts and components related to digitization, guidance and control, communications, and electro-optical and optical systems. Includes individual resistors, capacitors, circuit cards, etc., as well as "modules" such as radio-frequency receivers and transmitters. Includes tactical voice radios, personal Global Positioning System receivers, etc. Electrical: Includes electric motors, thermal batteries, auxiliary power units, and associated spares and component parts. Ammunition: Includes all small arms ammunition and non-Precision Guided Munitions artillery rounds. Troop Support: Includes all food and subsistence items. Includes all clothing and textile-related items, including uniforms, tentage, personal ballistic protective gear, life preservation devices,

A1-3

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 26 of 52
Attachment 1 Business Sectors

etc. Includes all medical supplies and equipment, including medicines and diagnostic equipment (X-ray machines, etc.). Does not include any recreational or morale/welfare items. Base Supplies: Includes all consumables and personal property items needed to maintain installations, bases, ports, etc. Includes small tools and cleaning and preservation equipment and supplies (paints, brushes, cleaning solvents, etc.). Does not include any grounds maintenance, construction, security, or other types of services. Fuels: Includes all bulk fuels, lubricants, and natural gas, coal, storage, and other commodities and related support services.

Unique Business Sectors
Architect - Engineering Services Professional services of an architectural or engineering nature, as defined by State law, if applicable, which are required to be performed or approved by a person licensed, registered, or certified to provide such services. These services include, research, planning, development, design, construction, alteration, or repair of real property. Incidental services include studies, investigations, surveying and mapping, tests, evaluations, consultations, comprehensive planning, program management, conceptual designs, plans and specifications (drawings, specifications and other data for and preliminary to the construction), value engineering, construction phase services, soils engineering, drawing reviews, preparation of operating and maintenance manual, and other related services. Use Architect-Engineer Contract Administration Support System (ACASS) for past performance collection in accordance with FAR 36.604. Construction Construction, alteration, or repair (including dredging, excavating, and painting) of buildings, structures, or other real property. The terms "buildings, structures, or other real property" includes but are not limited to improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, cemeteries, pumping stations, railways, airport facilities, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, canals, and channels. Construction does not include the manufacture, production, furnishing, construction, alteration, repair, processing, or assembling of vessels, aircraft, or other kinds of personal property. Design-Build: Combining design and construction in a single contract with one contractor. Use Construction Contractor Appraisal Support System (CCASS) for past performance collection in accordance with FAR 36.201. Science and Technology Includes all contracted basic research and some applied research. Includes construction of "proof-of-principle" working prototypes. Includes projects funded by program budget accounts 6.1 (Basic Research), 6.2 (Exploratory Development), and 6.3 (Advanced Technology

A1-4

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 27 of 52
Attachment 1 Business Sectors

Development), but does not include projects funded by 6.4 accounts or similarly oriented appropriations. (Those projects are covered by the Systems sector). For the Science and Technology sector, PPI must be collected only at the time of the particular acquisition. No dollar threshold or the requirement to maintain an automated database has been established for this category. Collection of science and technology PPI must be limited to relevant information as determined by the Source Selection team. Requests for PPI must be tailored to each procurement during the source selection process, with emphasis placed on the expertise of key personnel.

A1-5

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 28 of 52

Attachment 2 Evaluation Ratings Definitions

Rating
Dark Blue/ Exceptional

Definition
Performance meets contractual requirements and exceeds many to the Government's benefit. The contractual performance of the element or subelement being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective. Performance meets contractual requirements and exceeds some to the Government's benefit. The contractual performance of the element or subelement being assessed was accomplished with some minor problems for which corrective actions taken by the contractor was effective. Performance meets contractual requirements. The contractual performance of the element or subelement contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Note
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.

Purple/Very Good

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.

Green/ 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. There should have been NO significant weaknesses identified. Per DOD policy, 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. 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).

Yellow/ Marginal

Performance does not meet some contractual requirements. The contractual performance of the element or subelement 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. 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 a serious problem(s) for which the contractor's corrective actions appear or were ineffective.

Red/ Unsatisfactory

To justify an Unsatisfactory rating, identify multiple significant events in 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).

NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change the assessment status. NOTE 2: N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation.

A2-1

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 29 of 52

Attachment 3 Form and Instructions for Completing a Systems CPAR
FOR OFFICIAL USE ONLY / SOURCE SELECTION INFORMATION ­ SEE FAR 3.104

CONTRACTOR PERFORMANCE ASSESSMENT REPORT (CPAR)
1. NAME/ADDRESS OFCONTRACTOR (DIVISION) 2. INITIAL INTERMEDIATE FINAL REPORT OUT OF CYCLE

SYSTEMS
ADDENDUM

3. PERIOD OF PERFORMANCE BEING ASSESSED

CAGE CODE

DUNS + 4 NUMBER

4a. CONTRACT NUMBER

4b. DOD BUSINESS SECTOR & SUB-SECTOR

FSC OR SERIVCE CODE

NAICS

5. CONTRACTING OFFICE (ORGANIZATION AND CODE)

6. LOCATION OF CONTRACT PERFORMANCE (If not in item 1)

7a. CONTRACTING OFFICER

7b. PHONE NUMBER

8a. CONTRACT AWARD DATE

8b. CONTRACT EFFECTIVE DATE

9. CONTRACT COMPLETION DATE

10. CONTRACT PERCENT COMPLETE / DELIVERY ORDER STATUS

11. AWARDED VALUE

12. CURRENT CONTRACT DOLLAR VALUE

13. 14. FFP FPI FPR CPFF

COMPETITIVE

NON-COMPETITIVE

CONTRACT TYPE
CPIF CPAF OTHER MIXED:

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.)

18. EVALUATE THE FOLLOWING AREAS a. TECHNICAL (QUALITY OF PRODUCT) (1) PRODUCT PERFORMANCE (2) SYSTEMS ENGINEERING (3) SOFTWARE ENGINEERING (4) LOGISTIC SUPPORT/SUSTAINMENT (5) PRODUCT ASSURANCE (6) OTHER TECHNICAL PERFORMANCE b. SCHEDULE c. COST CONTROL d. MANAGEMENT (1) MANAGEMENT RESPONSIVENESS (2) SUBCONTRACT MANAGEMENT (3) PROGRAM MANAGEMENT & OTHER MANAGEMENT e. OTHER AREAS (1) (2) DD Form 2848, April 2002

PAST COLOR

RED

YELLOW

GREEN

PURPLE

DARK BLUE

N/A

FOR OFFICIAL USE ONLY (When Filled In)

A3-1

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 30 of 52

Attachment 3 Form and Instructions for Completing a Systems CPAR
19. VARIANCE (Contract to date) CURRENT COMPLETION

COST VARIANCE (%) SCHEDULE VARIANCE (%) 20. ASSESSING OFFICIAL (i.e. 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 AND CODE

PHONE NUMBER

FAX NUMBER EMAIL ADDRESS: SIGNATURE 22. CONTRACTOR COMMENTS (Contractor's Option) DATE

23. TYPE NAME AND TITLE OF CONTRACTOR REPRESENTATIVE

PHONE NUMBER

FAX NUMBER EMAIL ADDRESS: SIGNATURE 24. REVIEW BY REVIEWING OFFICIAL (Comments Optional) DATE

25. TYPE NAME AND TITLE OF REVIEWING OFFICIAL

ORGANIZATION AND CODE

PHONE NUMBER

FAX NUMBER EMAIL ADDRESS: SIGNATURE DATE

FOR OFFICIAL USE ONLY / SOURCE SELECTION INFORMATION ­ SEE FAR 3.104

A3-2

Case 1:07-cv-00579-MMS

Document 20-2

Filed 07/11/2008

Page 31 of 52

Attachment 3 Form and Instructions for Completing a Systems CPAR

A3.1 The Systems Business Sub-Sectors are Aircraft, Shipbuilding, Space, Ordnance, Ground Vehicles, Training Systems, or Other Systems. A3.2 Block 1 - Name/Address of Contractor. State the name and address of the division or subsidiary of the contractor that is performing the contract. Identify the parent corporation (no address required). Identify the CAGE code, DUNS+4 number, Federal Supply Classification (FSC) or Service Code, and North American Industrial Classification System (NAICS) Code. All codes can be accessed by using the on-screen "lookup" function provided in the electronic form. A3.3 Block 2 - Type Report. Indicate whether the CPAR is an initial, intermediate, or final report. If this is an "out-of-cycle" report, select "out-of-cycle." If this is a report to record contractor performance relative to contract closeout or other administrative requirements, select "Addendum." A3.4 Block 3 - Period of Performance Being Assessed. State the period of performance covered by the report (dates must be in MM/DD/YYYY format). The initial period of performance should not cover less than six months of actual performance. A3.4.1 Period of Performance for Delayed Starts, Protests or Phase-In Periods. In the case of delayed starts or protests, the initial period of performance may cover more than twelve months of time since contract award, but normally no more than twelve months of actual contract performance. Initial periods reporting on performance greater than 12 months (such as for phase-in periods) must be approved by the CPAR Focal Point and coordinated with the contractor. The period of performance should not already include reported efforts except when an out-of-cycle CPAR has been processed. A3.4.2 Period of Performance for Intermediate/Final Reports. CPAR assessments for intermediate and final reports should cover a 12 month period of performance. Exceptions to this rule for special circumstances, such as a period of performance that ends one month before contract completion or