"Recommendation Letter - Download as Excel"
End Of Year Recommendation Template Instructions Ratings for EOY Recommendation Rating Definition Compliant (C) All 32 GLs were reviewed in 2008. Compliance is defined as having no CARs or few open CARs, issues are non-systemic in nature, and do not affect the accuracy of the data. Non-Compliant (N) All 32 GLs were reviewed in 2008. Non-Compliant is defined as having CARs that are open, systemic (have similar findings across multiple programs), and ongoing Corrective Action Plans with little or no progress that affect the accuracy of the data. Un-Assessed - (U) Did not review all 32 GLs. Must explain reasons in the Part 3 Additional Information section of this form Instructions for completing EOY Recommendation Form located on EOY tab. BLUE blocks are the areas that MUST be completed. Top of Page: Use drop down box to indicate system compliance based upon ratings above. Only use unknown if all 32 guidelines were not covered. PART 1: Block 1.A. CALENDAR YEAR Block 1.B. RESPONSIBLE EVM ANALYST Block 1.C. CMO NAME Block 1.D. CMO LOCATION (CITY/STATE) Block 1.E. SUPPLIER NAME Block 1.F. SUPPLER LOCATION (CITY/STATE) Block 1.G. CAGE CODE Block 1.H. CMO COMMANDER Block 1.I. DATE PREPARED Block 1.J. DATE APPROVED BY EVM CENTER PART 2: IDENTIFY EACH SURVEILLANCE REVIEW CONDUCTED THROUGHOUT THE COURSE OF THE YEAR. 2.A. PROCESS(ES) List the process areas that were covered during each surveillance period. 2.B. GUIDELINES List the guidelines that were evaluated during each surveillance period. 2.C. PROGRAM(S) / CONTRACT(S) List the programs/contract(s) that were evaluated during the surveillance period. 2.D. DATE CONDUCTED List the dates each surveillance was conducted. 2. E. GUIDELINES THAT ARE NON-COMPLIANT List any guidelines that are currently non-compliant. 2. F. NUMBER OF CARS WRITTEN, LEVEL List the number of CARS that were written against that guideline during the survillance and what level they were. [ex. 6 (L1, L1, L3, L3, L2, L1)] 2. F. NUMBER OF CARS STILL OPEN, LEVEL List the number of CARS that are currently still open and what level they are. PART 3: END OF YEAR SUMMARY OF REVIEWS, RECOMMENDATION TO ACO, OPEN CARS, AND ADDITIONAL INFORMATION, In this section, explanations for UNKNOWN compliance or NOT compliant recommendation to the ACO MUST be included. Write a short summary of the reviews conducted, explain any open CARs, and any additional information that is relevant to the end of year recommendation. Process Flow and Due Dates CMO and EVM ACO drafts letter Center work together with EOY Supplier recieves to complete EOY recommendation EOY Process complete template to the supplier Recommendation until following year letter Due by 31 Due by 31 December January Directions: ONLY COMPLETE THE BLUE AREAS! Step 1: List each program reviewed over the course of the year in the left hand column. Step 2: For each program, list the number of OPEN CARs that correspond with each guideline. B on the correct CAR severity (level 1, 2, 3) line. Step 3: Use this matrix to determine systemic vs. non-systemmic. Step 4: Enter Compliance level into End of Year Recommendation tab. Ex. Program 1 has two Level 3 CARs that are still open against Guideline #4. EVMS Guidelines 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 Program 1 Level 3 2 Level 2 Level 1 1 Program 2 Level 3 Level 2 Level 1 4 1 Program 3 Level 3 Level 2 Level 1 1 Program 4 Level 3 Level 2 Level 1 1 Program 5 Level 3 Level 2 Level 1 3 Program 6 Level 3 Level 2 Level 1 1 Program 7 Level 3 Level 2 Level 1 Program 8 Level 3 1 Level 2 Level 1 Program 9 Level 3 Level 2 Level 1 4 Ratings: Compliant ( C) Compliance is defined as no CARs or few open CARs, issues are non-systemic in nature, and do n Non-compliant (N) Non-Compliant is defined as having CARs that are open, systemic (have similar findings across mu little or no progress that affect the accuracy of the data. e left hand column. espond with each guideline. Be sure to mark the number of CARs Systemic Sum of Individual open Earned 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 CARs Score 2 2 0 0 1 3 0 0 0 0 5 15 0 0 0 0 1 2 6 0 0 0 0 1 3 0 0 0 0 3 9 0 0 0 0 1 2 6 0 0 0 0 0 0 1 1 0 0 0 0 7 7 7 0 0 4 12 -systemic in nature, and do not affect the accuracy of the data. ve similar findings across multiple programs), and ongoing Corrective Action Plans with 0.75 0.50 0 1.00 0.74 0.49 ANNUAL END OF YEAR REVIEW EVMS END OF YEAR SYSTEM RECOMMENDATION SYSTEM COMPLIANT: C PART 1: 1.A. CALENDAR YEAR 1.B. RESPONSIBLE EVM ANALYST 2008 DONNA HOLDEN 1.C. CMO NAME 1.D. CMO LOCATION (CITY/STATE) SPACE AND MISSILES TAMPA, FL 1.E. SUPPLIER NAME 1.F. SUPPLER LOCATION (CITY/STATE) MISSILE-MART, INC. TAMPA, FL 1.G. CAGE CODE 1.H. CMO COMMANDER 1.H. DATE PREPARED 1.I. DATE APPROVED BY EVM CENTER 15-Dec-07 31-Dec-07 PART 2: IDENTIFY EACH SURVEILLANCE REVIEW CONDUCTED THROUGHOUT THE COURSE OF THE YEAR. 2.A. PROCESS(ES) 2.B. GUIDELINES 2.C. PROGRAM(S) / CONTRACT(S) 2.D. DATE CONDUCTED 2. E. GUIDELINES 2. F. NUMBER OF 2. F. NUMBER OF THAT ARE NON- CARS WRITTEN CARS STILL COMPLIANT AND LEVEL OPEN AND LEVEL ORGANIZING 1, 2, 3, 5 ABC/N00104-07-C-XXXX; XYZ/DAAB07-07-C-ZZZZ January-08 1,2 2, (LI) none WORK/BUDGET AUTHORIZATION 8, 9, 10, 11 ABC/N00104-07-C-XXXX; XYZ/DAAB07-07-C-ZZZZ February-08 none none none WORK/BUDGET AUTHORIZATION 12, 14, 15 ABC/N00104-07-C-XXXX; XYZ/DAAB07-07-C-ZZZZ March-08 none none none SCHEDULING 6 AND 7 ABC/N00104-07-C-XXXX; XYZ/DAAB07-07-C-ZZZZ April-08 6 3 (LI, LI, LII) 1 (LII) ACCOUNTING 16, 17, 18, 20, 22, 30 DEF/F33657-05-C-YYYY XYZ/DAAB07-07-C-ZZZZ May-08 17, 22, 30 3 (LI, LI, LII) none MATERIAL MANAGEMENT 21 (2, DEF/F33657-05-C-YYYY TUV/00NAS8-06-XXXX June-08 none none none SUBCONTRACT MANAGEMENT 16) MATERIAL MANAGEMENT (9, 10, 12, 22, 23, 27) (9, DEF/F33657-05-C-YYYY TUV/00NAS8-06-XXXX July-08 none none none SUBCONTRACT MANAGEMENT 10, 12, 22, 23, 27) MANAGERIAL ANALYSIS 22, 23, 25, 26 DEF/F33657-05-C-YYYY TUV/00NAS8-06-XXXX August-08 none none none MANAGERIAL ANALYSIS 27 DEF/F33657-05-C-YYYY TUV/00NAS8-06-XXXX September-08 none none none CHANGE INCORPORATION 28, 29, 30, 31, 32 DEF/F33657-05-C-YYYY TUV/00NAS8-06-XXXX October-08 31 1 (LII) none INDIRECT MANAGEMENT 4, 8, 13, 19, 24, 27 ABC/N00104-07-C-XXXX; TUV/00NAS8-06-XXXX November-08 none none none PART 3: END OF YEAR SUMMARY OF REVIEWS, RECOMMENDATION TO ACO, OPEN CARS, AND ADDITIONAL INFORMATION, THERE IS STILL ONE LEVEL 2 CAR OPEN REGARDING GUIDELINE #6. SCHEDULES ARE NOT FULLY LINKED AND DO NOT SHOW CORRECT STATUS. THE SUPPLIER HAS MADE A LOT OF EFFORT TOWARD CORRECTING THE PROBLEM, BUT STILL HAS WORK TO DO. AS A RESULT, THE SYSTEM IS STILL RATED COMPLIANT, BUT THIS GUIDELINE WILL BE UNDER CAREFUL WATCH. Frequently Asked Questions (FAQs) Has a supplier's validated system ever been considered 1. noncompliant based on joint surveillance reviews? Yes, a supplier can become non-compliant due to not meeting a guideline, but they will still have their certification. 2. What should be included in the summary? The End of Year Summary should include the supplier's EV system compliant/noncompliant recommendation plus summary rationale (e.g. 6 of 32 guidelines considered noncompliant, 15 of 25 CARs written still open, 2 level III CARs issued, etc.). If the End of Year Status is marked UN-ASSESSED, this must be explained in the summary. 3. How do I detemine compliance? Using the Scoring tab, follow the directions for listing amount of CARs that are still open. The car severity and amount of cars are weighted, calculating a "score". This score falls into three categories: Complaint and Non-Compliant. My contractor score fell into the Non-Compliant category. What 4. does this mean? Should the contractor that was evaluated fall into the non-compliant category, they will now be considered for a validation review by the EVM Center. My contractor score fell into the Compliant-Watch category. What 5. does this mean? Should the contractor that was evaluated fall into the compliant-watch category, they will on the watch list. If the contractor continues to appear on the compliant-watch list over time, then they will be considered for a potential validation review by the EVM Center. 6. After I complete the template, where does it go? The CMO works in conjunction with the EVM Center to complete the End of Year Recommendation template. Once complete, the EVM Specialist provides the draft letter with recommendation to the ACO. The ACO will then send the letter with the recommendation to the Supplier. The final copy of the template will be stored in the same repository as the Standard System Report (SSR). How do I input a CAR into the recommendation form that wasn't 7. written due to monthly surveillance? List the CAR in the appropriate process area that it affects. It doesn't matter that it was not found during that particular months review. 2.A. PROCESS(ES) 2.B. GUIDELINES 2.C. PROGRAM(S) / CONTRACT(S) 2.D. DATE CONDUCTED ORGANIZING 1, 2, 3, 5 ABC/N00104-07-C-XXXX; XYZ/DAAB07-07-C-ZZZZ January-08 2.A. PROCESS(ES) 2.B. GUIDELINES 2.C. PROGRAM(S) / CONTRACT(S) 2.D. DATE CONDUCTED ORGANIZING 1, 2, 3, 5 ABC/N00104-07-C-XXXX; XYZ/DAAB07-07-C-ZZZZ January-08 8. What are the suspense dates for this tasking memo? The workbook template is to be completed and coordinated with the EVM Center by 31 December 08. The ACO letter is to be completed and sent to the supplier by 31 January 09. 2.D. DATE CONDUCTED 2. E. GUIDELINES 2. F. NUMBER OF 2. F. NUMBER OF THAT ARE NON- CARS WRITTEN AND CARS STILL OPEN COMPLIANT LEVEL AND LEVEL -ZZZZ January-08 1,2 2, (LI) none 2.D. DATE CONDUCTED 2. E. GUIDELINES 2. F. NUMBER OF 2. F. NUMBER OF THAT ARE NON- CARS WRITTEN AND CARS STILL OPEN COMPLIANT LEVEL AND LEVEL -ZZZZ January-08 1,2 2, (LI) none CAR LEVEL DEFINITIONS FROM THE SSOM From the SSOM All CARs are coordinated within the surveillance team and approved by the EVM Center prior to issuance to the supplier. Coordination to the Division level is intended as a courtesy for information only, and does not imply approval authority. All EVMS CAR approval authority rests with the EVM Center, prior to being distributed to the supplier. All CARs will be documented and tracked. Verbal CARs are not acceptable. LEVEL I CAR Level I CAR is issued when a contractual non-compliance requires no special management attention to correct. Level I CARs are directed to the supplier working level personnel. LEVEL II CAR Level II CAR is a request for corrective action for contractual non-compliances that are systemic in nature and/or could adversely affect cost, schedule, or performance if not corrected. A Level I CAR may be escalated to a Level II CAR as the result of Level I CARs for the same types of non-conformances, across several programs/contracts or several Control Account Managers, indicating a systemic issue. Level II CARs are directed to the supplier management level responsible for the process with a copy to the responsible ACO. LEVEL III CAR Level III CAR identifies issues where cost, schedule, technical performance, resources, or management process issues have unfavorably affected program performance and have not been corrected by the supplier. A Level III CAR need not be preceded by a Level I or Level II CAR. A CAR may also become a Level III after Level I and/or Level II attempts have failed and escalation is warranted OR in the case where the situation is deemed serious enough to warrant higher level attention. Failure to meet requirements cited in a CAR may include, but is not limited to, poor or incomplete corrective action plan, poor or missing root cause analysis, irreconcilable differences between DCMA and supplier. The supplier's failure to appropriately correct a non-compliance in a Level III CAR shall result in an escalation from Level III to Level IV. A Level III CAR is addressed to the supplier's (site specific) top tier business manager. Level III CARs may be coupled with contractual remedies such as reductions of progress payments, cost disallowances, cure notices, show cause letters, or management systems disapprovals. Level III CARs may trigger formal reviews such as post award review for cause, compliance reviews, or other system validation reviews and may result in suspension or revocation of EVMS certification. When Level III CAR is closed, copies of the closed CAR should be sent to all those addressed LEVEL IV CAR Level copied in the original CAR, as cost, schedule, technical performance, resources, or management process issues have unfavorably affected and/orIV CAR identifies issues where appropriate. program performance across multiple programs or multiple sites; and have not been corrected by the supplier. A CAR also becomes a Level IV after Level III attempts have failed and escalation is warranted. The CAR should be addressed at the supplier's corporate level. A level IV CAR is issued to advise the supplier of contractual remedies such as suspension of progress payments or product acceptance activities, termination for default, and suspension or debarment, in accordance with applicable FAR/DFARS policies and procedures. Level IV CARs may trigger formal reviews such as post award review for cause, compliance reviews, or other system validation reviews and may result in suspension or revocation of EVMS certification. When a Level IV CAR is closed, copies of the closed CAR should be sent to all those addressed and/or copied in the original CAR, as appropriate.