9 - AWARD FEE AND INCENTIVE FEE REPORTING Policy: In accordance with 5216.401(f), Incentive Fee and Award Fee Data Collection and Analysis, each contracting activity shall follow the process described in and submit a report on award and incentive fees earned on contracts with an estimated value greater than $50,000,000. At a minimum, the report shall provide the following information: Contracting Agency Name Contract Number Delivery/Task Number Is this contract for services, supplies, or a mix of the two? Program Name Contracting Office Name Base and all Options Value Solicitation Date If solicitation date is prior to 1 August 2007, has award fee criteria been reviewed for opportunities to bring it into compliance with current policy? Date of Award Contractor Potential Award or Incentive Fee for Life of Contract or Incentive Fee Available in Current Period Actual Award or Incentive Fee Earned During Reporting Period Percentage (%) or Incentive Fee Earned Date Fee Determined Does Earned Management Apply to this Contract? CPI SPI Fee Type Have provisional fee payments ever been made on the contract? Date of last provisional award fee payment. Is a cost overrun projected on this contract? Is a schedule slip projected on this contact? Is a Nunn-McCurdy breach projected? Was there any CPARS ratings during the reporting period that were inconsistent with the fee earned? Has roll-over ever been approved on this contract? Total Fee Rolled Over Date most recent roll-over approved. Has program been identified by OMB, or other entity as experiencing a cost, schedule, performance or other management issue (List report number in Notes column). Point of contact POC Number POC email Notes
ANNEX 14 – REPORTS # REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO 1 Bi-Annual Evaluation Requirements of Contracting Officers under DoDI 5000.66; (i.e., Functional Independence of Contracting Officers) Note: Reported in even numbered years NMCARS 5201.102(d)(S-90) 31-Oct DPAP 15-Oct DASN(AP) via email to RDAJ&As@navy.mil 2 Bi-Annual Compliance report that no senior leader performed multiple roles in major weapon system or major service acquisitions Note: Reported in even numbered years NMCARS 5203.170(a) 30-Dec DPAP 30-Nov DASN(AP) via to RDAPolicy@navy.mil 3 Annual Procurement Performance Management Assessment Program (PPMAP) Summary of Relevant Findings from Prior FY PPMAP. NMCARS 5201.691-1 Not applicable Not applicable 31-Jan DASN(AP) via email to RDAJ&As@navy.mil 4 Annual Contract Action Report, Data Verification and Validation (V&V) Certification NMCARS 5204.604(3) 15-Dec DPAP 1-Dec DASN(AP) via to RDAJ&As@navy.mil 5 Annual Competition Report, including projected competition goal for current year FAR 6.502(b)(2) 31-Jan DPAP 15-Jan DASN(AP) via email to RDAPolicy@navy.mil 6 Annual Report on Pilot Program for Acquisition of Nondevelopmental Items NMCARS 5212.7102-2 31-Oct DPAP 15-Oct DASN(AP) via email to RDAJ&As@navy.mil 7 Annual Commercial Item Exceptions to Cost/Pricing Data valued $15M or more. NMCARS 30-Nov DPAP 31-Oct DASN(AP) via email to RDAJ&As@navy.mil 8 Annual Truth In Negotiation Act (TINA) Waivers valued $15M or more. NMCARS 30-Nov DPAP 31-Oct DASN(AP) via email to RDAJ&As@navy.mil
# REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO 9 Annual Report of Contract Data for contracts with Economic Price Adjustment clauses. NMCARS 5216.203-4 30-Oct DPAP 26-Oct ASN(AP) via email to RDAJ&As@navy.mil 10 Annual Nondefense Agency Certifications Report NMCARS 5217.703(c) Within 30 days of the beginning of the fiscal year DPAP Within 20 days of the beginning of the fiscal year DASN(AP) via email to RDAJ&As@navy.mil 11 Annual COTS End Items Report for contracts valued at $5M or more (including task orders/ delivery orders) PER ITEM NMCARS 5225.7003 31-Oct DPAP 15-Oct DASN(AP) via email to RDAJ&As@navy.mil 12 Annual Cost Accounting Standards Waivers over $15M NMCARS 5230.201-5 30-Nov DPAP 31-Oct DASN(AP) via email to RDAPolicy@navy.mil 13 Annual Service Requirements Review Board Action Item Correction POAM NMCARS 5237.191(b) Not applicable Not applicable 120 days after completion of SRRB DASN(AP) via RDAJ&As@navy.mil 14 Annual Service Requirements Review Board Final Analysis NMCARS 5237.191(c) Not applicable Not applicable 30 days after completion of SRRB DASN(AP) via RDAJ&As@navy.mil 15 Annual Offerors responses to provision 252.247-7026 related to Ocean Transportation NMCARS 5247.573-3 15-Feb Directorate of Acquisition, TRANSCOM 31-Jan DASN(AP) via email to RDAJ&As@navy.mil 16 Annual Foreign Military Sales over $2M Sec 1231 FY2007 NDAA 31-Mar DPAP 15-Mar DASN(AP) via email to RDAJ&As@navy.mil 17 Annual Review of Contracts Involving Combat and Security Force Training ASN RD&A memo "Acquisition of Combat and Security Related Training" dated 25 Nov 2009 Not applicable Not applicable By Request annually DASN(AP) via to RDAJ&As@navy.mil REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO
18 Annual FY12 NDAA Sections 841 and 842 Report Note: Requirement legislated to report on Calendar 2012-2014 DPAP Memo “Reporting Requirements in Sections 841 and 842 of the NDAA for FY12 (Public Law 112-81)” dated May 14, 2012 1 Feb DPAP 15 Jan DASN(AP) via email to RDAJ&As@navy.mil 19 Annual FY12 NDAA Section 846 - Indemnification Agreements - Contingency Contracting FY2012 NDAA §846 DPAP Memo "Reporting Requirements in section 846 of the NDAA for FY12 (Public Law Dec 13, 2012 1-Nov DPAP 20-Oct DASN(AP) via email to RDAJ&As@navy.mil 20 Award Fee and Incentive Fee Report NMCARS 5216.401(f) 30 Mar 30 Sep DPAP 1 Mar/1 Sep DASN(AP) via email to RDAJ&As@navy.mil 21 Consolidated Undefinitized Contract Actions (UCA) Management Plan Note: DASN(AP) generates (Belton) DFARS 217.7405(a)(1) 30 Apr/31 Oct DPAP 22 Consolidated Undefinitized Contract Actions (UCA) Management Report NMCARS 5217.7405(a)(2) 30 Apr/31 Oct DPAP 15 Apr/15 Oct DASN(AP) via email to RDAJ&As@navy.mil 23 DCMA Business Base Input NMCARS 5242.1790 First week of March/First week of September DCMA First week of February/First week of August DASN(AP) via email to RDAJ&As@navy.mil # REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO
24 Contract Audit Follow Up (automated system) DoD Instruction 7640.02 31 Mar/30 Sep DCMA Due to DCMA not DASN(AP). DASN(AP) is DON liaison to DCMA if questions arise. CAFU system in eTools at www.dcma.mil. 25 IUID Report DPAP Memo Dec 4, 2007 30 Jun/31 Dec DPAP 1 Jun/1 Dec DASN(AP) via email to RDAJ&As@navy.mil 26 RFID Compliance Report ASN(RD&A) Memo Jun 5, 2009 Not applicable Not applicable 1 Jun/1 Dec DASN(AP) via email to RDAJ&As@navy.mil 27 eSRS Status Report Note: DASN(AP) will run eSRS Status Report. Field updates/inputs are required to DASN(AP) by Due Date DPAP Memo Apr 16, 2009 30 Jun/30 Dec DPAP 15 Jun/15 Dec DASN(AP) via email to RDAJ&As@navy.mil 28 Quarterly Peer Review Forecast NMCARS 5201.170 31 Mar 30 Jun 30 Sep 31 Dec DPAP 25th of each month NMCARS is monthly. DFARS is quarterly DASN(AP) via email to RDAJ&As@navy.mil 29 Quarterly Bridge Contract Awards NMCARS 5206.303-92 Not applicable Not applicable 30 Jan, 30 Apr, 30 Jul, 30 Oct DASN(AP) via to 30 Quarterly Report on Period of Performance Waivers NMCARS 5217.204(S-90) Not applicable Not applicable No later than the 15th of the month following the end of the qtr DASN(AP) via email to # REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO
31 Quarterly V&V Data Verification DOD FY 2012 Procurement Data Improvement & Compliance Plan (By DPAP) FY12 Schedule: 15 Feb: Q1, 16 May: Q2, 15 Aug: Q3, 3 Dec: Q4 DPAP 30 days from the end of the quarter DASN(AP) via email to RDAPolicy@navy.mil 32 Quarterly Synchronized Predeployment & Operational Tracker (SPOT) Plus CENTCOM Census Note: SPOT generates an auntomated report for submission. USD(AT&L) Memo Policy on the Transition to and Use of an Automated Census for Contractors Supporting Operations in the USCENTCOM AOR dtd Jan 19 2010 1 Jan, 1 Apr, 1 Jul, 1 Oct USD(AT&L) 33 Monthly Department of Energy Order Amounts NMCARS Monthly - no specified date within the month. Deputy Director, DPAP, Contract Policy and International Contracting Within two weeks of order issuance DASN(AP) via email to RDAJ&As@navy.mil 34 Monthly CENTCOM 715-1 Report CENTCOM Regulation Number 715-1 of 25 Jan 2013 Monthly - no specified date within the month. CENTCOM 35 As needed Suspected Violations of the Gratuities Clause NMCARS 5203.203 Notification - Within 2 days, Report – Within 5 working days AGC(AI) and Contracting Officer 36 As needed Lobbying Disclosure Act Violations NMCARS 5203.806 As occurring DPAP As occurring DASN(AP) via email to # REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO
37 As needed Contractor Poor Performance NMCARS Within 5 days after issuance of cure or show cause notice Department of the Navy (DON) Acquisition Integrity Office (AIO) 38 As needed Debarment Reports/Suspension Reports NMCARS 5209.406-3(4) As occurring Assistant General Counsel (Acquisition Integrity) As occurring DASN(AP) via email to RDAJ&As@navy.mil a copy of documentation submitted to AGC(AI) 39 As needed Determination for exception to the requirement for Item Unique Identification. Note: D&F executed by: CAE for ACAT I, HCA for all others NMCARS 5211.274-2 Prior to contract award DPAP Prior to contract award. DASN(AP) via to RDAJ&As@navy.mil 40 As needed Business Case Analysis Part 1 for GWACs, interagency agreements. NMCARS 5213.303-2 NMCARS 5217.502-1(c) Not applicable Not applicable Not applicable DASN(AP) via email to RDAJ&As@navy.mil 41 As needed Truth in Negotiations Act (TINA) waivers >$15M NMCARS Not applicable. Not applicable to waiver approval DASN(AP) via to RDAJ&As@navy.mil 42 As needed TINA Waiver Requests in excess of $100M NMCARS Not applicable Not applicable Prior to contract award. DASN(AP) via email to RDAPolicy@navy.mil 43 As needed NDAA Section 808 Exception Approval Note: Report expires at the end of FY13. NMCARS 5216.102 Not applicable Not applicable Prior to contract award or order issuance DASN(AP) via to RDAJ&As@navy.mil 44 As needed HCA approved D&F for ACAT I programs using CPAF incentive contract type NMCARS 5216.401(d) Not applicable Not applicable Within 15 days of approval by HCA DASN(AP) via email to RDAJ&As@navy.mil # REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO
45 As needed HCA approved D&F for I programs valued at $50M or greater using CPAF incentive contract type NMCARS 5216.401(d) Not applicable Not applicable Within 30 days of approval by HCA DASN(AP) via email to RDAJ&As@navy.mil 46 As needed Award Fee D&F (CPAF for an ACAT I program) NMCARS 5216.401(d)(3)(i) Within 30 days of the end of the quarter DPAP Within 15 days of approval by HCA DASN(AP) via email to RDAJ&As@navy.mil 47 As needed Award Fee D&F for any contract $50M or more, including options NMCARS 5216.401(d)(3)(ii) Not applicable Not applicable Within 30 days of approval by HCA DASN(AP) via email to RDAJ&As@navy.mil 48 As needed Submission of Determination and Finding on Single Award IDIQ contracts over $103M. Note: Include the congressional notification document in the DFARS PGI 216.504 prescribed format. NMCARS Prior to award DPAP Prior to single solicitation DASN(AP) via to RDAJ&As@navy.mil. 49 As needed Determination Approvals >$103M (less stated exceptions) NMCARS 5216.504 Not applicable Not applicable Prior to contract award or order issuance DASN(AP) via email to RDAJ&As@navy.mil 50 As needed Congressional notification for Multi-year contracts NMCARS 5217.170 Not applicable Not applicable 45 days prior to contract award or order issuance DASN(AP) via to RDAJ&As@navy.mil 51 As needed Determination Approval for Multi-year contract for supplies >$500M NMCARS 5217.172-90 Not applicable Not applicable Prior to contract award or order issuance DASN(AP) via email to RDAJ&As@navy.mil # REPORT/NOTES REFERENCE EXTERNAL DUE DATE EXTERNAL DUE ORGANIZATION DASN(AP) DUE DATE SUBMISSION TO