# Presentation: 748530

## NIH CONTRACTOR PERFORMANCE  SYSTEM

- 07/03/2002

## Acquisition Reform

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## Acquisition Reform

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## 2001 and BEYOND

**NIH ****CONTRACTOR PERFORMANCE  SYSTEM**

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## NIH CONTRACTOR PERFORMANCE  SYSTEM

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**Notes:**
The NIH CPS is a multi-agency shared file through which Federal Contracting Personnel can collect, maintain and disseminate performance evaluations on current contractors.  The CPS has become the de facto system for collecting contractor performance evaluations throughout the Federal Civilian agency environment.  A separate URL is assigned to each agency which provides agency control over its data and authority tables.  Completed evaluations are available to all users across all subscribing agencies for the contract award source selection process. 

## WORLD WIDE

**CONTRACTOR PERFORMANCE  SYSTEM**

**WORLD WIDE**

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**Notes:**
The CPS represents U.S. government contracting offices in all 50 states and world-wide. 

## NIH CONTRACTOR PERFORMANCE  SYSTEM

**INSTANTANEOUS**** **** ACCESS**** ****TO****:**

**MULTIPLE AGENCY**
**EVALUATIONS**

***19 ***
***FEDERAL DEPTS./INDEPENDENT  AGENCIES******	***
***6500***
***OVER FEDERAL ACQUISITION USERS***

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**Notes:**
All users have instantaneous access to the evaluations processed by 19 Federal Departments/Independent Agencies.  An evaluation can be processed and available for use in source selection in days, not weeks.  Some are turned around within 48 hours.  We have currently trained and registered over 6500 federal contracting officials and will be adding approximately 3000 more over the next few months.  Since the implementation of the Project Officer/COTR module several thousand Project Officers/COTR have been trained as well.

## FEDERAL DEPARTMENTS/AGENCIES

**Departments  of:**
**	****Agriculture****	****	****	****	****Treasury****	****	**
**	****Commerce****	****	****	****	****Interior**
**	****Energy****	****	****	****	****Education**
**	****Justice (OJP, INS, AFM)****	****	****Veterans Affairs**
**	****Health & Human Services****	****	****Labor**
**	****State****	****	****	****	****	****Transportation **
**General Services Administration**
**Environmental Protection Agency**
**U.S. Agency for International Development**
**Federal Emergency Management Agency**
**Social Security Administration**
**Export/Import Bank**
**Architect of the Capitol**

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**Notes:**
These are the agencies/Departments that currently subscribe to the NIH CPS.  We are working with the other civilian agencies now to bring them on board.  OFPP has tasked us to work with DoD and NASA to create a Federal Past Performance Retrieval System.  While we are still figuring out the details it has been decided that DoD, NASA and NIH will maintain their current systems but will download their completed evaluations to a central hub, warehouse or retrieval system.  Once the details are worked out users of the CPS, DoD and NASA systems will be able to access all completed evaluations maintained in this Federal Retrieval system.

## FACTS

** ****Started December 1996**
** ****43 % increase in number of evaluations available in 2001**
** **
**46% increase in number of new contractors added in 2001**
**Over 850 searches per month**
**95% of Civilian Contracting **

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**Notes:**
The NIH Contractor Performance System was originally developed for NIH use only.  It was deployed in December 1996.  Once it was deployed and presented to a DHHS-wide symposium, other agencies and Departments in attendance expressed a desire to participate.  The CPS was opened to other agencies/Departments early in FY 1997 with EPA the first to join.  Since then the system has evolved from allowing the entry of evaluations and retrieving those evaluations to a system that completely automates the evaluation process from beginning to end.  When some statistical reports were run in FY 2000 there was a 182% increase in the number of completed evaluations available for source selection.  There has been a 125% increase in the number of new contractors and over 500 search are made per month.  

## TYPES OF PRODUCTS AND SERVICES

**TYPES OF PRODUCTS AND SERVICES**
**CONTRACTORS EVALUATED IN**
**CPS**

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**Notes:**
As you can see, the CPS evaluations cover multiple products/services, ranging from ship building to animal production to courier services.  

## TYPES OF PRODUCTS AND SERVICES

**CONTRACTORS EVALUATED IN**
**CPS**

**140 DIFFERENT PRODUCTS/SERVICES**
**EXAMPLES**

**Drilling Oil and Gas Wells**
**Bridge, Tunnel, Elevated Highways**
**Heavy Construction**
**Animal Specialty Services**
**Commercial Non-Physical Research**
**Commercial Physical Research**
**Architectural Services**
**Forestry Products**
**Facilities Support**
**Accounting, Auditing, and Bookkeeping**
**Legal Services**
**Colleges and Universities**
**Libraries**
**Aircraft**
**Boat Building and Repairing**

**Communications Services**
**Refuse Systems**
**Eating Places**
**Farm and Garden Machinery**
**Special Purpose, Protective Clothing**
**Riveting and Grommet Machines**
**Fertilizers**
**Courier Services**
**Business Consulting**
**Search and Navigation Equipment**
**Local Trucking**
**Analytical Instruments**
**Computer Related Services**
**Computer Facilities Management**
**Specialty Outpatient Clinics**

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**Notes:**
Here is a partial listing of the NAICS/SIC industries represented in the CPS.

## SYSTEM FEATURES

**SECURITY**

**EASY ACCESS**

**USER FRIENDLY**

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**Notes:**
A working group consisting of NIH contracting officers, procurement technicians, and program personnel was organized to design the CPS.  This group identified these three areas as the keystones for the CPS.  The FAR and the OFPP Best Practices guidelines on past performance were used as the controlling documents for the design.  There are four levels of security built into the CPS – starting with Secure Socket Layer (SSL) encryption.  The second level is the IBM MVS RACF password protection.  Further security is built in at both the application and database levels.  The database itself currently resides on an IBM Mainframe at the NIH Center for Information Technology – which is one one of the five Federally certified computer centers. An audit trail exists to identify hackers attempts to break in. The system is being reconstructed and will be moved to a server technology sometime in the Winter of 2002 (January/February).  This move will provide greater flexibility and newer technology as well as maintain the security of the mainframe system.

## CONFIDENTIALITY

**FAR PART 3****: **
**	**** ****SOURCE SELECTION/CONFIDENTIAL**
**FAR PART 42****:  **
** ****	****ACCESS TO FEDERAL ACQUISITION ****	****	****	****PERSONNEL ONLY**
**PRIVACY ACT**

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**Notes:**
Security is required because of the confidentiality requirements of the FAR.  Also, because the CPS collects evaluations on key persons named on the contract, the Privacy Act comes into play.   

## NOT RELEASABLE UNDER FOIA

**FOIA**

**EXEMPTION 5 **

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**Notes:**
As the CPS was being developed, NIH went to the Department of Justice for a ruling on Freedom of Information requests.  The opinion came back, that the data is not releasable under FOIA.  It falls under exemption 5, “harmful to the government’s interest.’

## ACCESS

**INTERNET**

**NETSCAPE NAVIGATOR**
**INTERNET EXPLORER**
**PC OR MAC**

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**Notes:**
The CPS is accessed via the Internet.  All the user needs is an Internet browser, such as Netscape Navigator/Communicator or Internet Explorer.  It works as well on a pc or a Macintosh.

Computer based training (CBT) is available on the Internet for COTR/PO and contractor training.  CBT for contracting officials will be available with a future version.  Updates to the CPS are automatic and seamless to the user.

## REQUIREMENTS

**JANUARY 1, 1999**
**ALL CONTRACTS GREATER THAN**
***$100,000***

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**Notes:**
Evaluations collected in the CPS meet the FAR requirements for contracts greater than $100,000.  However, there is no restriction limiting a user to enter only those contracts that meet the FAR requirement.  The CPS contains evaluations down to the $200.00 level.  Also, in the works is an analysis of whether, we need to add a simplified acquisition module to capture best value for contracts/purchase orders under $25,000.

## HOW MANY EVALUATIONS?

***INTERIM****** ******:  ***
***STANDARD:  REQUIRED -ACTIVE LIFE***
*** ******	******	******	******OF CONTRACT***
***CONSTRUCTION/A&E:  OPTIONAL AT***
***	******	******	******AGENCY DISCRETION***
***FINAL******:  ***
***REQUIRED FOR ALL AT EXPIRATION***

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**Notes:**
The FAR requires that, if a contract is longer than one year, at least two evaluations be done.  One, an interim, during the life of the contract.  The second, a final, upon contract expiration.  
Currently, the majority of our subscribing Departments/Agencies are entering interim evaluations annually on the anniversary date of the contract.  Each evaluation stands on its own and is available throughout the life of the contract.  

Final evaluations are entered shortly after the contract expires.  The CPS will maintain all evaluations on a contract until 3 years after the expiration date shown on the final evaluation.  These evaluations will then be flagged as archived and are unavailable for source selection use. 

## WORKFLOW

**	****ROLES**
**	**
**	****RULES**
**	****ROUTING**

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**Notes:**
In developing the Contractor Performance System, we followed the standard workflow process of considering the roles of the persons involved in the evaluation process from the technical person through the contractor.  The business rules were established and FAR requirements were considered.  Finally, the entire process (routing of the evaluation) was considered.  The FAR requires the Contracting Officer and Project Officer/COTR to participate as a team in evaluating the contractor.

## RESPONSIBILITIES - CO

***“******The ******contracting officer****** is ***
***responsible for contractual actions ***
***related to the source selection ***
***process, including ... conducting***
***or  controlling all negotiations ***
***concerning cost or price, technical***
***requirements, ******past performance****** ...******“***
***FAR 15.604 ( c) (3)***

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**Notes:**
This is the FAR site for the contracting official’s responsibilities.  

## RESPONSIBILITIES - COTR/PO

***“******The ******cognizant technical official****** is***
***responsible for the technical and***
*** ******past performance****** requirements ***
***related to the source selection ***
***process.”***
***FAR 15.604****** ******(b)***

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**Notes:**
This is the FAR cite for the COTR/PO responsibilities during the evaluation process.

## NIH CONTRACTOR PERFORMANCE  SYSTEM

- 07/03/2002

**Notes:**
Here is a diagram of the workflow process.  The contracting official (CO) assigns an evaluation to the COTR/PO electronically.  The COTR/PO then writes the narrative and scores the contractor’s performance on quality of product or service, cost control, timeliness, and business practices.  The COTR/PO then returns the evaluation to the CO electronically.  The CO reviews the evaluation, may make changes to the COTR/PO narrative with the COTR/PO concurrence.  When the CO submits the evaluation to the CPS, an e-mail is generated by the CPS to the contractor representative who will review the evaluation and an alternate contractor representative.  The primary contractor representative reviews and comments on the evaluation. The alternate’s role is to notify the CO if, for some reason, the primary representative is unable to review and comment within the 30 days allotted by the CPS. If the primary representative cannot meet the 30 day requirement, the CO can adjust the deadline forward or reassign it to some other person in the contractor’s organization.  The system takes over and will automatically finalize an evaluation if there is no response from the contractor within that 30 day or extended time period.  

Once the evaluation is finalized, it is available for all users.  Until the evaluation is finalized, the CPS flags it as “In Progress.” 

## WHAT IS EVALUATED?

**contractor’s record of conforming to specs**
**and standards of good workmanship**
**  ****contractor’s record of containing and **
**forecasting costs**
**  ****contractor’s adherence to contract schedules**

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## WHAT IS EVALUATED?

**contractor’s history of reasonable and**
**cooperative behavior and commitment to**
**customer satisfaction**
** ****the contractor’s business-like concern **
**    ****for the interest of the customer**

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**Notes:**
This slide and the next explain what is evaluated in the CPS.

## DATA COLLECTED

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**Notes:**
Data collected in the CPS are rated numerically from 0-5.  Zero being Unsatisfactory.  Five being Outstanding.  Supporting narratives are required for the numerical ratings on four categories:

Quality of Product or Service, Cost Control, Timeliness of Performance and Business Relations.

## SEARCH FOR EVALUATIONS 

**1****. CONTRACTOR**
**	****Name**
**   ****TIN/DUNS/SIC/Commodity**
**   ****Finalized/In Progress**
**   ****Interim/Final**
**2****.  KEY PERSONNEL**
**3****.  AGENCY**
**4****.  USER**

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**Notes:**
A user can search for an evaluation by the contractor’s name, NAICS/SIC or commodity, TIN or DUNs number.  A user is able to select all evaluations for a contractor or narrow the search to just finalized evaluations or just FINAL evaluations where the contract has expired.

Further, a user can search the CPS by Key Person’s name, Agency, and by user.

In the new reconstruction of the CPS, phase 2 will include a sophisticated ad hoc search engine for all users.  This will enable the users to create their own queries based on their own requirements.

## COMING SOON! 

**COMING SOON! **

**AD HOC SEARCHES**

**CORPORATE ACCESS**

- 07/03/2002

**Notes:**
Coming soon – the reconstruction of the CPS – move to server based technology.

A&E and two-step design module.  This module will emulate the ACAS and the evaluation form has been developed by the current CPS users group.  The A&E form is a hybrid of the SF 1421 and the ACAS form.  We  will request a deviation from the FAR requirement for civilian agencies regarding the use of the SF 1421.  We expect it will be approved.  The CAAC approved a similar deviation for the CPS Construction form.  

As mentioned earlier, ad hoc searching will be available in phase 2 of the reconstruction.

Corporations have asked for access to download each of their evaluations from the CPS to internal systems.  This capability will also be available in phase 2.

Further, we are investigating the need for a simplified acquisition module and will be forming a team shortly to address this.

And as always, we are enhancing the CPS to ensure that the newest technology is available to our users.

## CURRENT EVALUATIONS JANUARY 2001

**CURRENT EVALUATIONS ****JANUARY 2001**

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**Notes:**
This is a chart representing the current evaluations in the CPS.  Approximately 2% of all evaluations are unsatisfactory, with most of the evaluations rated excellent.

## CURRENT EVALUATIONS January 2002

**CURRENT EVALUATIONS ****January 2002**

- 07/03/2002

**Notes:**
This is a chart representing the current evaluations in the CPS.  Approximately 2% of all evaluations are unsatisfactory, with most of the evaluations rated excellent.

## CPS INFO PAGE 

**SPECIALIZED REPORTING:**
**STATUS OF EVALUATIONS BY USER**
**NUMBER OF SEARCHES**
**AUTHORIZED USERS**
**PROFILES**
**AVERAGE RATINGS**
**LINKS TO OTHER WEB SITES:**
**	****GSA EXCLUDED PARTIES LIST**

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**Notes:**
The CPS INFO page is a resource for all users to find the minutes of our users group, subscribing agencies and their contact points, links to other web sites with useful information.  

Most importantly, the CPS INFO page provides specialized reporting tools for management.  These tools enable managers to manage performance evaluation workloads, create statistical analyses of the agency data, etc.  

## MULTI-AGENCY USERS GROUP  

**Plan for future**
**	****enhancements**
**  ****Develop user and**
**	****management tools**
**  ****Represent agency concerns**
**  ****Decide on links to other web sites**
**  ****Line of communication**

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**Notes:**
The governing body of the CPS is the multi-agency users group.  All enhancements, etc. are passed through this group before implementation.  It also is a forum for agencies to express their concerns and offer suggestions.  The users group consists of at least one representative from each subscribing agency.  It meets approximately once a month.  To show you how well this group works together, over 90% of all members are in attendance at most meetings.  Minutes for the meetings are published on the CPS INFO page as well as e-mailed to the entire users group and may be disseminated to other interested parties.

## RECIPIENT OF:

**RECIPIENT OF:**
**E-GOV TRAILBLAZER AWARD**
**HAMMER  AWARD**

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**Notes:**
We are the proud recipients of both the E-Gov Trailblazer award and Vice President Gore’s Hammer Award.

## http://cps.od.nih.gov

- Visit Our Website:

- 07/03/2002