7. past performance_seminar


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7. past performance_seminar

  1. 1. Past PerformanceSeminar<br /> 27 April 2010 <br />Jo Green <br />1<br />
  2. 2. Agenda<br />Purpose of the Federal Acquisition System<br />Pre-Award<br /> Accomplishment of Market Research <br /> Past Performance <br /> Performance Standards <br /> Applicability for Commercial Acquisitions<br /> General Past Performance Information<br /> Evaluations<br /> Commercial<br /> Non-Commercial<br />Post-Award<br /> Past Performance Reporting Systems <br /> Regulations<br /> Roles and Responsibilities<br /> Past Performance Information Retrieval System (PPIRS) <br />  <br />2<br />
  3. 3. Federal Acquisition System<br />The vision for the Federal Acquisition System is to deliver the best <br />value product or service in a timely basis, while maintaining the public’s<br />trust and fulfilling public policy objectives. <br />The focus of the Federal Acquisition System --<br />(1) Satisfy the customer in terms of cost, quality, and<br /> timeliness of the delivered product or service by --<br /> (i) Maximizing the use of commercial products and services<br /> (ii) Using contractors who have a track record of successful past performance  or who demonstrate a current superior ability to perform<br /> (iii) Promoting competition<br />(2) Minimize administrative operating costs<br />(3) Conduct business with integrity, fairness, and openness<br />3<br />
  4. 4. PRE-AWARD<br />4<br />
  5. 5. The Government will communicate with <br /> the industry as early as<br /> possible in the acquisition cycle to help<br /> the Government determine the <br /> capabilities available in the <br /> marketplace. <br /> This is accomplished through <br /> market research. <br />Market Research<br />5<br />
  6. 6. Market research is conducted to arrive at the most suitable approach to acquire and support supplies and services<br />As part of acquisition planning agencies conduct market research for all acquisitions in order to –<br /> (1) Provide for acquisition of items and services suitable to meet the <br /> agency’s needs <br /> (2) Promote competition <br /> (3) Determine small business capabilities <br /> to meet the specified requirements<br /> (4) Determine subcontracting possibilities<br />Market Research (cont)<br />6<br />
  7. 7. Ultimately, conducting market research improves opportunities for small, small disadvantaged, women-owned, veteran-owned, HUBZone, and service-disabled veteran-owned small business concerns to obtain a fair proportion of Government contracts<br />Market research is accomplished to help identify <br />the capabilities of small business to provide required<br />services and products<br /> -- Sources Sought postings<br /> -- Request for Information (RFI) postings <br /> -- Central Contractor Registration (CCR) search<br /> -- Direct contact <br />Market Research (cont)<br />7<br />
  8. 8. Past Performance<br />Past contract performance of an offeror is one of the relevant factors that a contracting official of an executive agency should consider in awarding a contract.<br />It is appropriate for a contracting official to consider past contract performance of an offeror as an indicator of the likelihood that the offeror will successfully perform a contract to be awarded by that official.<br />8<br />
  9. 9. Federal Acquisition Regulation (FAR)<br />12.206 states past performance <br />should be an important element of <br />every evaluation and contract award <br />for commercial items and data<br />regarding past performance should be<br />looked at from a wide variety of sources <br />both inside and outside the Federal <br />Government. <br />Past Performance Applicability forCommercial Acquisitions<br />9<br />
  10. 10. Past Performance - General<br />Where an evaluation is based only <br />on price and past performance <br />(Performance Price Trade-Off (PPT)),<br />award will be made based on <br /> whether the lowest priced of the <br /> offers, having the highest past <br /> performance rating, represents<br /> the best value when compared to <br /> any lower priced offer.<br />10<br />
  11. 11. -- The content and format of performance evaluations are <br /> established in accordance with agency procedures<br /> and should be tailored to the size, content, and <br /> complexity of the contractual requirements<br /> -- These procedures shall require an assessment of <br /> contractor performance against, and efforts to achieve, <br /> the goals identified in the small business subcontracting <br /> plan when the contract includes Clause 52.219-9,<br /> Small Business Subcontracting Plan.<br />Past Performance – General (cont)<br />11<br />
  12. 12. A past performance evaluation is required for contract awards in accordance with Director of Defense Procurement Class Deviation 99-O0002 dated January 29, 1999. <br />Requirement thresholds are: <br /> -- $5 million for systems and operations support<br /> -- $1 million for services, information technology<br /> -- $100,000 for fuels or health care. <br />Past Performance Evaluations<br />12<br />
  13. 13. Past performance evaluations result in <br />an assessment of the government’s <br />confidence in the offeror’s ability to fulfill <br />the solicitation requirements while meeting<br />schedule, budget, and performance quality<br />constraints<br />Past performance evaluation considers each offeror's demonstrated record of performance in supplying products <br />and services that meet users' needs. <br />Past Performance Evaluations (cont)<br />13<br />
  14. 14. Past performance information is obtained from :<br /> -- The Past Performance Information Retrieval System (PPIRS)<br /> -- Questionnaires tailored to the circumstances of the acquisition<br /> -- Defense Contract Management Agency<br /> -- Interviews with program managers and contracting officers<br /> -- Information from previous source selections or contractor capability<br /> assessments, if the information is recent and relevant<br /> -- Other sources known to the government<br />The recency and relevancy of the past performance information is important in determining what contracts/programs/effort are evaluated<br />Recency and relevancy definitions are individually tailored for each acquisition<br />Past Performance Evaluations (cont)<br />14<br />
  15. 15. The evaluation should take into account past performance information regarding predecessor companies, key personnel who have relevant experience, or subcontractors that will perform major or critical aspects of the requirement when such information is relevant to the acquisition. <br />Offerors without a record of relevant past performance or for whom information on past performance is not available or the offeror’s performance record is so limited that no confidence assessment rating can be reasonable assigned will not be evaluated favorably or unfavorably.<br />Past Performance Evaluations (cont)<br />15<br />
  16. 16. If adverse past performance information, to which the contractor has had no opportunity to respond, is the reason an offeror may not receive an award without discussions or be excluded from the competitive range<br /> -- The offeror must be provided an opportunity to address the information<br /> -- This exchange occurs through the issuance of a “Clarification” or “Communications” evaluation notice (EN)<br /> <br />Past Performance Evaluations (cont)<br />16<br />
  17. 17. “Performance confidence assessment” is an evaluation of the likelihood (or government’s confidence) that the offeror will successfully complete the solicitation’s requirements; based upon past performance.<br />The performance confidence assessment is established through an integrated analysis of those positive performance indicators and negative performance indicators identified at the Mission Capability subfactor and Cost/Price factor level as determined by the offeror’s recent, current and relevant contract performance. <br /> A performance confidence rating is normally assessed at an overall factor level after evaluating aspects of the offeror's recent past performance, focusing on performance that is relevant to mission capability sub-factors and cost or price.<br />Past Performance Evaluations (cont)<br />17<br />
  18. 18. Past Performance Confidence Ratings<br />.<br />
  19. 19. Past Performance Relevancy Definitions<br />VERY RELEVANT: Past/present performance programs involved essentially the same magnitude of effort and complexities this solicitation requires<br />RELEVANT: Past/present performance programs involved much of the magnitude of effort and complexities this solicitation requires <br />SOMEWHAT-RELEVANT: Past/present performance programs involved some of the magnitude of effort and complexities this solicitation requires<br />NOT RELEVANT: Past/present performance programs did not involve any magnitude of effort and complexities this solicitation requires<br />
  20. 20. Past Performance Quality Definitions<br />BLUE/EXCEPTIONAL - The contractor’s performance meets contractual requirements and exceeds many (requirements) to the Government’s benefit. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective<br />PURPLE/VERY GOOD- The contractor’s performance meets contractual requirements and exceeds some (requirements) to the Government’s benefit. The contractual performance was accomplished with some minor problems for which corrective actions taken by the contractor were effective<br />GREEN/SATISFACTORY – The contractor’s performance meets contractual requirements. The contractual performance contained some minor problems for which corrective actions taken by the contractor appear or were satisfactory<br />YELLOW/MARGINAL – Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective actions or the contractor’s proposed actions appear only marginally effective or were not fully implemented<br />RED/UNSATISFACTORY – Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective<br />NOT APPLICABLE - Unable to provide a score.<br />
  21. 21. 52.212-1 -- Instructions to Offerors -- Commercial Items<br />--Past performance information, when included as an evaluation factor, to include recent and relevant contracts for the same or similar items and other references (including contract numbers, points of contact with telephone numbers and other relevant information) <br />Commercial Clauses<br />21<br />
  22. 22. Commercial Clauses (cont)<br />52.212-2 -- Evaluation -- Commercial Items<br />The Government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factors shall be used to evaluate offers:<br />___________________________________________[Contracting Officer shall insert the significant evaluation factors, such as<br /> (i) technical capability of the item offered to meet the Government <br /> requirement<br /> (ii) price<br /> (iii) past performance <br /> (iv) small disadvantaged business participation<br />The relative order of importance of the evaluation factors will be specified.<br />Technical and past performance, when combined, are __________ [Contracting Officer state, in accordance with FAR 15.304, the relative importance of all other evaluation factors, when combined, when compared to price.]<br />22<br />
  23. 23. Using the uniform contract format<br />Section L, Instructions to Offerors <br /> - Directs offerors to supply the information the source selection team will need, in the format they need, to conduct their evaluation and award contracts to successful offeror<br />Section M, Evaluation Factors for Award <br /> - This section forms the basis for evaluating offerors' proposals and is the only section of the solicitation that communicates to offerors the criteria the Government will use to make the best value award decision <br />Except when a officer documents the reason past performance is not an appropriate evaluation factor for an acquisition, past performance shall be evaluated in all source selections for negotiated competitive acquisitions expected to exceed the simplified acquisition threshold ($100k)<br />Non-Commercial Evaluations<br />23<br />
  24. 24. POST-AWARD<br />24<br />
  25. 25. IAW FAR 42.1502(a), agencies shall prepare an evaluation of contractor performance for each contract that exceeds the simplified acquisition threshold at the time the work under the contract is completed<br /> -- Interim evaluations should be prepared as specified by<br /> the agencies to provide current information for source <br /> selection purposes, for contracts with a period of <br /> performance, including options, exceeding one year<br /> -- This evaluation is generally for the entity, division, or unit<br /> that performed the contract. <br />Past Performance <br />25<br />
  26. 26. Past Performance <br />Federal Acquisition Regulation (FAR) 42.1501 <br />Past performance information is relevant information, for future source selection purposes, regarding a contractor’s actions under previously awarded contracts. It includes:<br /> -- Contractor’s record of conforming to contract requirements <br /> and to standards of good workmanship<br /> -- Contractor’s record of forecasting and controlling costs<br /> -- Contractor’s adherence to contract schedules, including the <br /> administrative aspects of performance<br /> -- Contractor’s history of reasonable and cooperative behavior <br /> and commitment to customer satisfaction<br /> -- Contractor’s record of integrity and business ethics<br /> -- Contractor’s business-like concern for the interest of the <br /> customer<br />26<br />
  27. 27. Office of Federal Procurement Policy and<br /> Federal Acquisition Regulations Require:<br />Why Evaluate Contractor Performance?<br />Collection and Maintenance of Past Performance Information (PPI) for Use in the Award Decisions for Competitive Acquisitions<br />DoD Directed Collection and Use of PPI in 1998<br />27<br />
  28. 28. Past Performance Information Retrieval System<br />CPARS<br />Contractor Performance Assessment Reporting System<br />ACASS/CCASS<br />Construction Contractor Appraisal Support System<br />Architect-Engineer Contract Administration Support Systems <br />28<br />PPIRS<br />
  29. 29. Federal Acquisition Regulation (FAR)<br />AcquisitionRegulation Supplements<br />CPARS Regulatory Requirements<br />FAR 42.1502: Agencies Shall Prepare an Evaluation of Contractor Performance<br />FAR 15.304: Past Performance Shall be Evaluated in All Source Selections for Negotiated Competitive Acquisitions <br />CPARS Shall be Used to Prepare Contractor Performance Evaluations<br />PPIRS Shall be Used as a Source of Past Performance Information in Source Selections <br />29<br />
  30. 30. Collection of Contractor Past Performance Information<br />Source Selections and OfferorPast Performance Information<br />ACASS/CCASS Regulatory Requirements <br />FAR 36.201: Contracting Activities Shall Evaluate Contractor Performance & Prepare Performance Reports for Construction Contracts<br />FAR 36.604: Contracting Activities Shall Evaluate Contractor Performance & Prepare Performance Reports for Architect-Engineer Contracts<br />FAR 15.304: Past Performance Shall be Evaluated in All Source Selections for Negotiated Competitive Acquisitions (Includes Construction)FAR 36.602: Selection of Firms for Architect-Engineer Contracts (Agency Must Consider Offeror Past Performance)<br />30<br />
  31. 31. Gov’t Assessing Officials(Team Input)<br />Gov’t Source Selection Officials<br />PPIRS<br />Contractor SeniorManagement<br />Contractor Representative<br />Past Performance Process Overview<br />ACASS<br />CCASS<br />CPARS<br />31<br />
  32. 32. Treated as Source Selection Sensitive Information IAW FAR 3.104<br />CPARS Assessments<br />Pre-Decisional in Nature<br />Protected Throughout Life CycleAccessible By:<br />Government Personnel with Need to Know<br />Contractor who is Subject of Evaluation<br />ACASS/CCASS Evaluations Retained for 6 Years in PPIRS After Completion by Reviewing Official <br />CPARS Retained for 3 Years in PPIRS After Contract Completion<br />32<br />
  33. 33. CPARS Reporting Thresholds<br />33<br />
  34. 34. ACASS/CCASS Reporting Thresholds<br />Architect-Engineer> $30,000* All Terminations<br />Construction > $550,000* Terminated for Default >$10,000<br />34<br />
  35. 35. Reporting Frequency<br /><ul><li>Initial ReportRequired if Period of Performance > 365 Days
  36. 36. Intermediate ReportsRequired Every 12 Months
  37. 37. Out of Cycle Report--Written if Significant Change in Performance
  38. 38. Final Report -- Required at Contract Completion</li></ul>35<br />
  39. 39. All CPARs Are Due Within 120 Days After the End of the Assessment Period<br />Reporting Frequency<br />36<br />
  40. 40. ContractRegistration<br />Enter ProposedRatings<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />Automated Workflow<br />EvaluationComplete<br />&<br />Sent to PPIRS<br />
  41. 41. ContractRegistration<br />Automated:Focal Point<br />Manual:Focal PointContract Data EntryAssessing OfficialAssessing Official Rep<br />Enter ProposedRatings<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  42. 42. Primary Method<br />of Registration<br />Automated Contract Registration<br />Requirements<br />Focal Point Only<br />Auto Register Within 30 Days of Contract Award<br />Auto Register ONCE per Contract<br />Must Complete APM Field<br />39<br />
  43. 43. Manual Contract Registration<br />Requirements<br />Register Within 30 Days of Contract Award<br />Register ONCE per Contract<br />Enter Basic Contract Information<br />Must Complete Mandatory Fields<br />Note: Local policy will determine assignment of the Contract Registration function.<br />40<br />
  44. 44. ContractRegistration<br />Assessing Official Rep(s) Assessing Official<br />Enter ProposedRatings<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  45. 45. Enter Proposed Ratings<br />Assessing Official Rep Examples<br />GovernmentOnly!<br />Technical Experts <br />Contract Specialists<br />Contracting Officer<br />Contracting Officer’s Representative<br />Task / Order Monitor<br />42<br />
  46. 46. Ratings and Narrativesare the most importantpart of the CPAR!<br />Ratings & Narratives<br />43<br />
  47. 47. Elements Assessed<br />Services / Information Technology / Operations Support <br /><ul><li>Quality of Product or Service
  48. 48. Schedule
  49. 49. Cost Control
  50. 50. Business Relations
  51. 51. Management of Key Personnel
  52. 52. Small Business Utilization</li></ul>44<br />
  53. 53. Ratings & Narratives<br />Rating Definitions<br />
  54. 54. ContractRegistration<br />Enter ProposedRatings<br />Assessing Official<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  55. 55. Validate Proposed Ratings<br />Requirements<br />Review Admin Info (Blocks 1 – 17)<br />Validate Ratings & Narratives (Blocks 18 & 20)<br />Modify Ratings & Narratives (if necessary)<br />Return to AOR for Corrections<br />16,000 Character Limit (approximately 3 pages)<br />Name and Title (Block 21)<br />Send to Contractor Rep<br />Perform Quality Review Prior to Sending<br />47<br />
  56. 56. ContractRegistration<br />Enter ProposedRatings<br />Contractor Rep<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  57. 57. Contractor Comments<br />Requirements<br />30 Days to Respond <br /><ul><li>System Generated Weekly Email Notifications</li></ul>7 Days to Request Meeting to Discuss CPAR<br />Review Admin Info (Blocks 1-17) , Ratings and Narratives <br />Provide Clear and Concise Responses (Block 22)<br /><ul><li>16,000 Character Limit (approximately 3 pages)</li></ul>Provide Concurrence / Non-Concurrence, Name & Title (Block 23)<br />Send to Assessing Official<br />49<br />
  58. 58. ContractRegistration<br />Enter ProposedRatings<br />Assessing Official<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  59. 59. Review Contractor Comments<br />Requirements<br />Review Contractor Comments<br />Close CPAR<br />Modify CPAR<br />Send to Reviewing Official (if applicable)<br />51<br />
  60. 60. WorkflowNote<br />Review Contractor Comments<br />If the Contractor fails to respond to the CPAR <br />within 30 days, the Assessing Official has the<br /> option to pull back the CPAR and continue the<br />process by sending it to the Reviewing Official.<br />52<br />
  61. 61. ContractRegistration<br />Enter ProposedRatings<br />Reviewing Official<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  62. 62. Reviewing Official Comments<br />Required<br /><ul><li>If the CPAR is Contentious
  63. 63. If the Contractor Does Not Respond
  64. 64. If Local Policy Mandates</li></ul>Note: Local policy guidance regarding assignment of the Reviewing Official function may vary.<br />54<br />
  65. 65. Reviewing Official Comments<br /> GovernmentOnly!<br />Requirements<br />Review CPAR<br />Blocks 1-23 (read only format)<br />Input Comments (Block 24)<br />Acknowledge Discrepancies Between Government Ratings / Narratives and Contractor Comments<br />16,000 Character Limit (approximately 3 pages)<br />Name and Title (Block 25)<br />Close CPAR<br />55<br />
  66. 66. ContractRegistration<br />Enter ProposedRatings<br />PPIRS<br />Validate ProposedRatings<br />ContractorComments<br />Review ContractorComments<br />Reviewing OfficialComments<br />CPARS Workflow<br />
  67. 67. Helpful Hints<br />During Performance Period<br /><ul><li>Communicate with Contractor
  68. 68. Provide Feedback
  69. 69. Document Performance Regularly
  70. 70. Status Reports
  71. 71. Earned Value Management Data
  72. 72. Monthly Certificates of Service
  73. 73. Award Fee Evaluations
  74. 74. Program Reviews
  75. 75. Earned Contract Incentives</li></ul>57<br />
  76. 76. CPARS Summary<br />Facilitates Communication / Cooperation Between Government and Industry<br />Provides Past & Current Performance Information<br />- Contains Ratings & Narrative by Government <br />- Contains Narrative by Industry <br />Motivates Improved Performance<br />Used in Source Selection to Support Best Value Decisions<br />- Information Retrieved from PPIRS<br />58<br />
  77. 77. PPIRS<br />www.ppirs.gov<br />59<br />
  78. 78. PPIRS<br />Federal Repository for Completed Assessments<br />Contractor Performance Assessment Reporting System (CPARS)<br />Architect – Engineer Contract Administration Support System (ACASS)<br />Construction Contractor Appraisal Support System (CCASS)<br />National Aeronautics and Space Administration (NASA) Past Performance Data Base (PPDB)<br />National Institute of Health (NIH) Contractor Performance System (CPS)<br />www.ppirs.gov<br />60<br />
  79. 79. PPIRS<br />Contractor Access<br />Controlled through Central Contractor Registration (CCR) Process<br />Visit www.ccr.gov for More Information<br />View Completed Evaluations at www.ppirs.gov<br />Select “PPIRS-RC Logon”<br />www.ppirs.gov<br />61<br />
  80. 80. Benefits of the program include:<br />Facilitating government-contractor communication<br />Motivating improved contractor performance<br />Preparing contractor report cards to be used in support of Government source selections<br />Topics to be covered during the seminar:<br /> CPARS policy Workflow process <br /> Automation New features <br /> Helpful hints for using the system<br />One Day Training Seminar <br />62<br />