Attach_(4)_19R2008_PAP_FAP_17Sep19.pdf

PERFORMANCE

ASSESSMENT PLAN

N40084-19-R-2008

GROUNDS MAINTENANCE SERVICES

CAMP SMEDLEY D. BUTLER

OKINAWA, JAPAN

PREPARED BY:

CAMP S.D. BUTLER FEAD

OKINAWA, JAPAN

17 September 2019

Concurrence: Date:

FSCM, Camp S.D. Butler FEAD, Okinawa, Japan

Reviewed by :___________ Date: ___________

Contracting Officer, Camp S.D. Butler FEAD, Okinawa, Japan

Version 3.1 Updated 03 OCT 2017

Table of Contents

1. Introduction

1.1 Purpose

1.2 Partnering

2. Roles and Responsibilities

3. Training

4. Safety

5. Security

6. Submittals

6.1 Quality Management Plan Submittal

6.2 Accident Prevention Plan Submittal

7. Meetings

8. Methods of Assessment (MOA)

9. Quality Management System (QMS)

10. Performance Assessment Process

10.1 Post-Award Planning

10.2 Scheduling Assessments

10.3 Assessment Procedures

10.3.1 AL1 Assessments

10.3.2 AL2/3 Assessments

10.3.3 Safety Assessment

10.3.4 Contract Discrepancy Reports

11. Assessment Summary and Evaluation

11.1 Monthly Performance Assessment Summary (MPAS)

11.2 Invoice Validation and Withholdings

11.3 COR Activity File

11.4 Performance Assessment Board (PAB)

12. Summary

RFP N40084-19-R-2008

List of Attachments

Attachment A: Functional Assessment Plan (FAP)

Attachment B: Performance Assessment Worksheet

Attachment C: QMS Pre-performance Review Checklist

Attachment D: Customer Comment Record

Attachment E: QMS In-process Review Checklist

Attachment F: Contract Discrepancy Report (CDR)

Attachment G: FSC Safety AssessmentChecklist

Attachment H: PAB Rating Summary

Performance Assessment Plan

1. Introduction

1.1 Purpose

The Performance Assessment Plan (PAP) establishes Performance Assessment (PA) provisions for

Contract N40084-19-R-2008, Grounds at Camp S.D. Butler, Okinawa, Japan.

The PAP describes the methodology for assessing the Contractor’s performance that will be used to provide Contractor feedback, update Contractor Performance Assessment Rating System (CPARS).

The PAP includes the Functional Assessment Plan (FAP), Attachment A, and standard Performance

Assessment Worksheets (PAW), Attachment B, to document and report Government observations of

Contractor performance. The Government’s role is to assess Contractor’s work against measurable performance standards, and per the principles of Performance Based Services Acquisition (PBSA), the Contractor’s role is to ensure its quality through successful implementation of its Quality

Management System (QMS). Per FAR Subpart 46.4, Government PA “shall be performed at such times and places as may be necessary to determine that the supplies or services conform to contract requirements” in order to ensure payments are made only for services that meet performance standards specified in the contract.

1.2 Partnering

Effective partnering and establishing a positive relationship between the Government and the

Contractor is essential in fulfilling a performance-based requirement. The Government’s relationship with the Contractor should be one that promotes a strong and positive business alliance to achieve mutually beneficial goals, such as timely delivery and acceptance of high-quality services through the use of efficient business practices. Business relationships should seek to create a cooperative environment to ensure effective communication between the parties. Teamwork, cooperation, and good-faith performance are important for meeting mission objectives and resolving conflicts and problems. Each party should clearly understand the goals, objectives, and needs of the other. It is essential that the Government and the Contractor work together as a team to communicate expectations, agree on common goals, develop a common understanding of measurable standards, and identify and address problems early in the contract to achieve desirable outcomes.

2. Roles and Responsibilities

The Government’s key roles and responsibilities for performance assessment are as follows:

Facilities Support Contract Manager (FSCM). The FSCM is the overall technical lead for the management of Facility Support Contract requirements from cradle to grave.

Contracting Officer (KO). The ACO and/or PCO assigned to the contract. The KO has final responsibility for Contractor PA per FAR Part 42—Contract Administration and Audit Services, non-conformance modifications, and unilateral determination of incentives.

Contracting Officer’s Representative (COR). The COR is responsible for monitoring the

Contractor’s technical compliance and progress based on the contract requirements specified in the

PWS and in accordance with the PAP. The COR performs a variety of contract administration duties that includes oversight of PA, documenting and rating Contractor performance, reviewing invoices, and acceptance of work.

Senior PAR (SPAR). The SPAR is responsible for coordinating efforts of multiple PARs assigned to this contract. The SPAR reviews PA schedules and PA documentation for sufficiency and consistency of oversight.

Performance Assessment Representative (PAR). The PAR is assigned as a Technical Point of

Contact (TPOC) / Subject Matter Expert (SME) to the COR to perform duties as the on-site representative who assesses Contractor performance. The PAR periodically observes Contractor performance, reviews delivered services, reviews quality management corrective actions, periodically assesses and documents Contractor performance on Performance Assessment

Worksheets (PAWs) and the Monthly Performance Assessment Summary (MPAS), and communicates findings as necessary with the Contractor, Senior PAR (SPAR), and Contracting

Officer Representative (COR).

Note: Throughout NAVFAC policy, processes, and training, the term Performance Assessment

Representative (PAR) refers to anyone responsible for conducting assessments of a NAVFAC administered Facility Support Contract. The term PAR will be used in reference to any individual assigned as a TPOC/SME to provide support to the COR, including as a collateral duty of other

PWD or customer personnel, regardless of billet. All personnel assigned these duties must follow the guidance and direction provided to PARs.

Performance Assessment Board (PAB). The PAB is comprised of key technical and administrative personnel appointed in writing by the KO. The PAB will convene on a regular basis to review

Contractor performance documentation for the prior evaluation period, and prepare and forward a summary report of findings and recommendations to the KO. The PAB makes recommendations for

CPARS and provides input for the determination of contract incentives, if applicable. Details of

PAB membership and the process for convening the PAB are provided in paragraph 11.4 below.

3. Training

To effectively implement the PA Program, individuals who monitor the Contractor’s performance should be experienced in the annex/sub-annex areas for which they are assigned and adequately trained. Mandatory training standards for all personnel performing PA of NAVFAC contracts are specified in BMS B-14.3, Performance Assessment. Additionally, safety training requirements are detailed in BMS B-14.18, FSC Safety and training for those assigned as CORs is promulgated by

NFAS 1.602 and detailed in NAVFAC Instruction 4200.1.

CORs assigned to provide oversight of this contract must meet the applicable training requirements and must be appointed in writing by the KO per BMS S-18.3.6. PARs providing support as

Attachment H

TPOC/SME for the COR must meet the applicable training requirements and must be assigned in writing by per BMS S-18.3.6 and B-14.3.

4. Safety

Proper oversight of Contractor safety is an integral part of effective performance assessment. The

PAR must ensure that the Contractor is in compliance with safety requirements specified in Spec

Item 2.9 from Annex 2 of the contract. The PAR should be present during any local Safety briefings.

If the PAR observes a violation of any safety requirements by the Contractor, the PAR should:

• Report the safety hazard resulting from unsafe acts or conditions, defective tools, materials, or equipment used by the Contractor to the COR.

• When imminent danger is apparent (where, if the hazard is not immediately corrected, there is a high probability that a serious accident will occur, life will be in danger or there will be extensive property damage), immediately inform the Contractor and request immediate action be taken to correct the hazard. If the Contractor does not voluntarily take corrective action, require the Contractor to stop work and immediately notify the

COR.

Further detail of safety assessment procedures is provided in paragraph 10.3.3 below.

5. Security

The PAR should become familiar with all security requirements specified in Spec Item 2.8 from

Annex 2 of the contract and report any observed violations to the KO.

6. Submittals

The PAR should review reports and other submittals identified in Section F to ensure they comply with applicable requirements and specifications.

6.1 Quality Management Plan Submittal

The Quality Management System Pre-Performance Review Checklist, Attachment C, should be used for the review of the Contractor’s QM Plan submittal and as a guideline for discussion of the

Contractor’s QMS during the post-award kickoff/pre-performance conference. The PAR, SPAR, Contractor Quality Manager and Project Manager, and any applicable subcontractor quality representatives should sign off on the QMS review checklist.

6.2 Accident Prevention Plan Submittal

Per BMS B-14.18, FSC Safety, the FMFS Pre-Performance Safety Checklist should be used for the review of the Contractor’s Accident Prevention Plan submittal (including Activity Hazard Analyses

(AHAs) and Occupational Risk and Compliance Plans and Programs) and as a guideline for discussion of the Contractor’s Safety Program during the post-award kickoff/pre-performance conference. The PAR should coordinate with the local command Safety Representative for assistance in review of Contractor’s APP. The PAR, SPAR, Contractor Site Safety and Health

Officer (SSHO) and Project Manager, and any applicable subcontractor safety representatives shall sign off on the Safety review checklist. The Contractor must submit and have an approved APP before any work may begin on site. Additionally, new or revised AHAs must be submitted and reviewed at the beginning of each work phase, when new hazards are identified, or when a new work crew is brought on site.

7. Meetings

The PAR should attend and be prepared for required meetings, including partnering sessions. The

PAR should be familiar with the Spec Items in Annex 2 titled “Required Conferences and Meetings” and “Partnering.” The FSC Partnering process is addressed in BMS B-14.16.

8. Methods of Assessment (MOA)

The PAR will periodically assess services for conformance to contract performance objectives and standards using the following MOAs:

• Periodic Sampling (PS) – requires a pre-determined plan for assessing a portion of the work, using sample size and frequency at the applicable assessment level. • Validated

Customer Comments (VCC) – consists of customers observing the performance of services they have received and using a pre-determined procedure to provide feedback and/or report observations to the PAR for validation.

• Unscheduled Visits (UV) – impromptu assessments of performance standards and objectives whenever practical.

• Customer’s Evaluation (CE) – consists of collected survey data of Contractor performance from the customer’s perspective through the use of a feedback form. The

MOAs used for assessment of each performance objective and standard are identified within the FAP included in Attachment A.

9. Quality Management System (QMS)

When the Government’s assessment of the Contractor’s performance reveals that the quality management efforts are not effective in ensuring performance objectives and standards are achieved, further action is required. The PAR will conduct a review of the Contractor’s QMS processes and quality inspection and surveillance records for the work item(s) where deficiencies are noted to validate the accuracy and effectiveness of the Contractor’s QMS.

For QMS to be considered acceptable, the Contractor must demonstrate to the Government through quality management and QC corrective and preventive actions that the risk of failure to meet performance standards has been satisfactorily mitigated.

Attachment H

Further detail of the QMS review process is provided within the assessment procedures in paragraph

10.3 below.

10. Performance Assessment Process

10.1 Post-Award Planning

Performance Assessment personnel should review and understand the final contract requirements, including any amendments made during the solicitation period, paying particular attention to performance objectives and standards and any changes in the scope of work. Performance

Assessment personnel should also review the Contractor’s technical proposal received in response to the solicitation and initial submittals, such as the QMS program (including Quality Management

Plan), Accident Prevention Plan (including Activity Hazard Analyses (AHAs) and Occupational

Risk and Compliance Plans and Programs), list of key personnel and employee listing.

Performance Assessment personnel should also meet with customer representatives to review details of the contract and discuss the process for reporting and handling of customer comments and review the contract requirements for partnering and the process described in BMS B-14.16, FSC Partnering, to be prepared for these meetings.

10.2 Scheduling Assessments

Performance Assessment personnel should develop a planned assessment schedule based upon factors such as selected MOAs, Contractor’s recurring performance schedule, population of work, and local priorities and conditions. Certain work requirements may necessitate increased assessment based on performance risk considerations, e.g., services that are mission critical or have life safety impacts. Increased assessment may be conducted by adding AL2 or AL3 assessments or by targeting specific samples during routine AL1 assessment. Risk is measured based on two things:

the likelihood (or probability) and event will occur and the consequence (or impact) if the event does occur.

The FAP, Attachment A, along with the starting point for assessments based on risk determination should be compared against the Contractor’s work schedules as applicable to develop the initial assessment schedule. This schedule may be adjusted when required based on Contractor performance as detailed within the assessment procedures in paragraph 10.3 below.

10.3 Assessment Procedures

Every assessment must be documented on a Performance Assessment Worksheet (PAW) using the form provided in Attachment B. The assessment procedures based on the scheduled level of assessment performed are detailed below.

10.3.1 AL1 Assessments

The flowchart in Figure 1 below and corresponding descriptions shown below detail the performance assessment process used by the PAR to observe, assess, and document Contractor’s performance for

2-digit Spec Items (AL1).

Figure 1. Performance Assessment Process for Assessment Level 1 (AL1)

Step 1: Assess Performance at AL1 – This is the typical starting point of assessment. Assess the

Contractor’s performance using the MOA, frequencies, and sample sizes indicated at AL1 of the FAP.

The starting point may include additional PA at lower assessment levels for mission critical, safety, or environmental related services as determined based on the risk assessment performed during post-award planning. A Performance Assessment Worksheet (PAW) must be used for each assessment indicating this is an AL1 assessment. A PAW is the form used to document and report Government observations of Contractor performance.

Step 2: Standards Met? – The PAR should evaluate the Contractor’s performance of work looking for both failures to comply with performance objectives and standards as well as instances of value added services or work that exceeds performance standards. The Contractor’s performance will be deemed to have met standards if the work is substantially complete, meaning that any nonconformance is minor or trivial, there is no omission of essential work, and approximately 95% of the total work

(population) assessed meets the performance standard. Substantial completion can be measured based on the total work requirement being assessed or based on any one element of work performance.

However, any observation of work that fails to meet any of the specified performance standards will

Attachment H be documented on the PAW as a defect. DECISION: If performance standards are not met, continue.

If performance meets standards, jump to Step 11. If performance exceeds standards, jump to Step 12.

Step 3: Document “Not Met” Assessment and Notify Contractor – Document results of assessment providing specific details of any observed negative performance that fails to meet contract performance standards, with supporting narrative on the PAW. If performance does not meet standards, the PAR will forward a copy of the PAW to the Contractor. The Contractor shall sign and return the PAW within the specified timeframe to acknowledge receipt of the document. The Contractor’s signature does not constitute agreement with the Government’s assessment, it merely acknowledges that the

Contractor has been notified of a Government observed defect. Should the Contractor disagree with the Government’s observations, discussions should be conducted to reach a common understanding of performance objectives and standards.

Step 4: Rework if Necessary – In the case of unsatisfactory or non-performed work, the Government may, at its option, allow the Contractor an opportunity to correct by re-performance at no additional cost to the Government. Rework shall be completed within three work days from notification. Any rework performed must be assessed and documented on the PAW.

Step 5: Defect(s) Warrant Evaluation of QMS? – Contractor performance warrants evaluation of

QMS if: 1) defects are “Significant” or 2) a “Trend” of non-performance has been established.

Significant defects include the Contractor’s failure to meet performance objectives and standards that result in damage to the Government, or incomplete major or critical work items. Significant defects are subjective and should be discussed in initial partnering sessions with the Contractor. Trends of non-performance include defects that may not be significant but are recurring and have not been corrected through the Contractor’s QMS. Trends are typically defects found in the same or similar work requirements repeated consistently over several periods of the assessment frequency.

DECISION: If QMS evaluation is warranted, continue. If not, jump to Step 10.

Step 6: Evaluate QMS – The PAR should evaluate the Contractor’s QMS to verify proper controls are in place to ensure the delivery of quality services. The PAR should follow the QMS In-Process

Review Checklist (Attachment E of the PAP) and document findings on this form. This review should begin with a focus on the Spec Items and/or location where defects have been found as opposed to a complete audit of the Contractor’s QMS (use Parts A & B of the checklist). The evaluation should identify corrective actions the Contractor is taking for specific discrepancies and identify any QMS changes the Contractor is implementing to preclude systemic problems, avoid repeat discrepancies, and regain Quality Control (QC). If the initial evaluation identifies deficiencies in the Contractor’s

QMS with insufficient planned corrective actions or QMS changes, or, if corrective actions and QMS changes planned during previous QMS reviews have been ineffective, then broaden the evaluation to a more comprehensive review of the Contractor’s QMS program (use Parts C through F of the checklist).

Step 7: Recommend withholding if necessary – For any defect that leads to an evaluation of the

Contractor’s QMS, withholdings may be warranted. The PAR should document recommendations for withholding of payment on the PAW for non-conforming services when these defects cannot be or have not been corrected by re-performance.

Step 8: Is QMS Acceptable? – The Contractor must demonstrate to the Government that they have taken corrective actions and identified QMS changes to preclude systemic problems, avoid repeat discrepancies, and regain QC. QMS is considered “Acceptable” if the Contractor’s actions will satisfactorily reduce the risk of continued failure to meet performance standards. DECISION: If QMS is unacceptable, continue. If QMS is acceptable, jump to Step 10.

Step 9: Add a lower Assessment Level for Spec Item and/or Location deficiencies – When the

Contractor’s QMS has not adequately identified root causes for non-performance and implemented corrective action necessary to regain QC, additional PA at Assessment Level 2 or 3 (AL2 or AL3) should be conducted for the Spec Item and/or location deficiencies as shown in Figure 3. The PAR should discuss with the SPAR/COR to determine if additional AL2/3 assessments are warranted. [End of this assessment]

Step 10: Continue AL1 “Normal” Sampling – The PAR shall document all findings, including a summary of the findings associated with the Contractor’s QMS evaluation, on the PAW. The PAR should continue sampling the size identified as “Normal” in the FAP at AL1. [End of this assessment]

Step 11: Document “MET” Assessment – Document results of assessment particularly noting what work requirements were assessed and details of the observations which indicate that performance complied with contract requirements providing any additional supporting narrative on the PAW. Jump to Step 13.

Step 12: Document “EXCEED” Assessment – Document results of assessment providing specific details of the work or performance that exceeded contract performance standards, with supporting narrative indicating the benefit to the Government on the PAW.

Step 13: Positive Trend Established? – If the Contractor has established a trend of performance that meets or exceeds standards, repeated consistently over several periods of the assessment frequency, the PAR should consider sampling at the reduced level (Jump to Step 15). If a trend has not yet been established the PAR should continue normal sampling.

Step 14: Continue “Normal” Sampling – The PAR should continue sampling the size identified as

“Normal” in the FAP at AL1. [End of this assessment]

Step 15: Consider “Reduced” Sampling – The PAR should adjust sampling to the size identified as “Reduced” in the FAP at AL1. [End of this assessment]

10.3.2 AL2/3 Assessments

The flowchart in Figure 2 below and corresponding descriptions shown below detail the performance assessment process used by the PAR to observe, assess, and document Contractor’s performance for

3-digit and 4-digit Spec Items (AL2/3).

Attachment H

Figure 2. Performance Assessment Process for Assessment Level 2 or 3 (AL2 or AL3)

Step 1: Assess Performance at AL2 or AL3 – Start additional assessment(s) at a lower level if QMS evaluation at AL1 was unacceptable. Certain work requirements may necessitate normal assessment at AL2 or AL3 based on performance risk considerations, e.g., services that are mission critical or have life safety impacts. Assess the Contractor’s performance using the MOA, frequencies, and sample sizes indicated at the appropriate assessment level, e.g., AL2 or AL3 of the FAP.

Step 2: Standards Met? – The PAR should evaluate the Contractor to determine if all work is performed in accordance with the performance objectives and standards. The Contractor’s performance will be deemed to have met standards if the work is substantially complete, meaning that any nonconformance is minor or trivial, there is no omission of essential work, and approximately

95% of the total work (population) assessed meets the performance standard. If the assessed work is substantially complete, then a performance rating of Acceptable should be assigned. The PAR will document any instances of value-added services or work that exceeds performance standards with supporting narrative on the Performance Assessment Worksheet (PAW). When the assessed work fails to comply with performance objectives and standards, the PAR will document the defect on the

PAW and notify the Contractor. DECISION: If performance standards are not met, continue. If performance meets standards, jump to Step 12. If performance exceeds standards, jump to Step 13.

Step 3: Document “Not Met” assessment and Notify Contractor – Document results of assessment providing specific details of any observed negative performance that fails to meet contract performance standards, with supporting narrative on the PAW. If performance does not meet standards, the PAR will forward a copy of the PAW to the Contractor. The Contractor shall sign and return the PAW within the specified timeframe to acknowledge receipt of the document. The Contractor’s signature does not constitute agreement with the Government’s assessment, it merely acknowledges that the

Contractor has been notified of a Government observed defect. Should the Contractor disagree with the Government’s observations, discussions should be conducted to reach a common understanding of performance objectives and standards.

Step 4: Rework if Necessary – In the case of unsatisfactory or non-performed work, the Government may, at its option, allow the Contractor an opportunity to correct by re-performance at no additional cost to the Government. Rework shall be completed within three work days from notification. Any rework performed must be assessed and documented on the PAW.

Step 5: Defect(s) Warrant Evaluation of QMS? – Contractor performance warrants evaluation of

QMS if 1) defects are “Significant”, or 2) a “Trend” of non-performance has been established.

Significant defects include the Contractor’s failure to meet performance objectives and standards that result in damage to the Government, or incomplete major or critical work items. Significant defects are subjective and should be discussed in initial partnering sessions with the Contractor. Trends of non-performance include defects that may not be significant but are recurring and have not been corrected through the Contractors QMS. DECISION: If QMS evaluation is warranted, continue. If not, jump to Step 11.

Step 6: Re-evaluate QMS – The PAR should reevaluate the Contractors QMS to verify proper controls are in place to ensure the delivery of quality services. This review should be limited to the

Spec Items and/or location where defects have been found as opposed to a complete audit of the

Contractor’s QMS. The evaluation should identify corrective actions the Contractor is taking for specific discrepancies, and identify any QMS changes the Contractor is implementing to preclude systemic problems, avoid repeat discrepancies, and regain Quality Control (QC).

Step 7: Recommend withholding if necessary – For any defect that leads to an evaluation of the

Contractor’s QMS, withholdings may be warranted. The PAR should document recommendations for withholding of payment on the PAW for non-conforming services when these defects cannot be or have not been corrected by re-performance.

Step 8: Is QMS Acceptable? – The Contractor must demonstrate to the Government that they have taken corrective actions and identified QMS changes to preclude systemic problems, avoid repeat discrepancies, and regain QC. QMS is considered “Acceptable” if the Contractor’s actions will satisfactorily reduce the risk of continued failure to meet performance standards. DECISION: If QMS is unacceptable, continue. If QMS is acceptable, jump to Step 11.

Step 9: Recommend appropriate administrative action – The PAR should make recommendations to the Contracting Officer via the SPAR/COR/FSCM for appropriate administrative actions.

Administrative actions may include additional performance review meetings, issuance of a CDR, withholding of payment including liquidated damages, or interim CPARS rating. The PAR should

Attachment H also document recommendations for withholding of payment on the PAW for non-conforming services when defects cannot be corrected by re-performance.

Step 10: Continue Current Assessment Level or go to lower Assessment Level if applicable – The

PAR shall document all findings, including a summary of the findings associated with the Contractor’s

QMS evaluation, on the PAW. The PAR shall continue sampling at the size and frequency identified in the FAP at the appropriate assessment level or can move to a lower level of assessment if applicable.

Additionally, if there is a negative trend in Contractor performance, the PAR should consider modification of the MOAs, sample sizes, and frequencies included in the FAP. The PAR should discuss with the SPAR/COR to determine if additional assessments or changes to the FAP are warranted. [End of this assessment]

Step 11: Continue Current Assessment Level – The PAR shall document all findings, including a summary of the findings associated with the Contractor’s QMS evaluation, on the PAW. The PAR shall continue sampling at the size and frequency identified in the FAP at the current assessment level.

[End of this assessment]

Step 12: Document “MET” Assessment – Document results of assessment particularly noting what work requirements were assessed and details of the observations which indicate that performance complied with contract requirements providing any additional supporting narrative on the PAW. Jump to Step 14.

Step 13: Document “EXCEED” Assessment – Document results of assessment providing specific details of work or performance that exceeds contract performance standards, with supporting narrative indicating the benefit to the Government on the PAW.

Step 14: Positive Trend Established? – If the Contractor has established a trend of acceptable performance over a period of time, e.g., three months, the PAR should discontinue lower level assessments (Jump to Step 16). If a positive trend has not yet been established the PAR should continue at the current assessment level.

Step 15: Continue AL2/AL3 Assessments – The PAR should continue sampling at the size and frequency identified in the FAP at the appropriate assessment level. [End of this assessment] Step 16:

Discontinue AL2/AL3 Assessments – The PAR should discontinue the additional lower level assessment and move to a higher assessment level or reduce to normal AL1 assessment. [End of this assessment]

10.3.3 Safety Assessment

As detailed in BMS B-14.18, FSC Safety, proper oversight of Contractor safety is an integral part of effective performance assessment. There are two preferred methods for assessing a Contractor’s safety performance: 1) Assessing safety while conducting regular periodic sampling; and 2)

Documenting “unscheduled visits” to specifically assess safety anytime the performance of work can be observed.

Note: Anytime a safety issue is observed, the PAR should take appropriate immediate action to stop work as necessary until the unsafe practices are properly corrected.

The PAR shall use the FSC Safety Assessment Checklist to record all safety assessments, identifying specific areas where safety issues were noted and including a supporting narrative regarding the safety issues observed in the comments block (attach checklist to the associated PAW). Similar to the assessment process detailed above, the PAR should consider the significance of safety issues and any trends observed in evaluating the need for further review of the Contractor’s safety program and the addition of more scheduled assessments.

If a detailed review of the Contractor’s safety program is deemed necessary, the PAR should evaluate the Contractor’s Accident Prevention Plan (APP)/Activity Hazard Analysis (AHA) to verify proper safety controls are in place to ensure their employees are performing work in accordance with

EM 385-1-1. This review shall ensure the APP/AHA is site specific and relevant to the service process. The safety program review should identify discrepancies between the Contractor’s

APP/AHA with the EM 385-1-1 and identify any corrective actions the Contractor is implementing to preclude systemic problems and avoid repeat safety issues. The PAR should coordinate with the local command Safety Representative for assistance in review of Contractor’s APP.

The PAR must also be familiar with other safety responsibilities detailed in BMS B-14.18, including assisting with Occupational Safety and Health Administration (OSHA) inspections and ensuring

Contractors follow the proper procedure for mishap notification.

10.3.4 Contract Discrepancy Reports

Contract Discrepancy Reports (CDRs) are a formal administrative action intended to document and track Contractor corrective actions for resolution of continued unsatisfactory performance. CDRs will be issued for repeated failures where the Contractor has an unacceptable QMS that has not been effectively corrected. That is, the following conditions have occurred:

1) Defects at AL1 led to a QMS evaluation,

2) The Contractor’s QMS was found to be unacceptable and additional assessments were scheduled for the AL2/3 level,

3) AL2/3 assessments revealed further defects and the QMS evaluation was again unacceptable.

Issuance of a CDR requires the Contractor to evaluate the noted discrepancy, determine root cause of the failure to perform, and develop a plan to ensure contract requirements are met. CDRs require

Contractor response and Government acceptance of the Contractor’s corrective action. CDRs must be tracked until officially closed out by the Government. The Contract Discrepancy Report format is included in Attachment F.

11. Assessment Summary and Evaluation

11.1 Monthly Performance Assessment Summary (MPAS)

The PAR and SPAR will collect, review, and evaluate the results of all performance assessments including PAW documentation, safety assessments, validated customer comments, customer evaluations, trend data, and Contractor QMS corrective and preventive actions. The PAR

Attachment H

FUNCTIONAL ASSESSMENT PLAN (FAP)

GROUNDS MAINTENANCE AND

LANDSCAPING

1503050

GROUNDS MAINTENANCE FAP

Assessment Levels (AL) Assessment Frequency (Freq)

A – Annually

Q – Quarterly

M – Once per month

BW – Once every 13-16 days

W – Once per week

R – As required

Method of Assessment (MOA)

PS – Periodic Sampling

VCC – Validated Customer Comments

UV – Unscheduled Visits

CE – Customer’s Evaluation

AL1

Start assessment at this Level

AL2

Add this Level if Contractor performance for AL1 is Unsatisfactory

AL3

Add this Level if Contractor performance at AL1 or AL2 is Unsatisfactory

Note: Return to appropriate Assessment Level when performance improves.

Note: The first method listed in the MOA column below is the primary assessment method.

Spec Item

Performance Objective Performance Standard MOA

Assessment Level Sample Size

Freq

AL1 AL2 AL3

UOM

(total)

Normal Reduced

3.0 Recurring Work / PRESTIGE

The Contractor shall maintain prestige grounds, improved grounds, semi improved grounds, and unimproved to ensure a slightly appearance.

Prestige, improved, semi improved and unimproved grounds are maintained per the specified Common Output Level Standards provided in J-1503050-

PS/VCC

N/A

Parcels

10%

5%

M

3.1 Improved Grounds

The Contractor shall maintain Improved Grounds to ensure a neat, sightly, and healthy appearance.

Appearance of Improved Grounds are consistent with the specified

COLS

CTA

NTA

3.1.1 Lawn Care

The Contractor shall maintain lawns to ensure a slightly appearance.

Lawns are healthy and present a uniform appearance and a rich natural color consistent with specified COLS.

PS

Performance Objective Performance Standard MOA

Assessment Level Sample Size

Freq

AL1 AL2 AL3

UOM

(total)

Normal Reduced

3.1.1.1 Mowing and Trimming

The Contractor shall maintain lawns to ensure a uniform grass height.

Lawns are healthy and present a uniform appearance and a rich natural color consistence with the specified COLS listed in J-1503050-03.

3.1.1.2 Edging

The Contractor shall maintain an edged cut to ensure a neat appearance.

Edging is uniform in appearance and vegetation does not encroach on ground structures.

Services are performed as specified by COLS listed in

3.1.1.3 Lawn Maintenance

The Contactor shall maintain lawns to ensure proper lawn health and promote growth.

Lawns are healthy and present a rich natural color.

Services are performed as specified by COLS listed in

3.1.2 Vegetation Control

The Contractor shall control undesired vegetation to ensure areas are free of undesired vegetation.

Areas are maintained clear of undesired vegetation per the Contractor’s schedule.

Services are performed as specified by COLS listed in J- 1503050-03.

3.1.3 Debris Removal

The Contractor shall remove debris to ensure a clean and neat appearance.

Debris is removed as necessary to present an overall neat appearance.

Areas are maintained clear of debris per the Contractor’s schedule.

Services are performed as specified by COLS listed in J- 1503050-03.

3.1.4 Shrub and Hedge Maintenance

The Contractor shall maintain shrubs and hedges to ensure a healthy, uniform, neat appearance and to ensure there is no interference with

Shrubs and hedges are healthy and present a neat and uniform appearance consistence with the specified COLS.

Shrubs and hedges do not encroach on structures, Performance Objective Performance Standard MOA

Assessment Level Sample Size

Freq

AL1 AL2 AL3

UOM

(total)

Normal Reduced pedestrians, vehicular traffic, and building encroachment.

pedestrian traffic, or vehicular traffic.

3.1.5 Plant Maintenance

The Contractor shall maintain plants to ensure a healthy appearance and to ensure there is no interference with pedestrians, vehicular traffic, and building encroachment.

Plants are healthy and present a neat appearance consistent with the specified COLS.

Plants do not encroach on structures, pedestrian traffic, or vehicular traffic.

3.1.6 Plant Bed Maintenance

The Contractor shall maintain plant beds to ensure a neat appearance and promote plant health

Plant beds present a neat appearance and promote the health of the plants consistent with the specified COLS.

3.1.7 Tree Maintenance

The Contractor shall provide tree maintenance to ensure tree health and to prevent interference with pedestrian and vehicular traffic, and structure encroachment.

Trees are healthy consistent with the specified COLS.

Trees do not encroach on structures, pedestrian traffic, or vehicular traffic.

All debris is removed and disposed of properly and within the specified time.

3.2 Semi Improved Grounds

The Contractor shall maintain semi-improved grounds to ensure grounds present a sightly appearance and do not interfere with operational requirements.

Semi-improved grounds present a sightly appearance and do not interfere with operational requirements.

CTA

NTA

3.2.1 Grounds Care

The Contractor shall maintain grounds to ensure no interference with operational requirements.

All vegetation is maintained in accordance with operational

Performance Objective Performance Standard MOA

Assessment Level Sample Size

Freq

AL1 AL2 AL3

UOM

(total)

Normal Reduced

3.2.2 Tree Control

The Contractor shall provide tree control to prevent encroachment on roads, buildings, ammunition storage firebreaks, and structures.

Trees do not encroach on roads, buildings, ammunition storage firebreaks, and structures.

NA

3.2.3 Vegetation Control

The Contractor shall maintain unimproved grounds to ensure grounds do not interfere with operational

Areas are maintained clear of undesired vegetation per the Contractor’s schedule.

3.3 Unimproved Area

The Contractor shall maintain perimeter fence to ensure no interference with operational requirements.

Unimproved grounds do not interfere with operational requirements.

3.3.1 Grounds Care

The Contractor shall maintain grounds to ensure no interference with operational requirements.

Fire lanes, areas adjacent to perimeter fences, and roadway clearances are maintained clear of vegetation as specified.

Fire lanes and roadways are clear of obstructions that interfere with vehicular passage.

Areas are maintained clear of undesired vegetation per the Contractor’s schedule.

Fire lanes, areas adjacent to perimeter fences, and roadway clearances are maintained clear of vegetation as specified.

Areas are maintained clear of undesired vegetation per the Contractor’s schedule.

3.3.2 Tree Control

The Contractor shall provide tree control to ensure trees do not

Trees do not encroach on firebreaks, roadways, utility lines, and fence lines.

Performance Objective Performance Standard MOA

Assessment Level Sample Size

Freq

AL1 AL2 AL3

UOM

(total)

Normal Reduced encroach on firebreaks, roadways, utility lines, and fence lines.

3.3.3 Clear, Grub, and Maintain Vegetation below 6” at breast height is removed to a Col 3 Min and maintained per adjacent COL standards.

PS/VCC N/A N/A N/A 10% 5% M

3.4 Storm Drainage Systems

The Contractor shall remove obstructions and control vegetation in storm drainage systems to ensure unrestricted flow of storm water runoff.

No evidence of obstructions in the visible area of the drainage systems.

4 Non Recurring Work Non-recurring work may be ordered utilizing FEDMALL in accordance with Section H or on a task order in accordance with the PROCEDURES FOR ISSUING ORDERS clause in Section G. The order will specify the exact locations and types of work to be accomplished. The period of performance will be specified in each order.

100%

100%

NA

As

Requir ed

MONTHLY PERFORMANCE ASSESSMENT SUMMARY

Contract #: N40084-19-R-2008 Installation/Site: MCIPAC / MCB BUTLER

Functional Annex: 1503050 Grounds Maintenance & Landscaping Month/Year:

Title

AL1 AL2/AL3 VCC Safety QMS review Item E M N E M N Pos Neg Issues # Samples A U

3.0 Prestige Grounds

3.1 Improved Grounds

3.1.1 Lawn Care

3.1.2 Vegetation Control

3.1.1.1 Mowing and Trimming

3.1.1.2 Edging

3.1.3 Debris Removal

3.1.4 Shrub & Hedge Maintenance

3.1.5 Plant Maintenance

3.1.7 Tree Maintenance

3.2 Semi Improved

3.2.1 Grounds Care

3.2.2 Tree Control

3.2.3 Vegetation Control

3.3.3 Clear, Grub, Mauntain

3.4 Storm Drainage

4 Non-Recurring Work TO Comments:

Recommended Actions:

Technical Ratings (mark using "X")

E VG S M U

Overall Technical Rating for Recurring Work Overall Technical Rating for Non-Recurring Work

COR Signature: Date: