SOL22R2559 Annex 1503050.pdf

J-1503050-01

DEFINITIONS AND ACRONYMS

DEFINITION/ACRONYM DESCRIPTION

Aeration Introduction of air into the soil by mechanical means to promote health and growth.

Appearance Where there is a sense impression or outward aspect of an area or thing that is consistent, uniform and neat in and around the surroundings.

ATFP Anti-Terrorism Force Protection

Artificial Turf An artificial surface that resembles grass.

BASH Bird Aircraft Strike Hazard

Berm A mound or bank of earth typically used as a barrier.

Brow Ditch A drainage ditch with sufficient slope to prevent erosion of adjacent grading.

Bruising of Lawn An injury to grass areas resulting in discolored blades of grass, usually caused by mowing with a dull blade.

Caliper The measurement of a tree trunk at its widest diameter, measured six inches up from the ground for trees under four inch caliper, and twelve inches from the ground for trees over four inch caliper. Multi-stem plants are measured at the widest point of all trunks, six inches up from the ground for trees under four inch caliper, and twelve inches from the ground for trees over four inch caliper.

Classification and Ordering of Plants

For the purposes of pruning, trimming, planting, or removal, specific plants shall be identified according to their type and application as specified in the American

Horticulture Society Encyclopedia of Garden Plants (latest edition), D.K. Publishing under ISBN-0-7894-1943-2. Example: A Red Tip Photinia bush which is 15' tall will be classified as a shrub.

Clipping Any vegetation that is left on paved surfaces, lawns, and plant beds after being cut by means of shears, mowers, etc.

De-thatch Removal of unwanted thatch from mowed areas to promote health and growth.

Debris Includes, but is not limited to, paper, cans, bottles, limbs and branches, pine straw and pinecones, leaves, rocks, and other similar items.

Depression A small area that has sunken below its surroundings.

Diameter at Breast Height

(DBH)

The diameter of a tree measured at 4½ feet above ground level.

Edging Creating a uniform edged cut to promote a neat appearance and prevent ground structures from vegetation encroachment.

Fertilization Application of natural and synthetic materials to the soil where it has become deficient in nutrients essential for proper plant growth.

Frond A large leaf or branch of a palm tree, usually with many divisions.

Grade To bring soil to previously established level or inclination using appropriate tools and equipment.

Grass Cutting Cutting or trimming, monoecious flowering plants with simple leaves, within a designated area. Also includes cutting and trimming broadleaf weeds and other vegetation found in the lawn area to the required height as specified per contract.

Ground Cover A plant which is chosen for the special task of providing a dense low attractive cover that prevents weeds and erosion. Varieties include, but are not limited to Vinca, Hosta, Ivy, Alyssum, Ajuga, and Liriope.

Hedge Shrubs or other plants planted closely together so as to form an unbroken line during trimming.

Improved Area Improved grounds apply to areas within the built-up section of an installation which contains lawns and landscape development parade grounds, drill fields, athletic facilities, cemeteries, golf courses (except roughs), and similar areas, and include the maintenance and care of ornamental and decorative growth, such as shrubs and flowers and other plantings that are appurtenant to and within lawn areas.

Irrigation Application of water to the soil to promote health and growth.

J-1503050-01

DEFINITIONS AND ACRONYMS

DEFINITION/ACRONYM DESCRIPTION

Irrigation System A permanent system used for apply water to lawns and plants. The irrigation system includes all pumps, controls, piping and, sprinkler heads. The irrigation system starts at the valve supplying to the system.

Maximum Growth Height That limit of dominant vegetative growth, excluding seed heads or pods.

Mowing Cutting of all grasses, weeds, and other vegetation that is 1 inch or less in diameter

(at ground level).

Parcel A designated area of land which may be indicated on installation maps or other attachments.

Prestige Area Prestige grounds apply to areas in the immediate vicinity of main gates, command headquarters buildings and similar areas, and includes the maintenance and care of ornamental and decorative growth, such as shrubs and flowers and other plantings that are appurtenant to and within lawn areas. Limited to 5% of improved acreage.

Pruning The selective removal of unwanted growth to restore a plant or tree to its natural symmetry and appearance. Pruning involves selection and judgment, and does not include the practice of cutting off all branches to an even length. This may include re-sculpting, changing the size, or any other form of work that directly affects the look and growth pattern of the plant.

Rejuvenation The severe pruning of overgrown bushes, shrubs and hedges to within a few inches of the ground or as directed by the KO to restore the plant to its natural shape.

Rut Depressions made in soil or grass by tires of vehicles or heavy equipment.

Semi-improved Area Semi-improved grounds apply to airfields, small arms ranges, ammunition storage, and similar areas.

Shrub A woody perennial plant generally smaller than a tree, usually having many permanent stems branching from or near the ground, and does not have a definite crown shape. Shrubs may be deciduous or evergreen, and in the area covered by this contract, may be very large in height and width.

Sightly Attractive, tasteful, or pleasing to the sight and consistent with its intended purpose.

Special Event Services that could not reasonably have been anticipated and were not contemplated at time of contract award.

Stump The bottom portion of a tree, which remains in the ground after the tree, has been cut for removal. Usually less than five feet in height.

Swale A low-lying or depressed area intended for drainage.

Thatch A layer of slowly decomposing organic residues situated above the soil surface and constituting the upper stratum of the medium that supports turf grass growth.

Usually associated with warm season grasses.

Tree A perennial woody plant having a permanent self-supporting single stem or multiple stems. Ordinarily grows higher than ten feet, and usually develops branches at some distance above the ground with a definite crown shape.

Trimming Removal of unwanted vegetation around trees, shrubs, flower and shrub beds, cultivated areas, poles, walls, valves, and other similar objects to match the height and appearance of the surrounding grass. Shrub and hedge trimming includes removal of unwanted vegetation to maintain a uniform, and well-shaped appearance, and to prevent interference with pedestrians, vehicle traffic and building encroachment.

Trunk The main stem of a tree, usually long, large and relatively straight.

Unimproved Area Unimproved grounds apply to agricultural areas, pastures, forests, swamps, marshes, deserts, and rocky or barren areas.

Xeriscape A trademark for a method of landscaping that emphasizes water conservation in its use of drought-resistant plants.

ATTACHMENT J-1503050-02

REFERENCES AND TECHNICAL DOCUMENTS

Reference Title

ANSI Z133.1 American National Standard of Tree Care Operations-Pruning, Trimming, Repairing, Maintaining, and Removing and Cutting Brush-

Safety Requirements.

ANSI A-300 American National Standard of Tree Care Operations-Tree, Shrub and

Other Woody Plant Maintenance-Standard practices, Secretariat-

National Arborist Association, Incorporated.

Irrigation Association - Water Management

Committee

Turf and Landscape Irrigation Best Management Practices April 2005

NAVFAC DM 5 Drainage for Areas Other Than Airfields

NAVFAC INST 11320.2(most current) Fire Prevention and Protection

NAVFAC P-73 Natural Resources Management Procedural Manual

NAVFAC MO-100.1 Natural Resources Land Management

NAVFAC MO-100.3 Natural Resources Fish and Wildlife Management

NAVFAC MO-100.4 Natural Resources Outdoor Recreation and Cultural Values

NAVFAC P-905 Planting and Maintenance of Trees, Shrubs, and Vines

NAVFAC P-960 Installation Design, Chapter 1 “Planting Design”

NAVSEA OP 5 Ammunition and Explosives Safety Ashore

OPNAV 5090.1 (most current) Safe Drinking Water Act Compliance Ashore

OPNAV INST 6240.3 (most current) Chapter 9, Pest Management

NFPA Fire Protection Handbook Fire Protection Handbook https://portal.navfac.navy.mil/portal/page/portal/3A0949534E9132E3E04400144F23AD64

ATTACHMENT J-1503050-03

PERFORMANCE ASSESSMENT PLAN

PERFORMANCE

ASSESSMENT

PLAN

N40085-17-R-3016

FORESTRY IDIQ

Marine Corps Base

Camp Lejeune, NC

PREPARED BY:

Facilities Support Contracts (FSC)

Version 2.1 Updated 21MAY14

Performance Assessment Plan 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 Non-recurring Task Orders

10.4 Assessment Procedures

10.4.1 AL1 Assessments

10.4.2 AL2/3 Assessments

10.4.3 Safety Assessment

10.4.4 Management and Administration Assessment

10.4.5 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

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 Assessment Checklist

Attachment H: Annex 2 – Management and Administration Evaluation Checklist

Attachment I: MPAS Coversheet

Attachment J: PAB Rating Summary

Performance Assessment Plan

1. Introduction

1.1 Purpose

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

Contract N40085-17-R-6016, ECON IDIQ.

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:

FSC Management and Facility Services (FMFS) Branch Head. The FMFS Branch Head provides direct supervision of SPARs, PARs, Spec Writers, etc assigned to the FMFS Branch. The

FMFS branch head is responsible for ensuring adequate funding and staffing to support the specification development, contract management, and performance assessment function of the branch as well as all personnel management responsibilities. The COR and PAR are assigned for this contract.

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

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 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 is 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 10.4.3 below.

5. Security

The PAR should become familiar with all security requirements specified in Spec Item 2.8.7 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 should 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.

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

10.4 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 10.4 below.

10.3 Non-recurring Task Orders

Non-recurring Task Orders (TO) require 100% assessment. This means that all TOs must be verified as satisfactorily complete prior to payment. For EMALL Task Orders, verification is performed by the customer through the validation of the credit card payment and acceptance in

EMALL. EMALL orders that involve high-risk evolutions will be indicated as “HIGH RISK” in the

EMALL short description. The customer must notify the COR by email or phone immediately upon ordering a high-risk Non-recurring TO. The COR will schedule appropriate safety oversight for these evolutions. For all other Non-recurring TOs, validation is the responsibility of PA personnel.

Scheduling of assessments must be planned based on the nature of the work (i.e. simple, short duration tasks performed at a single location vs. complex work performed over a longer period at multiple locations) and added to the assessment schedule after TO award.

10.4 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.

10.4.1 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).

Step 8:

Performance

Assessment

Rating is

Unsatisfactory

Step 5:

Defect(s) warrant evaluation of QMS?

Yes

No Yes

Yes

No

NoStep 4:

Rework if

Necessary

Step 6:

Evaluate

QMS

Step 10:

Recommend withholding if necessary

Step 3:

Document and Notify

Contractor

Step 2:

Defect(s)

Found?

Yes No

Step 13:

Performance

Assessment Rating is

Satisfactory or higher

Step 7:

Is QMS acceptable

Step 1:

Assess

Performance

@ AL1

Step 9:

Add a lower

Assessment Level for

Spec Item and/or

Location deficiencies

Step 16:

Continue “Normal”

Sampling

Step 17:

Consider “Reduced”

Sampling

Step 15:

Positive

Trend?

Step 12:

Document Assessment

Step 11:

Performance

Assessment Rating is

Marginal or

Unsatisfactory

Step 14:

Performance

Assessment Rating is

Satisfactory

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 and rate Contractor performance.

Step 2: Defect(s) Found – 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. Any observation of work that fails to meet any of the specified performance standards will be documented as a defect. Instances of non-conforming work discovered during unscheduled visits (UV) should also be documented as defects.

Where customer comments are received (VCC), all alleged defects must be evaluated within a reasonable time to validate that the performance standards were not met. Documentation will be completed using the Customer Comment Record, Attachment D. Documentation of UVs will be completed on a PAW. DECISION: If a defect is found, continue. If not, jump to Step 12.

Step 3: Document and Notify Contractor – Document any observed negative performance that fails to meet contract performance standards with supporting narrative on the Performance

Assessment Worksheet (PAW). If defects are found, 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 reperformance at no additional cost to the Government. Rework shall be completed within the timeframe specified in

Section E, Consequences of Contractor’s Failure to Perform Required Services clause of the contract.

Step 5: Defect(s) Warrant Evaluation of QMS? – Defects warrant evaluation of QMS if: 1) they are “Significant”, 2) a “Trend” has been established, or 3) the work is not considered “Substantially

Complete”. 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 are defects that may be considered minor but are recurring and have not been corrected through the Contractors QMS. Trends are typically defects found in the same or similar work requirements repeated consistently over several periods of the assessment frequency.

Substantially complete means that the performance standard is fully met except for minor or trivial non-conformances per FAR 46.407. A service will be judged to be fully conforming to the contract performance standards if the nonconformance is minor or trivial and 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. DECISION: If QMS evaluation is warranted, continue. If not, jump to Step 14.

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, 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: 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 8: Performance Assessment Rating is Unsatisfactory – If the Contractor’s QMS is unacceptable, then the PAR should document all findings, including a summary of the findings associated with the Contractor’s QMS, on the PAW. The PAR should rate the Contractor

Unsatisfactory in accordance with the evaluation ratings definitions included in the PAB Rating

Summary. The PAR should also document recommendations for withholding of payment on the

PAW for non-conforming services when defects cannot be corrected by reperformance.

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

Contractor’s performance is Unsatisfactory at AL1 and QMS is Unacceptable, 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. [End of this assessment]

Step 10: Recommend withholding if necessary – Even if the QMS is acceptable and the

Contractor has implemented or planned appropriate corrective actions, withholdings may still be warranted. The PAR should document recommendations for withholding of payment on the PAW for non-conforming services when defects cannot be corrected by reperformance.

Step 11: Performance Assessment Rating is Marginal or Unsatisfactory – 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 rate the Contractor Marginal or Unsatisfactory in accordance with the evaluation ratings definitions included in the PAB Rating Summary. The PAR should continue sampling the size identified as “Normal” in the FAP at AL1. [End of this assessment]

Step 12: Document Assessment – Document results of assessment particularly noting how it was validated that performance complied with contract requirements and detailing any instances of value-added services or work that exceeds contract performance standards, with supporting narrative on the PAW.

Step 13: Performance Assessment Rating is Satisfactory or Higher – If the Contractor has performed all work in accordance with the performance objectives and standards, then a performance rating of Satisfactory or higher should be assigned. The PAR should rate the

Contractor Satisfactory, Very Good, or Exceptional in accordance with the evaluation ratings definitions included in the PAB Rating Summary. Jump to Step 15.

Step 14: Performance Assessment Rating is Satisfactory – The PAR shall document all findings, including details of the failures to comply with performance objectives and standards on the PAW.

Per the evaluation ratings definitions included in the PAB Rating Summary, Satisfactory is defined as "contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory." Therefore, the PAR should rate the Contractor Satisfactory and continue sampling the size identified as “Normal” in the FAP at

AL1. [End of this assessment]

Step 15: Positive Trend Established? – If the Contractor has established a trend of Satisfactory, Very Good or Exceptional performance, repeated consistently over several periods of the assessment frequency, the PAR should consider sampling at the reduced level (Jump to Step 17). If a trend has not yet been established the PAR should continue normal sampling.

Step 16: Continue “Normal” Sampling – The PAR should continue sampling the size identified as

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

Step 17: Consider “Reduced” Sampling – The PAR should adjust sampling to the size identified as “Reduced” in the FAP at AL1. [End of this assessment]

10.4.2 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).

Yes

No Yes

Step 4:

Rework if

Necessary

Step 3:

Document and Notify

Contractor

Step 10:

Recommend withholding if necessary

NoStep2:

Defect(s)

Found?

Step 7:

Is QMS acceptable

Yes

No

Step 6:

Re-evaluate

QMS

Step 8:

Recommend appropriate administrative action

Step 1:

Assess

Performance

@ AL2 or AL3

Step 9:

Continue Current

Assessment Level or go to lower

Assessment Level if applicable

Step 11:

Performance

Assessment Rating is

Unacceptable

Step 13:

Performance

Assessment Rating is

Acceptable

Step 12:

Document

Assessment

Step 5:

Defect(s) warrant evaluation of QMS?

Yes No Step 16:

Continue Current

Assessment Level

Step 17:

Return to Higher

Assessment Level

Step 15:

Positive

Trend?

Step 14:

Performance

Assessment Rating is

Unacceptable

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 the rating on PAW 1 was Unsatisfactory and QMS 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: Defect(s) Found – If the Contractor has performed all work in accordance with the performance objectives and standards, 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. Instances of non-conforming work discovered during unscheduled visits (UV) should also be documented as defects. Where customer comments

(VCC) are received, all alleged defects must be evaluated within a reasonable time to validate that the performance standards were not met. Documentation will be completed using the Customer

Comment Record, Attachment D. Documentation of UV will be completed on a PAW. DECISION:

If defect is found, continue. If not, jump to Step 12.

Step 3: Document and Notify Contractor – Document instances of value-added performance that exceeds contract performance standards, and negative performance that fails to meet contract performance standards, with supporting narrative on the PAW. If defects are found 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 the timeframe specified in

Section E, Consequences of Contractor’s Failure to Perform Required Services clause of the contract.

Step 5: Defect(s) Warrant Evaluation of QMS? – Defects warrant evaluation of QMS if 1) they are “Significant”, 2) a “Trend” has been established, or 3) the work is not considered “Substantially

Complete”. 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 are defects that may be considered minor but are recurring and have not been corrected through the Contractors QMS. Substantially complete means that the performance standard is fully met except for minor or trivial non-conformances per FAR 46.407. A service will be judged to be fully conforming to the contract performance standards if the nonconformance is minor or trivial and there is no omission of essential work, and approximately 95% of the total work

(population) assessed meets the performance standard. DECISION: If QMS evaluation is warranted, continue. If not, jump to Step 14.

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: 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 8: 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 Contract Discrepancy Report (CDR), Attachment F, withholding of payment including liquidated damages, or interim CPARS rating. The PAR should also document recommendations for withholding of payment on the PAW for non-conforming services when defects cannot be corrected by reperformance.

Step 9: Continue Current Assessment Level or go to lower Assessment Level if applicable –

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.

Step 10: Recommend withholding if necessary – If the Contractor’s QMS is acceptable, then the

PAR may still consider recommending withholding of payment for non-conforming services when defects cannot be corrected by re-performance by documenting on the PAW.

Step 11: Document Performance Assessment Rating as Unacceptable – The PAR shall document all findings, including findings associated with the Contractor’s QMS, which justify rating the

Contractor’s performance as Unacceptable. The PAR shall continue sampling the size identified in the FAP at the current assessment level. [End of this assessment]

Step 12: Document Assessment – Document results of assessment with supporting narrative on the

PAW, particularly noting how it was validated that performance complied with contract requirements.

Step 13: Document Performance Assessment Rating as Acceptable at appropriate assessment level – The PAR shall document all findings which justify rating the Contractor’s performance as

Acceptable. Jump to Step 15.

Step 14: Document Performance Assessment Rating as Unacceptable – The PAR shall document all findings which justify rating the Contractor’s performance as Unacceptable. The PAR shall continue sampling the size identified in the FAP at the current assessment level. [End of this assessment]

Step 15: 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 return to a higher assessment level (Jump to Step 17). If a positive trend has not yet been established the PAR should continue at the current assessment level.

Step 16: Continue Current Assessment Level – The PAR should continue sampling at the size and frequency identified in the FAP at the appropriate assessment level. [End of this assessment]

Step 17: Return to Higher Assessment Level – 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]

10.4.3 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 record all safety assessments on the PAW including a supporting narrative regarding the safety issues observed in the comments block. The FSC Safety Assessment Checklist, Attachment G, should be used to identify the specific areas where safety issues were noted and attached to the 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.

10.4.4 Management and Administration Assessment –

Contractor compliance with contract requirements, including those specified in Annex

0200000 or Spec Item 2 of the functional annex, can generally be evaluated through the assessment of work performed. For example, the Contractor must provide properly trained and qualified personnel to perform work in order to meet the standards specified in the contract. However, there remain certain overall management and administration requirements that cannot be effectively assessed through PA scheduled per the FAPs

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 summarizes PA information and completes the comments block on the MPAS for each annex/sub-annex. The MPAS for each annex/sub-annex is included with the applicable FAP, Attachment A.

The SPAR reviews completed annex/sub-annex MPAS, provides recommended actions as applicable, assigns an overall technical rating for the function, and validates the MPAS by signing it.

11.2 Invoice Validation and Withholdings

Results of performance assessments and other PA information should also be used as part of the validation of the Contractor’s monthly invoice amount. The COR will make a determination for the value of the estimated damages to the Government for non-conforming or non-performed work and recommend to the KO the appropriate withholding including liquidated damages (LDs).

Documentation must be provided to support the reduced value of services and/or the estimated cost and related profit to correct deficiencies and complete unfinished work.

The COR is designated as a Departmental Accountable Official (DAO) due to the duties for invoice verification and the responsibility to ensure that payment recommendations are made only for services received that meet the performance standards of the contract. The COR must review the submitted invoices for accuracy and completion of required supporting documentation. The COR should reference MPASs with associated PAWs and other assessment documentation to verify completion of required services and determine if any withholdings or deductions are warranted.

For invoices submitted though Wide Area Work Flow (WAWF), the COR performs the inspector role as detailed in BMS S-17.4.14.2 Process Wide Area Work Flow (WAWF) Invoices. For non-

WAWF invoices, follow local process for documenting invoice reviews.

11.2 COR Activity File

In order to provide an auditable trail of documentation supporting the assessment of Contractor performance, the COR is required to maintain a file for each contract/order assigned. A list of items that must be included (at a minimum) in a COR file can be found in NAVFAC Instruction 4200.1, Contracting Officer’s Representative. The COR File will be maintained until the end of contract performance, when it is then turned over to the Contracting Officer for inclusion as part of the official contract file.

Hardcopy files are maintained by the COR in a folder(s) annotated with the contract number and period of performance for the included documentation. Supporting documentation (e.g.