Amendment_0004-_RFP_ATTACHMENT_7_-_PAP.pdf

PERFORMANCE

ASSESSMENT

PLAN

N62473-13-R-4804 Cultural Resources MASC

PREPARED BY:

NAVFAC Southwest San Diego, CA

Performance Assessment Plan Contents

1. Performance Assessment Plan

1.1 Introduction

1.2 Roles and Responsibilities

1.3 Training

1.4 Safety

1.5 Security

1.6 Submittals

1.6.1 Quality Managment Plan Submittal

1.6.2 Accident Prevention Plan Submittal

1.7 Meetings

1.8 Methods of Assessment (MOA)

1.9 Quality Management System (QMS)

1.10 Assessment Procedures

1.10.1 Post-Award Planning

1.10.2 Scheduling Assessments

1.10.3 Performance Assessment Process

1.10.4 Safety Assessment

1.11 Assessment Summary and Evaluation Procedures

1.11.1 Monthly Performance Assessment Summary (MPAS)

1.11.2 Invoice Validation and Withholdings

1.11.3 Performance Assessment Board (PAB)

1.12 Summary

Attachment A: Functional Assessment Plan (FAP) Attachment B: Performance Assessment Worksheet (PAW) Attachment C: QMS Pre-performance Checklist Attachment D: FSC Safety Assessment Checklist Attachment E: Customer Complaint Record Attachment F: QMS In-process Review Checklist Attachment G: Contract Discrepancy Report (CDR) Attachment H: MPAS Coversheet Attachment I: PAB Rating Summary

1. Performance Assessment Plan

1.1 Introduction

The Performance Assessment Plan (PAP) establishes Performance Assessment (PA) provisions for Contracts resulting from solicitation N62473-13-R-4804 for cultural resource services throughout the states of Arizona, California, Colorado, Nevada, New Mexico, and Utah.

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), and as well as for making a determination as to whether or not the Contractor will be awarded one or more of the five award option years (beyond the base year and four option years of this contract). .

The PAP includes the Functional Assessment Plan (FAP), Attachment A, and standard Performance Assessment Worksheets (PAW), Attachment B, to document and report Government observations and rate 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.

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. 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.

1.2 Roles and Responsibilities

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

Performance Assessment Representative (PAR). The PAR is the on-site representative who assesses Contractor performance. The PAR periodically observes Contractor performance, reviews delivered services, reviews quality management corrective actions, keeps current records of performance issues and results, 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), Contracting Officer (KO), and Contracting Officer Representative (COR), as applicable.

Senior PAR (SPAR). The SPAR reviews PA schedules and PA documentation for sufficiency and consistency of oversight. The SPAR reviews PAWs and MPASs (and creates a consolidated MPAS if required) for completeness and accuracy before their presentation to the Performance Assessment Board (PAB). The SPAR is normally designated as the PAB chairperson.

Contract Specialist (CS). The ACO and/or PCO assigned to the contract.

Contracting Officer (KO). 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 a variety of contract administration duties that may include oversight of PA, reviewing invoices, and acceptance of work.

The COR should be assigned as a PAB member due to their broad technical background and knowledge of overall Contractor performance.

Navy Technical Representative (NTR). The NTR is the technical representative to assist the appointed COR (or Alternate COR (ACOR) in the absence of the COR) in the administration of the Contract Task Order providing technical input and discussion in coordination with the COR (or ACOR, in the absence of the COR) as necessary with respect to the specification or statement of work under the Contract Task Order. The NTR also may be the on-site representative who assesses Contractor performance. The NTR periodically observes Contractor performance, reviews delivered services, reviews quality management corrective actions, keeps current records of performance issues and results, 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), Contracting Officer (KO), Contract Specialist and Contracting Officer Representative (COR), as applicable.

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.

1.3 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 BMS B-18.3.6.

PARs, NTRs and 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.

1.4 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 Spec Item 2.7 of the contract. The PAR/COR/NTR should be present during any local Safety briefings. If the PAR observes a violation of any safety requirements by the Contractor, the PAR/COR/NTR should:

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

• 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

Further detail of safety assessment procedures is provided in paragraph 1.10.4 below.

1.5 Security

The PAR should become familiar with all security requirements specified in Spec Item 2.6 of the contract and report any observed violations to the KO.

1.6 Submittals

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

1.6.1 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.

1.6.2 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.

1.7 Meetings

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

1.8 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 Complaints (VCC) – consists of customers observing defects in the services they have received and using a pre-determined procedure to report these defects 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.

1.9 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 in paragraph 1.10.3 below.

1.10 Assessment Procedures

1.10.1 Post-Award Planning

The PAR/NTR/COR/SPAR 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. The PAR/NTR/SPAR/COR 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.

The PAR/NTR/COR/SPAR should also meet with customer representatives to review details of the contract and discuss the process for reporting and handling of customer complaints and review the contract requirements for partnering and the process described in BMS B-14.16, FSC Partnering, to be prepared for these meetings.

1.10.2 Scheduling Assessments

The PAR/NTR/COR/SPAR 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 normal assessment at AL2 or

AL3 based on performance risk considerations, e.g., services that are mission critical or have life safety impacts. 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 in paragraph 1.10.3 below.

1.10.3 Performance Assessment Process

The flowcharts and corresponding descriptions shown below detail the performance assessment process used by the PAR/NTR/COR to observe, assess, document, and rate Contractor’s performance.

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

The following descriptions are provided for the flowchart shown in Figure 1:

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

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 Marginal 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/NTR/COR 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.

Validated customer complaints (VCC) or instances of non-conforming work discovered during unscheduled visits (UV) should also be documented as defects. Where customer complaints 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 Complaint 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 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. Trends are typically defects found in the same or similar work requirements repeated consistently over several periods of the assessment frequency.

Substantially complete

Step 6: Evaluate QMS – The PAR/NTR/COR should evaluate the Contractor’s QMS to verify proper controls are in place to ensure the delivery of quality services. The PAR/NTR/COR should follow the QMS In-Process Review Checklist, Attachment E, and document findings on this form.

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.

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/NTR/COR should document all findings, including a summary of the findings associated with the Contractor’s QMS, on the PAW. The PAR/NTR/COR should rate the Contractor Unsatisfactory in accordance with the adjectival ratings included in the PARC. The PAR/NTR/COR should also document recommendations for withholding of payment on the PAW for non-conforming services when defects cannot be corrected by re-performance.

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/NTR/COR should document recommendations for withholding of payment on the PAW for non-conforming services when defects cannot be corrected by re-performance.

Step 11: Performance Assessment Rating is Marginal or Unsatisfactory – The PAR/NTR/COR shall document all findings, including a summary of the findings associated with the Contractor’s QMS evaluation, on the PAW. The PAR/NTR/COR should rate the Contractor Marginal or Unsatisfactory in accordance with the PARC adjectival descriptions. The PAR/NTR/COR 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/NTR/COR should rate the Contractor Satisfactory, Very Good, or Exceptional in accordance with the PARC adjectival descriptions. Jump to Step 15.

Step 14: Performance Assessment Rating is Marginal – The PAR/NTR/COR shall document all findings, including details of the failures to comply with performance objectives and standards on the PAW. The PAR/NTR/COR should rate the Contractor Marginal in accordance with the PARC adjectival descriptions. The PAR/NTR/COR should 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/NTR/COR should consider sampling at the reduced level (Jump to Step 17). If a trend has not yet been established the PAR/NTR/COR should continue normal sampling.

Step 16: Continue “Normal” Sampling – The PAR/NTR/COR should continue sampling the size identified as “Normal” in the FAP at AL1. [End of this assessment]

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

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

The following descriptions are provided for the flowchart shown in Figure 2:

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

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 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/NTR/COR 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/NTR/COR will document the defect on the PAW and notify the Contractor. Validated customer complaints (VCC) or instances of non-conforming work discovered during unscheduled visits (UV) should also be documented as defects. Where customer complaints 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 Complaint 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 Performance Assessment Worksheet (PAW). If defects are found the PAR/NTR/COR 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

Step 6: Re-evaluate QMS – The PAR/NTR/COR 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 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.

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/NTR should make recommendations to the Contracting Officer via the SPAR/COR 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/NTR/COR should also document recommendations for withholding of payment on the PAW for non-conforming services when defects cannot be corrected by re-performance.

Step 9: Continue Current Assessment Level or go to lower Assessment Level if applicable – The PAR/NTR/COR 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/NTR/COR 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/NTR/COR 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/NTR/COR shall document all findings, including findings associated with the Contractor’s QMS, which justify rating the Contractor’s performance as Unacceptable. The PAR/NTR/COR 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/NTR/COR 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/NTR/COR shall document all findings which justify rating the Contractor’s performance as Unacceptable. The PAR/NTR/COR 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/NTR/COR should return to a higher assessment level (Jump to Step 17). If a positive trend has not yet been established the PAR/NTR/COR should continue at the current assessment level.

Step 16: Continue Current Assessment Level – The PAR/NTR/COR 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/NTR/COR should discontinue the additional lower level assessment and move to a higher assessment level or reduce to normal AL1 assessment. [End of this assessment]

1.10.4 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/NTR/COR should take appropriate immediate action to stop work as necessary until the unsafe practices are properly corrected.

The PAR/NTR/COR 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/NTR/COR 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/NTR/COR 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/NTR/COR should coordinate with the local command Safety Representative for assistance in review of Contractor’s APP.

The PAR/NTR/COR 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.

1.11 Assessment Summary and Evaluation Procedures

1.11.1 Monthly Performance Assessment Summary (MPAS)

The PAR/NTR/COR and SPAR will collect, review, and evaluate the results of all performance assessments including PAW documentation, safety assessments, validated customer complaints, customer evaluations, trend data, and Contractor QMS corrective and preventive actions. The PAR/NTR/COR 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. <<Note to Spec Writer/PAR/NTR/COR: Include if applicable and desired for use on multifunction contracts, e.g., The SPAR/COR consolidates all annex/sub-annex ratings with supporting comments on the MPAS Coversheet, Attachment H, provides a recommended overall rating for the Contractor’s performance, and validates the MPAS Coversheet by signing it.>> Supporting information (e.g. copies of completed PAWs, VCCs, Customer Evaluation forms, and other assessment documentation) should be made available with the MPAS.

1.11.2 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 PAR/NTR/COR and SPAR will determine 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), if any. 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.

1.11.3 Performance Assessment Board (PAB)

The Performance Assessment Board membership consists of the following:

PAB Chairperson –To be provided upon award of the contract

PAB Member –

, COR

To be provided upon award of the contract task order

, NTR

The PAB will convene semi-annually to review and evaluate Contractor performance. The date, time, and location of PAB meetings will be established by the PAB Chairperson and communicated to all PAB members.

Additional participants may include: The Small Business Specialist, Site Safety Manager, Customer representative, etc. as specifically requested or approved by the PAB Chairperson. The personnel may participate in the discussion of Contractor performance, but will have no vote on consensus ratings.

The PAR/NTR/COR/SPAR should be prepared to brief the PAB on the monthly summary information and trend data and offer a recommended consensus rating to the PAB based on assessment results. Each PAB member should consider the information presented and individually document ratings with supporting comments for each area defined in CPARS on the PAB Rating Summary form, Attachment I. The PAB Chairperson should develop a consensus rating for each factor and document comments relevant to each rating factor from the PAB review. At, or near, the end of each performance period, the PAB should review previous PAB Rating Summaries in addition to performance during the most recent evaluation period to develop overall input for official CPARS ratings and relevant comments. This final PAB report should be used by the Assessing Official Representative (AOR) for entry into CPARS for the performance period.

Specific details of the PAB process are provided in BMS B-14.26, Performance Assessment Board.

1.12 Summary

The PAP is based on the premise that the Contractor is responsible for managing and ensuring that quality controls meet the terms of the contract. The PAP facilitates consistent and effective tiered PA to verify the accuracy and completeness of the Contractor’s QMS and to assess overall compliance with performance objectives and standards. The Government will evaluate Contractor performance through appropriate assessment methods to ensure payments are made only for services that comply with contract requirements. This PAP is a “living” document that will be revised or modified as circumstances warrant.

Attachment A

Attachment A: Functional Assessment Plan (FAP)

ENVIRONMENTAL FAP

Assessment Frequency:

A Performance Assessment will be conducted at the completion of each Task Order for Task Orders having performance periods fewer than six months.

A Performance Assessment will be conducted every six months for Task Orders having performance periods exceeding six months in duration. In addition, a Performance Assessment will be immediately triggered if the PAR becomes aware of a defect or if a Customer Complaint is received.

Method of Assessment (MOA):

The MOA will vary by Task Order. MOA’s may include the following (or combinations of the following):

PS – Periodic Sampling RS – Random Sampling VCC – Validated Customer Complaint UV – Unscheduled Visit CE – Customer’s Evaluation

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

1800000 – Environmental/Cultural Resources Spec Item Title Performance Objective Related Information Performance Standard MOA

4.0 Pre-established

Fixed Contract Prices

For work requirements with pre-established fixed contract prices:

each Task Order will be awarded for Cultural Resource Related Services and ancillary supplies for the period of performance (POP) as specified in the Task Order Schedule (See Exhibits A-E).

Pricing includes all cost/prices associated with performing the task(s) including all labor, materials, and travel by geographic zone. Geographic zones are defined in Specification Item 4.10.

<<Note to Spec Writer: Specify period of performance for the Task

The Contractor shall comply with all federal, state, and local statutes and regulations, and with applicable DoD and Navy policies, instructions, and guidance.

(See Annex 1.11).

Contractor personnel are required to meet specialized qualifications as specified in Specification Item 2.6.3.1. Specialized qualification requirements will be provided in each task order as appropriate <<Note to Spec Writer: Identify the qualification requirements, as defined in Annex 2.6.3.1, for the Task Order.>>

All deliverables are subject to Government review. The Contractor shall incorporate

The Contractor performed all the required tasks in the Task Order.

Services are performed in a timely manner, according to the Schedule stipulated in each Task Order.

Services are in compliance with federal, state, and local statutes and regulations, and with DoD policies, instructions and guidance.

Appropriately qualified personnel are utilized in performing services.

The Contractor prepared a report/deliverable in the manner and

PS, RS,

VCC,

UV, CE

As specified in the task order

Order.>> all Government comments received, and submit the revised deliverable (in the timeframe, quantity, and format specified in the Task Order).

The standard period of performance timeframe is a minimum of 90 days from date of the award of the task order to the completion date specified in the task order.

<<Note to Spec Writer: Identify specifics regarding the timeframe, quantity, and format for the submission of deliverables.>> format specified

All data and information collected was presented, complete, and accurate.

4.1 Archaeological

Survey and/or Site Recordation

The Contractor shall conduct Archaeological Survey and/or Site Recordation activities.

As specified within individual Task Orders, the Contractor shall conduct differentiated levels of archaeological survey fieldwork and prepare differentiated levels of site recordation and reporting documentation, as per specifications in 4.1.1 through 4.1.17.

Task Orders will specify one of the four general categories (A, B, C or D below) of archaeological survey and/or site documentation, with differentiated, separately specified reporting requirements:

A. Archaeological Survey Only - an archaeological survey process, including a records and literature search and field survey for location of archaeological sites and loci, but without site recordation.

Preparation of a tailored Archaeological Survey Only report is not included in this spec item it is a separate Spec Item 4.1.16 and is ordered separately if required.

B. Archaeological Site Recordation Only -an archaeological site recordation process, including a records and literature search, relocation of known archaeological sites and loci, and preparation of site forms on relocated sites. Preparation of a tailored Archaeological Site Recordation Only report is a separate Spec Item 4.1.17.

C. Archaeological Site Recordation as

The Contractor performed a one mile records and literature search at the appropriate state information center as directed in Spec Item 2.5.1.

The Contractor conducted a pedestrian survey that encompassed the entire project area defined in the Task Order.

If required, the Contractor recorded all sites identified in the survey to a level that provided all the information required to complete the site forms.

If required, the Contractor collected all diagnostic artifacts in the manner specified.

If required, the Contractor prepared or updated site forms for all sites identified during the survey.

Copies of each site form/report were submitted to the responsible Information Center

Supplemental Specification on Archaeological Survey or Site Recordation- an archaeological site recordation process, including preparation of a specified number of site forms supplemental to Archaeological Survey or Site Recordation Task Orders.

D. Archaeological Survey and/or Site Recordation Reports - Unless otherwise specified in a Task Order, the Contractor shall prepare a separately-specified report which addresses the discrete suite of sub-tasks specified for each Archaeological Survey or Site Recordation project category:

1. Archaeological Survey Only

Report.

2. Archaeological Site Recordation

Only Report.

3. Results of Archaeological Site

Recordation Supplemental to Archaeological Survey or Site Recordation Task Orders will be reported in attendant project report.

<<Note to Spec Writer: Insert site-specific information regarding the area(s) to be studied, the type of survey required, the format to be used in preparing the report, and any other tasks to be conducted in addition to those stated above.>>

4.1.1 Archaeological

Survey Only

Very Small

The Contractor shall conduct Archaeological Survey Only

As specified within individual Task Orders, the Contractor shall prepare differentiated levels of fieldwork and documentation for Archaeological Survey Only.

Those surveys that qualify as Very Small are services whose study area is defined as less than or equal to 50 hectares (124 acres) by the Task Order.

<<Note to Spec Writer: Identify if this is an Archaeological Survey Only Project or an Archaeological Survey and Site Recordation Project, also insert how data will be used and collected, where the survey will be conducted, and the size of the survey required.>>

The Archaeological Survey Only protocol includes a records and literature search, field survey with minimal site documentation, and preparation of monthly progress reports; but not to include preparation of archaeological site records or of an archaeological site survey project report. Preparation of a project report for Archaeological Surveys Only not included in this spec item as it is stipulated as a separate performance objective in Spec.

Item 4.1.16 and will be ordered separately if required.

A. Field Work. Field work for Archaeological Survey Only shall include the following:

1. Pedestrian Survey. Survey methods employed shall be consistent with the Secretary of the Interior’s Standards and Guidelines for Identification and Evaluation Guidelines for Local Surveys (National Register Bulletin Number

24) or as may be modified by state requirements or local installations and defined in the Task Order (See Annex 1.11).

2. Site Documentation. In lieu of preparing the full suite of required site forms, the Contractor shall provide a primary form (DPR-523 series) or other state equivalent developed from direct observations during the course of the survey. These shall be tabulated in the Archaeological Survey report.

The Contractor performed a one-mile records and literature search at the appropriate state information center as directed in Spec 2.5.1.

The Contractor conducted a pedestrian survey that encompassed the entire project area as described within the Task Order.

The Contractor prepared a report in the manner and format specified.

3. Surface Collection. There shall be NO surface collection of artifacts unless specified by the Task Order.

When surface collection is specified in the Task Order, the Contractor shall only collect surface diagnostic artifacts. Diagnostic artifacts are those items that are temporally sensitive and indicative of the site’s period of occupation. Examples of these types of artifacts include projectile points, ceramics, beads, glass bottles with maker’s marks, etc. Artifact locations shall be mapped before collection and placed in clear, zipper closure, polyethylene bags. The bags are to be marked with indelible ink, including the site number, content, and assigned surface collection number. An inventory of all surface collected materials shall be maintained and included with the site form (See Section C below for site form information).

4. Global Positioning System (GPS).

GPS shall be used to locate each archaeological site, feature, and isolate found. The base coordinate shall be the Universal Transverse Mercator (UTM) North American Datum of 1983 (NAD 83) or as otherwise stated in the Task Order, see Spec Items 2.1.12 and 2.5.5.

The GPS instrument must have a horizontal accuracy to within plus or minus one meter of the site. GPS data shall be provided on CD as specified in Annex 2.5.11 and Spec Item 2.5.5.

B. Laboratory Methods and Data Analysis.

There shall be NO laboratory methods or data analysis required under this Archaeological Survey Only category unless Surface Collection is specified by the Task

When Surface Collection is specified in the Task Order, Industry standard laboratory methods and data analysis shall be required for artifacts and ecofacts collected, including individual artifact classifications and descriptions and will be identified in the Task Order. These shall include the cataloging, conservation, and consolidation of collected materials and field data. All collected materials shall be washed except those items where washing will result in damage or loss of potential data (e.g.

projectile points, basketry, manos, bone, metal, ceramics, etc.).

1. Cataloging Collected Material. All collected materials shall be cataloged.

All collected artifactual, ecofactual, and sample materials shall be cataloged, as individual items or in lots, as appropriate. Cataloged items shall be numbered sequentially using the site number as the accession number for each collection.