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Performance Assessment User Guide Performance Assessment (PA) User Guide Conten

Performance Assessment User Guide Performance Assessment (PA) User Guide Contents 1. Performance Assessment (PA) User Guide .................................................................................1 1.1 Introduction................................................................................................................................1 1.1.1 Purpose .................................................................................................1 1.1.2 Background .................................................................................................1 1.2 Training......................................................................................................................................3 1.3 Roles and Responsibilities .........................................................................................................2 1.4 Assessment Concept, Rating Criteria, and Methodology..........................................................3 1.4.1 Concept .................................................................................................3 1.4.2 Rating Criteria .................................................................................................4 1.4.3 Methodology .................................................................................................4 1.4.4 Functional Assessment Plan (FAP) ...............................................................................6 1.5 Assessment Procedures..............................................................................................................7 1.5.1 Post-Award Planning .................................................................................................7 1.5.2 Performance Assessment Process ..................................................................................8 1.5.3 Assessment Summary and Evaluation Procedures ......................................................13 2. Conclusion....................................................................................................................................17 3. Attachment A: Sample Performance Assessment Plan (PAP) ...............................................18 Index of Tables Figure 1. Sample FAP for Grounds Maintenance................................................................................ 6 Figure 2. Performance Assessment Process for Assessment Level 1 (AL1)....................................... 8 Figure 3. Performance Assessment Process for Assessment Level 2 or 3 (AL2 or AL3)................. 11 Figure 4. Sample Grounds Maintenance MPAS ................................................................................ 14 Page 1 1. Performance Assessment (PA) User Guide 1.1 Introduction 1.1.1 Purpose This Performance Assessment (PA) User Guide provides a common framework for Navy-wide PA. It describes the background, concepts and methodology for conducting PA. This document includes several sections that provide an overview of the Navy’s new PA methodology and describes how to implement PA. It also contains a sample Performance Assessment Plan (PAP), shown as Attachment A, which describes contract-specific provisions and methodology for assessing Contractor performance. The sample PAP includes a sample Functional Assessment Plan (FAP) which outlines the approach to assessing the Contractor’s work against measurable performance standards and a standard Performance Assessment Worksheet (PAW) to document and report Government observations and rate Contractor performance. The PA User Guide adheres to the precepts contained in the FSC/BOS Template (Template) and associated User Guides. This document describes an approach using examples from the grounds maintenance Template that can be applied to all FSC/BOS acquisitions. For a clearer understanding of the entire process, read the General Information User Guide, applicable annex or sub-annex User Guide(s), and this User Guide before proceeding. The Template is a tool that presents a comprehensive performance-based, IMAP-consistent approach to requirements generation, contracting and program management of FSC/BOS acquisitions. The Template’s annex structure presents performance requirements in a logical format and provides a standard numbering convention. This annex structure is described in more detail in the General Information User Guide. 1.1.2 Background Government PA is intended to ensure payments are made only for services that comply with contract requirements. In the past, the Contractor implemented Quality Control (QC) processes and Quality Management (QM) oversight of its QC program and Government Quality Assurance Evaluators (QAE) conducted routine surveillance of the Contractor’s work in progress on a daily basis. This resulted in many Contractors relying on Government QA reports to augment or replace their QC reports. In accordance with recent DoD guidance, QA is designated a Contractor responsibility and PA a Government responsibility. This concept more accurately describes the DoD oversight role under newly defined Performance-Based Services Acquisition (PBSA) guidance. Under PBSA, the Contractor is responsible for achieving outcomes when compared to measurable performance standards. The Government is now looking at overall performance of the Contractor’s Quality Management System (QMS). Rigid inspections are no longer required or necessary, as the Government is relying more on the Contractor’s QC documentation coupled with the Government’s own field verification as necessary only to verify accuracy and completeness of the Contractor’s QMS. Thus, routine daily surveillance of Contractor operations is neither necessary, nor supported. Under PBSA, the new Government role is to assess Contractor’s work against measurable Page 2 performance standards, and the Contractor’s role is to ensure its quality through successful implementation of its QMS. This Guide reflects the changes in both terminology and practice. A positive relationship between the Government and the Contractor is essential in fulfilling a performance-based requirement. The Government’s relationship with the Contractors 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. 1.2 Roles and Responsibilities Roles and responsibilities of key Government PA personnel have changed to accommodate the transition from QA to PA. The Government’s key roles and responsibilities are as follows: Performance Assessment Representative (PAR). The PAR (formerly QAE, TRCO, CSR) 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 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 PAWs for completeness and accuracy before their presentation to the Performance Assessment Board (PAB). The SPAR is a seasoned, experienced PAR, and is normally designated as the PAB chairperson. Contract Specialist (CS). The ACO and/or PCO assigned to the contract. Contracting Officer (KO). The KO provides written appointment of PAB members and 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 (FSCM, CA) may be a PAB member who has a broad technical background. Where assigned, the COR is responsible for a variety of contract administration duties that may include oversight of PA, reviewing invoices, and acceptance of work. Performance Assessment Board (PAB). The PAB is typically comprised of the SPAR, COR, CS, and KO. Other members can be considered as needed. The PAB will convene on a regular basis, e.g., monthly or quarterly, 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 should make recommendations for CPARS, incentives and withholdings if necessary. Page 3 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. NAVFAC Acquisition Supplement (NFAS) requires that all personnel performing PA of NAVFAC contracts must meet mandatory training standards promulgated by NAVFAC Policy Memorandum 00-04 of 14 January 2000 (http://acq.navfac.navy.mil/pdffiles/00-04.pdf) within six months following assignment. The NAVFAC Engineering Technician and Quality Assurance Community Management Plan (Rev 2) of 19 March 2003 (http://navfacilitator.navfac.navy.mil/cm/cmplans/etqacmpln.pdf) identifies required training, shown as Continuing Education requirements for the QAE/CSR Function (Levels I and II), within 12 months following assignment. Additionally, specialty training for those individuals monitoring highly technical work is required or recommended as follows: § Pest Control Services: NAVFAC Pest Control Quality Assurance Evaluator Training Course (1 week) through EFA NE (mandatory per DoD Instructions 4150.7-I and 4150.7- M) § Vertical Transportation Equipment (VTE) (e.g., Elevators) Maintenance and Repair: NAVFAC VTE Inspector Training Course (2 weeks) through NFESC (recommended) § Crane and Railroad Trackage Maintenance and Repair: NAVFAC Trackage Inspector Training Course (1 week) through NFESC (recommended) 1.4 Assessment Concept, Rating Criteria, and Methodology 1.4.1 Concept Assessment Levels. PA uses a tiered approach that facilitates use of limited installation resources to focus on those items that require more attention while properly managing overall performance risk. The PAR will periodically assess services for conformance to contract performance objectives and standards. Assessments will normally start at Assessment Level 1 (AL1) which is equivalent to the highest (WBS 2-digit) level of outcome indicators, e.g., for Maintain Improved Grounds, “a sightly appearance is maintained.” When the Contractor’s performance is unsatisfactory at AL1, additional PA at the appropriate assessment level, e.g., Assessment Level 2 or 3 (AL2 or AL3), should be conducted until the Contractor’s performance improves. AL3 is equivalent to the lowest (WBS 4- digit) level indicators, e.g., “Edging is uniform in appearance and edged grass does not encroach on ground structures.” PAR Staffing Considerations. Although tiered assessment approach begins assessment at AL1, staffing at AL1 may involve significant risk. If the Contractor’s performance is unsatisfactory at AL1 and additional assessments at AL2 or AL3 are required, staffing at AL1 will be insufficient to cover these additional assessments. PAR staffing should provide sufficient resources for periods when additional levels of assessment may be required and be based on the functional area being addressed and its importance to the mission. 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 achievement of Page 4 performance objectives and standards, further action is required. The PAR will conduct a review of the Contractor’s QC records and process for the work item(s) where deficiencies are noted to validate the accuracy and effectiveness of the Contractor’s QMS. For uploads/Management/ performance-assessment-user-guide.pdf