DEPARTMENT OF THE NAVY
NAVAL FACILITIES
ENGINEERING
COMMAND
PROJECT PARTNERING
IMPLEMENTATION
GUIDE
Version 1.0 – 10/26/2020
Enclosure (1)
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2 Enclosure (1)
Contents
CHAPTER 1. BACKGROUND 3
1-1 WHAT IS PARTNERING? 3
1-2 PURPOSE OF PARTNERING. 3
1-3 BENEFITS OF PARTNERING 3
1-4 PARTNERING THROUGHOUT THE FACILITIES LIFE-CYCLE 4
1-5 NAVFAC PARTNERING POLICY 5
CHAPTER 2. PROJECT PARTNERING IMPLEMENTATION 6
2-1 PROJECT LIFE CYCLE 6
2-2 CONDUCT PARTNERING DURING THE PLANNING PHASE 7
2-3 CONDUCT PARTNERING DURING THE DESIGN PHASE 8
2-4 CONDUCT PARTNERING DURING THE CONSTRUCTION PHASE 12
2-5 ASSESS AND IMPROVE THE IMPLEMENTATION OF PROJECT PARTNERING 14
APPENDIX A. PARTNERING WORKSHOP ATTENDEES 16
APPENDIX B. FORMAL PARTNERING PLAN 17
APPENDIX C. FORMAL PARTNERING CHARTER TEMPLATE 31
APPENDIX D. INDEX 32
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CHAPTER 1. Background
1-1 What is Partnering?
1. Partnering is a proactive management approach that establishes collaboration and
commitment between two or more organizations for the purpose of achieving specific business
objectives by maximizing the effectiveness of each participant’s resources.
2. Partnering consists of a mindset, a commitment, and a process for successfully delivering the
project in accordance with team goals—which are commonly identified in terms of scope, cost,
schedule, quality, safety, and compliance effectiveness.
a. Partnering normally requires EACH project member to focus on the TEAM’s collective
expectations and success.
b. Partnering does not replace the terms and conditions of the contract.
3. Successful partnering requires individual “soft skills” (i.e. organization, communication, and
problem-solving). To maximize partnering success, senior management in all organizations
must assign the most appropriate and experienced personnel with these crucial skills and the
proper level of authority to the largest, most-complex, most-difficult, and highest-visibility
projects.
1-2 Purpose of Partnering.
1. According to the Construction Industry Institute® (CII), there are two distinct types of
partnering relationships, which are used for different purposes, i.e.
a. Strategic alliances (typically formed by upper management at the headquarters levels—but
may also occur at divisional and regional levels) are focused on the long-term relationship goals
to sustain maximum benefits among the agreeing organizations.
b. Project-specific partnering (typically formed by the requirements owner or their
representative) is generally focused on short-term single-project success.
2. This implementation guide is intended to address project-specific partnering.
1-3 Benefits of Partnering
1. According to CII, the expected benefits of project partnering include improved
communication, efficiency and cost effectiveness, increased opportunity for innovation, and the
continuous improvement of quality products and services. Additional or related benefits may
also include:
a. Focus on Core Business
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b. Increased Productivity
c. Maximized Effectiveness of Resources
d. Long-Term Process Improvements
e. Innovations
f. High Quality of Work
g. Improved Technology
h. Highly Cooperative Relationships
i. Contribution to Community
2. To realize these benefits, partnering should be applied to all projects.
1-4 Partnering Throughout the Facilities Life-Cycle
1. NAVFAC’s previous partnering instruction (NAVFACINST 11013.40A) focused on
partnering during the post-award construction phase (e.g. partnering workshops, charters, etc.
between the Government and the construction contractor). However, according to CII, project
partnering is actually a five-phase process, which includes steps before the post-award
construction phase (see Figure 1).
2. To align with the CII model, partnering should occur during the “pre-award” planning and
design phases where the owner’s internal alignment and partner selection occur.
3. In addition, the Assistant Secretary of the Navy (Energy, Installations and Environment)
identifies expectations for meeting environmental planning timelines through enhanced
communication and collaboration (i.e. partnering) from all affected entities
1
. Further, according
to the U.S. Army Corps of Engineers (USACE)
2
, partnering occurs “during contract performance
or at any other time when working with others.” Therefore, partnering must involve ALL KEY
TEAM MEMBERS (e.g. Government and Contractor) and address ALL PHASES OF THE
PROJECT.
4. In addition to the post-award construction phase, this implementation guide will add a new
focus on partnering roles and responsibilities during the pre-award (planning and design) phases
and will address the operation & maintenance (O&M) and disposal phases (from a planning and
budgeting perspective).
1
ASN(EI&E) Memorandum of 16 April 2019, Implementation of ASN(EI&E) Environmental
Planning Timelines Memorandum
2
USACE Pamphlet # 4 “PARTNERING: A Tool for USACE, Engineering, Construction, and
Operations” December 1991, revised May 2010
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Figure 1. Five Phases of the Partnering Process. From Partnering Toolkit. Copyright
1996 by Construction Industry Institute®. Reprinted with permission.
1-5 NAVFAC Partnering Policy
1. All facilities construction projects shall implement the processes in this guide to the
maximum extent practicable (including as outlined for the planning and design phases).
2. For other contracts, such as Facility Support Contracts (FSC), Real Estate Contracts,
Enhanced Use Leases (EUL), Public-Private Ventures (PPV), Environmental Contracts, etc.,
please refer to guidance from the respective NAVFAC Business Line Communities.
3. Note, if required, Facilities Engineering Command (FEC) Operations Division (OPS) may
approve requests for full or partial exemptions to the implementation of project partnering, for
example, where the Government and Contractor key stakeholders have already successfully
participated in previous formal partnering session(s) with each other.
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CHAPTER 2. Project Partnering Implementation
2-1 Project Life Cycle
1. Project partnering over the entire project life cycle provides continuous improvement to the
delivery of NAVFAC products and services. The project and development life cycle consist of
multiple phases, where each phase is a collection of logically related project activities as
depicted in Figure 2. During each phase, the project includes various key stakeholders and
project team members—each with unique responsibilities and deliverables that facilitate
communications to support partnering and, ultimately, project success.
Figure 2. Project Life Cycle
Occasionally, some phases may overlap. For example, for Design-Build Projects, the design
typically extends into the construction phase and is completed by the construction contractor.
Phases before the award of the construction contract are typically referred to as “pre-award,” and
phases after the award of the construction contract are typically referred to as “post-award.”
2. Pre-Award Implementation. The person who is assigned to the project manager role is
accountable and responsible for implementing the pre-award planning and design partnering
effort, as required by this implementation guide. For larger, more complex projects, this person
is typically designated as a Project Manager (PM). For smaller, less complex (and typically
local) projects, this person may be the Design Manager who is performing the PM duties. In
either case, this project lead must be assigned to the project as early as possible, and must ensure
communication of the project requirements, preparation of the project deliverables, and
resolution of project issues (and/or coordination of mitigation strategies with the Supported
Commander representative and the Facilities Engineering and Acquisition Division Director).
3. Post-Award Implementation. The Facilities Engineering and Acquisition Division (FEAD)
Director has a vested interest in the success of every project at the installation. Therefore, the
FEAD Director is accountable and responsible for implementing the post-award construction
partnering effort, as required by this implementation guide. The FEAD Director must be actively
engaged on the projects that require “Formal Partnering” (see page 12) and must provide
guidance and direction to the field staff in resolving the project issues and coordinating
mitigation strategies with the project manager and/or the installation-level representative of the
Supported Commander.
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2-2 Conduct Partnering During the Planning Phase
1. The project planning phase typically involves the owner and the planner (in coordination with
others) in the preparation of the planning documents. Decisions made by the team members
during this phase have a significant impact on the remaining steps and phases. For example, in
addition to the delivery of the facility, the operation and maintenance (O&M) and disposal (e.g.
demolition and/or repurposing) must be part of the economic analysis in order to be planned and
budgeted accordingly. Although a formal partnering workshop is not required during this phase,
the normal responsibilities and deliverables identified below are described herein to emphasize
the alignment with the partnering framework, especially regarding collaboration and
communication of requirements.
2. Supported Commander Partnering Responsibilities. Project success begins with the SC.
The SC owns the mission requirements (e.g. business drivers, functions, and goals) and is
therefore responsible for establishing the overall project or facility requirements with the Design
and Construction Agent (DCA) and/or the installation/shore integrator (e.g. CNIC or MCICOM)
to ensure success. Typically, an Installation-Level SC Representative (i.e. the tenant or facility
manager) is assigned to engage with the Public Works Department (PWD) to begin the planning
for a new facility. To minimize future project disruptions, the SC representative must perform
partnering-related (communication and collaboration) functions, which include:
a. Identify and provide well-defined requirements (business drivers, Mission Need Date
[MND], functions, goals, fund source, etc.) to the facilities planner,
b. Plan, budget, and coordinate all land acquisition, demolition, environmental, equipment-
outfitting, utility, special-security, facility O&M, disposal, and other necessary facilities-related
costs and inter-organizational agreements,
c. Engage with both the SC chain of command and the installation chain of command to
ensure higher level alignment and to ensure future sponsorship of the project,
d. Minimize the introduction of high-level risks (e.g. late program additions, late project
changes, etc.) and ensure any necessary mitigations are in place, and
e. Validate project requirements established in the planning documents.
3. Facility Planner Partnering Responsibilities. The facility planner is the focal point for the
SC in establishing the facility and project requirements. The facility planner, with information
provided by the SC, must perform partnering-related (communication and collaboration)
functions, which include:
a. Direct, manage, and ensure the preparation and communication of the planning phase
partnering deliverables with all project stakeholders, as applicable, e.g.:
(1) Basic Facility Requirements (BFR), including MND, aligned with installation master
plan
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(2) Facility Planning Document (FPD)
(3) “Installation-level” (a.k.a. “PWD-level”) DD Form 1391
(4) Class 5 project budget estimate
(5) Feasibility study or Business Case Analysis (BCA)
(6) Environmental planning checklists to identify, plan, and complete all permits,
approvals, mitigations, and/or authorizations, such as National Environmental Protection Act
(NEPA), Overseas Environmental Planning, Cultural Resources (CR), National Historical
Preservation Act (NHPA), Natural Resources, Environmental Site Assessments, Marine
Mammal Protection Act (MMPA), Clean Water Act, etc. under the direction of the
Environmental Business Line (EVBL) throughout the project life cycle.
(7) Site approvals (e.g. explosives safety),
b. Engage with PWD leadership to ensure awareness, staffing, resourcing, and support of the
project,
c. Develop the initial Key Stakeholder list,
d. Develop the initial Risk Register, ensuring project risks are captured and communicated
with the SC as well as ensuring these risks are captured in the Class 5 project budget estimate,
e. Document SC acceptance of the project scope and requirements, establishing the scope
baseline, so that requirements and project changes can be managed effectively as the project
moves forward,
f. Convey the owner’s requirements and deliverables to the Project Manager (PM)—or the
Design Manager (DM), if applicable (e.g. for local projects).
2-3 Conduct Partnering During the Design Phase
1. During the design phase, the Project Design Team (PDT) continues to progressively elaborate
the owner’s requirements (via the DM). While there are many milestones during the design
phase of a project, two key milestones after Preliminary Design Authority
3
, (PDA) are: Final
Design Authority (FDA) and Design Release (DR). Each milestone has specific deliverables that
must be communicated to ensure effective project partnering. The development of these
documents must begin soon after PDA (or project initiation) and the project’s high visibility
level, partnering level, and MND must be clearly identified by the FDA milestone (or by the time
design funds are received, e.g. for non-MCON). Although a formal partnering workshop is not
required during this phase, the normal responsibilities and deliverables are described herein to
3
Or equivalent term or process for non-MCON projects
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emphasize the alignment with the partnering framework, especially regarding collaboration and
communication of requirements.
2. Supported Commander Responsibilities. By funding the project as it transitions from the
planning phase to the design phase, the SC at the Region-Level has inherently committed support
for the project and should be involved in the project development. At the conclusion of
planning/programming phase, the stakeholder must agree to and sign-off on the project scope via
a Stakeholder Agreement. In order to support the partnering process, the installation-level and
region-level SC must perform partnering-related communication and collaboration functions,
which include:
a. Ensure all land acquisition, demolition, environmental, equipment-outfitting, utility,
special-security, facility O&M, disposal, and other necessary facilities-related functions and
inter-organizational agreements are properly coordinated and included in the Program Objective
Memorandum (POM) and/or Future Years Defense Program (FYDP),
b. Continue to engage with the Regional Commander and engage with Resource Sponsor (e.g.
OPNAV N4, or MCICOM, or other) to ensure awareness, staffing, resourcing, and support of the
project, and
c. Actively participate in the design review meetings, validate scope and design development,
and minimize customer-requested changes.
3. Project Manager Partnering Responsibilities. As the project team leader, the PM works
closely with the DM to integrate the design product and service into the project to achieve the
project objectives. For smaller projects, of lower complexity, especially at PWDs, project
management is a function performed by the DM. The PM is responsible for creating and
managing the key project management documents that support partnering (e.g. Project Charter,
Project Management Plan, Risk Register, Escalation Matrix, etc.) and that will be updated
throughout the life of the project. The completed risk register and escalation matrix are
incorporated into the Project Management Plan. To facilitate the generation of these documents,
an informal partnering workshop (e.g. PM Plan meeting) should be conducted with the key
stakeholders (see APPENDIX A. Partnering Workshop AttendeesAPPENDIX A. Partnering
Workshop Attendees). To ensure project partnering (communication and collaboration), the PM
must be assigned and engaged as early as possible and must perform partnering-related
(communication and collaboration) functions, which include
4
:
a. Continue to identify and/or establish (in coordination with the Planning & Operations
Division [OPS]):
(1) Key stakeholders and decision-makers (note, this is a validation and refinement of the
Stakeholder list developed by the Facility Planner)
4
For detailed PM functions, please refer to the latest NAVFAC PM Manual.
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(2) High visibility level
5
and Complexity Determination of the project
(3) Partnering level
6
,
b. Convey the owner’s requirements to the design team,
c. Engage with the field office leadership to ensure awareness, staffing, resourcing, and
support (e.g. work induction, constructability review, etc.) for the project,
d. In coordination with appropriate OPS, ACQ, and business line leadership, consider
implementing innovative facilities management delivery methods, such as Design-Build-
Operate-Maintain (DBOM) or Build-Operate-Transfer (BOT), especially for technically complex
facilities, where utilizing the same contractor for operations and maintenance as for construction
is the most advantageous life-cycle approach for the customer,
e. In coordination with appropriate OPS, ACQ, and business line leadership, consider
implementing innovative management processes, such as Early Contractor Involvement (ECI),
Collaborative Bid-Build (CBB)
7
, and qualification-based selections
8
to improve the partner
selection process
9
, especially for projects with significant schedule limitations (leveraging fast-
tracking), technical-complexity, and high-visibility,
5
NAVFAC policy establishes reporting tiers or “high-visibility levels” (see KPI Implementation
Policy).
6
Unified Facilities Guide Specification Section (UFGS) 01 30 00 outlines two partnering levels.
Generally, Formal Partnering is a collaboration workshop led by an external or professional
facilitator (e.g. contractor 3rd party), while Informal Partnering is a collaboration workshop led
by an internal or Government team member (e.g. FEAD/ROICC personnel).
7
ECI (normally used for Design-Bid-Build) and CBB (normally used for Design-Build):
Provide a more proactive and collaborative environment that establishes a partnership with
the entire project team (Contractor, Designer, and Owner).
Utilize the preconstruction period that includes the Contractor, Designers, Owner
Representatives, and other Key Stakeholders to plan for and mitigate project risk in
advance.
Provide a period prior to bid to pre-qualify subcontractors to ensure they are financially
stable and capable of completing the project. This will reduce issues on projects, reducing
and typically eliminating unwanted claims that could lead to litigation.
Utilize the preconstruction period to create a more accurate overall project schedule. This
results in fewer project delays overall.
Allow the contractor to provide feedback on the design during the preconstruction period to
help control cost. When done properly there will be a more accurate overall project budget
prior to bid resulting in less rebids.
8
Due to the challenges in selecting the “optimal” partner on DoD contracts, a focus on
Contractor qualifications is necessary, especially on high-risk, technically-complex projects.
9
“Partner Selection” is Phase 2 of the CII Partnering Model.
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f. Lead all key stakeholders and coordinate and communicate the design phase project
partnering documents
10
, required before or at FDA, as applicable, e.g.:
(1) Project Charter
(2) Project Management Plan (PMP), including Risk Register and Escalation Matrix (AKA
Issues Resolution Ladder)
(3) Updated MND, coordinated with OPS, and any necessary mitigations
(4) “Region-level” (a.k.a. “Budget-Ready”) DD 1391
(5) Cost and schedule estimate for budget authorization and project solicitation
(6) Progress plans and specifications,
g. Lead all key stakeholders and coordinate and communicate the design phase project
partnering documents, required before or at DR, as applicable, e.g.:
(1) Updated MND, coordinated with OPS, and any necessary mitigations
(2) Updated project management documents
(3) Cost and schedule estimate for bid (Class 1 for DBB or Class 3 for DB)
(4) Final plans and specifications (100% level), and
h. Ensure all planning and environmental documentation and requirements have been
completed prior to contract award.
4. Design Manager Responsibilities. The DM is responsible for translating the facilities
functions and owner’s goals into constructible and biddable engineering drawings and
specifications. To ensure project partnering (communication and collaboration), the DM must be
engaged with the PM as early as possible and must perform partnering-related (communication
and collaboration) functions, which include:
a. Lead the Design Charrette (or Functional and Conceptual Design Meeting) with all key
stakeholders immediately after PDA and/or FDA or as soon as possible,
b. Convey the owner’s requirements via plans and specifications to the field office
construction oversight team and ensure a constructability review and a review of the estimated
construction duration has been performed,
10
Note, because the construction contract is normally not awarded at this point, none of the
design phase deliverables will normally have an agreement from the Construction Contractor.
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c. Ensure a Value Engineering Study has been performed, if applicable,
d. Incorporate the appropriate section for partnering in the project specifications package
(UFGS 01 30 00 or design-build template),
e. Determine and coordinate Post Construction Award Services required and appropriate cost
estimate, and
f. Ensure design changes and requirements are coordinated with key stakeholders to minimize
impact to timelines (e.g. project-specific environmental requirements, such as UFGS 01 57 19,
UFGS 01 57 20, etc., must be properly incorporated).
5. Construction Contracting Officer’s Representative (COR), Construction Engineer (CE),
or Construction Manager (CM) responsibilities. To ensure project partnering
(communication and collaboration), the Construction COR, CE, or CM must be assigned and
engaged on the project as early as possible during the design phase. During pre-final design
stage, the Construction COR, CE, or CM must review the plans and specification for Design-
Bid-Build (DBB) or the Request for Proposal (RFP) for Design-Build (DB) to ensure
constructability, including the front-end Division 01 specifications to address any special
contractual requirements, e.g. delayed start, necessary phasing, lay down areas, utilities tie-ins,
duration, environmental mitigations, etc.
2-4 Conduct Partnering During the Construction Phase
1. The post-award partnering level is established by the PM in coordination with OPS by
incorporating (during the design phases) the applicable UFGS 01 30 00.
a. “Formal Partnering” (i.e. team workshop led by an external or professional facilitator)
shall be conducted on all Command designated high-visibility contracts greater than one million
dollars (>$1M). Note,
(1) For “Echelon II” and “Echelon III” high visibility projects, the COR must coordinate
with the professional facilitator to follow APPENDIX B. Formal Partnering Plan and
APPENDIX C. Formal Partnering Charter,
(2) For “Echelon IV” high visibility projects, the professional facilitator may use any
acceptable formal partnering format, and
(3) Follow-on partnering workshops should occur at quarterly interval, key meetings (e.g.
Initial Design Kickoff, Pre-construction kickoff, etc.), and/or at key accomplishment events, e.g.
Topping-Out, Pre-Closeout, etc.
b. “Informal Partnering” (i.e. team workshop led by an internal or Government facilitator)
shall be conducted, as provided in NAVFAC Informal Partnering Portfolio, on all other facilities
construction contracts.
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2. During the construction phase, the owner’s requirements should have already been clearly
established, and environmental approvals, permits, consultations, and authorizations should have
already been completed to minimize project disruptions. Partnering, at least in the form of open
communication and coordination, should have been implemented during the planning and design
phases to minimize the number of post-award Requests for Information (RFIs) and proposed
changes (PCs) during construction.
3. Design Manager Responsibilities. To ensure project, the DM must be engaged with the
post-award COR as early as possible and must perform partnering-related (communication and
collaboration) functions, which include:
a. Convey the owner’s requirements, including environmental compliance requirements (e.g.
biological or archeological monitoring, light/noise/time restrictions, etc. that result from
completed consultations), via plans and specifications to the field office construction oversight
team, and
b. Prioritize Post Construction Award Services (PCAS) and/or Post Award Design Support
(PADS) to reduce response times for contractor RFIs, submittals, issues, PCs, and contract
modifications, and
c. Focus on problem-solving and reasonable consideration of alternate solutions when
presented by designers or contractors, including determining whether an upward or downward
adjustment in price is necessary.
4. Construction COR responsibilities. The Construction COR (typically a CE or CM) is the
focal point during the construction phase. During the construction phase, several partnering
documents (such as the risk register, project charter, and escalation matrix) must be updated. To
facilitate the update of these documents, a partnering workshop
must be conducted with the key
stakeholders. The COR must be assigned and be engaged as early as possible and must perform
partnering-related (communication and collaboration) functions, which include:
a. Coordinate with key stakeholders to participate in the initial and follow-on partnering
workshop with the construction contractor (see APPENDIX A. Partnering Workshop
Attendees).
b. Coordinate all changes with key stakeholders and decision-makers to provide timely
responses to RFIs, submittals, modifications, payments, and other issues so as to not impact the
construction critical path and to not impact the contractor’s ability to finance the construction
operations, and
c. Ensure the partnering facilitator provides to the PM (for incorporation into the PMP) the
following construction-phase partnering deliverables, as applicable, e.g.:
(1) Risk Register
(2) Partnering Agreement/Project Charter (updated with the KTR’s information)
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14 Enclosure (1)
(3) Escalation Matrix (updated with the KTR’s information)
(4) Team Health Survey
(5) Note, the above guidance supersedes the partnering information contained in the KPI
Implementation guide issued under Kilo-Gram 20-02. The NAVFAC Informal Partnering
Portfolio hereby remains a useful reference for INFORMAL partnering
c. Ensure that, after the facility has been turned over to the customer, the construction
completion deliverables covering facility operations and maintenance (O&M) and real property
inventory accounting are delivered to:
(1) Public Works Department (e.g. as-built drawings, O&M support information, etc.) and
(2) Asset Management (e.g. DD Form 1354 Transfer of Real Property).
5. Project Manager Partnering Responsibilities. The PM is responsible for updating the final
key deliverables that support partnering (e.g. Project Management Plan, Project Charter, Risk
Register, Escalation Matrix, etc.).
2-5 Assess and Improve the Implementation of Project Partnering
1. Programmatically, the success of partnering is measured through NAVFAC’s established Key
Performance Indicators (KPIs). These KPIs are also measured at the project level during the
active pre-award phase, and, as identified in APPENDIX B. Formal Partnering Plan, KPIs are
also measured at the contract level during the active post-award phase. KPIs and other metrics
are continuously analyzed by NAVFAC to assess how well NAVFAC is achieving its corporate
goals of improving cost, schedule, quality, safety, and compliance effectiveness. Accordingly,
NAVFAC will continue to adjust its partnering processes to align with necessary changes,
technological advances, and other industry best practices.
2. At the completion of the project, the key stakeholders should conduct a final partnering
session to assess how well the project team actually achieved the partnering goals outlined in the
project’s Partnering Charter. The project team should answer the following four (4) basic
questions pertaining to the various facets and phases of the partnering process:
1. What worked well?
2. What didn’t work well?
4. What should stay the same?
3. What should change?
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3. The responses to these questions should be communicated through the Chain of Command to
the Capital Improvements Business Line so that NAVFAC’s partnering process and future
project performance will continue to improve. Project partnering-related documents and
information should be uploaded into eProjects, eContracts, eCMS, or other designated electronic
system.
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APPENDIX A. Partnering Workshop Attendees
1. Table 1 provides the required attendees at the partnering workshop meeting. Participation is
necessary to establish the required deliverables that address the improvement of trust,
communication, and commitment within the project team.
Table 1. Required Attendees at Partnering Workshop Meetings
2. In addition, Table 2 provides the upper management stakeholders (at the designated levels)
who should attend the kick-off session of each partnering workshop or meeting to provide
strategic guidance to the project team. Note, the visibility level of a project may change, as
directed by OPS, based on incident, funding, or key stakeholder interest.
Visibility
NAVFAC
Contractor
Client
Designer of Record
Ech 2 or
higher
LANT/PAC
COM
LANT/PAC
OPS
Corp
Pres/Owner/CEO
TYCOM – Flag
Corp
Pres/Owner/CEO
Ech 3 or
higher
FEC/OICC CO
FEC OPS
Exec/Regional
VP/COO
TYCOM – 06
Exec/ Reg’l VP/COO
Ech 4 or
higher
FEC OPS
Senior/Exec/Reg’l
VP
Bill Payer/User
CO
Senior/Exec/Reg’l
VP
Table 2. Upper Management Participants at Partnering Workshop Meetings
3. Note, personnel added to the team after the initial and follow-on workshops must be familiar
with and should sign the partnering agreement.
Visibility
NAVFAC
Contractor
Client
Designer of Record
All
FEAD/ROICC
PMEB
SGE
CE (mil/civ)
CM (civ/KSP)
ET
PCO/ACO/CSM
PM
Client Liaison
EV Rep
Ktr PM
Superintendent
QC Manager
SSHO
SubKtr Reps
KTR’s
AE/Consultant
Client/Tenant
Reps
Facility Manager
FEAD Director
PWO/DPWO
Safety Reps
Specialty Reps
EV SMEs/Reps
AM/RPAO
DM
AIC/EIC
Consultant’s Reps
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APPENDIX B. Formal Partnering Plan
Partnering Agreement, Construction Phase
[PROJECT TITLE]
[PROJECT LOCATION]
Section I. Partnering Agreement
As required by the construction contract, this partnering agreement is established for the
construction phase of project titled [PROJECT TITLE] at [PROJECT LOCATION].
The Partnering Agreement (Agreement) complements the Project Management Plan (PMP)
between [SUPPORTED COMMANDER ORGANIZATION] and Naval Facilities Engineering
Command (NAVFAC) [signed on (DATE)]. The Agreement outlines the purpose, benefits,
participating stakeholders, governance structure, expectations, frequency of partnering
engagement, and identifies the collective commitments of all the project participants to meet the
definitions of success outlined in this agreement.
Section II: Stakeholder Leadership Commitment
[SUPPORTED COMMANDER ORG]
Name/Signature
Date
Name/Signature
Date
[OTHER KEY STAKE HOLDER ORG]
Name/Signature
Date
Name/Signature
Date
NAVFAC [COMPONENT]
Name/Signature
Date
Name/Signature
Date
Name/Signature
Date
[DESIGNER OF RECORD]
Name/Signature
Date
Name/Signature
Date
[CONTRACTOR]
Name/Signature
Date
Name/Signature
Date
[SUB-CONTRACTOR/CONSULTANT]
Name/Signature
Date
Name/Signature
Date
NAVFACINST 11013.40B
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18 Enclosure (1)
Section III. Partnering
This structured Partnering Agreement establishes the composition and processes for a
collaborative, successful outcome-focused team with shared interests to achieve project success
with mutual benefits to all. This Partnering Agreement does not replace the terms and
conditions of the contract but will empower team members to identify risks and solve problems
at the lowest possible organizational level. All stakeholders in this Agreement are committed to
a successful partnering arrangement with the following attributes:
Active participation of key stakeholders;
Alignment of common goals, objectives and agreement team performance
Shared accountability for project outcomes;
Collaboration on risk mitigation strategies identified by all stakeholders
Open communication and active listening, especially on challenges to progress;
Acceptance by all parties to maintain and improve the partnering process;
A personal commitment by every team member;
An expedited process for issue identification and resolution.
Section IV. Key Project Stakeholders
The following stakeholders have significant responsibilities in project success during the
construction phase and will participate actively in construction-phase partnering:
[SUPPORTED COMMANDER ORGANIZATION]
[KEY STAKE HOLDER ORGANIZATION]
NAVFAC [COMPONENT]
[DESIGNER/ARCHITECT-ENGINEER]
[CONTRACTOR]
Section V. Partnering Process Elements
Project
Governance
Structure
Leadership
Alignment
Session
Project Kick-Off
Meeting
Joint Project
Goals / Charter
Team
Performance
Evaluation
Surveys
Executive
Summary
Dashboards
Quarterly
partnering
Sessions
Leadership
Action Item
Management
NAVFACINST 11013.40B
26 Oct 2020
19 Enclosure (1)
All stakeholders agree, throughout the life of the project to participate in facilitated partnering
sessions to identify critical issues. The following graphic and table represent a simplified
illustration of the process and meeting frequency.
Regularly Scheduled Partnering Meetings
Partnering Session
Frequency
Partnering Planning Session(s)
Once / Additional
Meetings As Needed
Stakeholder Leadership Alignment / Kick-Off
Once
Team Performance Evaluations
Quarterly
Big Room Partnering Discussion with End-User Entities
Semi-Annually
Specific Construction Based Partnering Session (e.g.
Commissioning)
As Needed
Project Debrief
Once
Section VI. Project Governance Structure
All stakeholders that are signatory to this construction phase partnering agreement establish a
five-tiered governance structure to provide effective communication, accountability, visibility
and transparency, understanding, timely decision-making, and issue identification and resolution
at the appropriate levels. The governance tiers will identify and resolve issues quickly at the
lowest appropriate level. When an issue cannot be resolved in a timely fashion, it will quickly be
escalated up to the next leadership level for resolution with no or minimal impact to the project.
Out of cycle ELT and SLT meetings will be organized to discuss and resolve topics that are
time-sensitive and need immediate attention.
The following are the leadership tiers:
Project
Award
Start of Major
Project Activity
Project
Debrief
Alignment /
Kick-Off
Partnering
and Planning
Quarterly
Partnering
Sessions
NAVFACINST 11013.40B
26 Oct 2020
20 Enclosure (1)
1. Senior Leadership
Review Group
(SERG)
Composed of senior leaders of [SUPPORTED COMMANDER
ORGANIZATION], NAVFAC [COMPONENT], and other
Government entities. Provides program and project oversight during
design and construction.
2. Senior Advisory
Group (SAG)
Composed of senior leaders of the [SUPPORTED COMMANDER
ORGANIZATION], NAVFAC [COMPONENT], and other
Government entities. Provides program and project oversight during
design and construction.
3. Senior Leadership
Team (SLT)
Composed of senior executive leaders and principals from all
stakeholders. This team is responsible to address and solve
significant issues that cannot be solved by the lower governance
teams.
4. Executive
Leadership Team
(ELT)
Composed of stakeholder senior leaders. This team is responsible
and accountable to make decisions and apply resources to solve
problems that rise above the typical day-to-day management of the
project. To ensure continuity of communication and briefing details,
one individual from each stakeholder team will be a member of both
the ELT and the SLT.
5. Project Leadership
Teams (PLT)
The working level teams assigned to each major project component.
This is the level where the typical day-to-day project management
and construction efforts are performed. To ensure continuity of
communication and briefing details, one individual from each
stakeholder team will be a member of both the PLT and ELT.
Governance Teams Roles and Responsibilities:
Governance Level
Members
Role in the Governance Level
Meeting
Frequency
SERG
Government
Provides sponsor level decision-
making and resources
Monthly
SAG
Government
Provides program level
decision-making and resources
Quarterly
SLT
Government /
Business Leadership
Resolve major issues
Forward looking to anticipate
and plan for potential issues
Participation on the SAG and
SERG for [SUPPORTED
COMMANDER ORG] and
NAVFAC [COMPONENT]
Quarterly
ELT
Project Principals /
Executive Leadership
Resolve escalated issues
Ensure project is managed
appropriately through KPI's,
performance, risk registers, etc.
Monthly
NAVFACINST 11013.40B
26 Oct 2020
21 Enclosure (1)
Develop efficient processes and
incentivize stakeholders to make
continuous improvements
Seek opportunities to better the
project and identify cost and
schedule impacts
SAG and SERG participation as
requested for status briefings
PLT
Project Leaders
Manage project
Identify and resolve critical
issues
Weekly
Tier participants, as identified by ELT leadership, are listed in an annex to this agreement. All
stakeholders agree to ensure individuals are actively participating in the SLT, ELT and PLT for a
successful project outcome. The ELT will also facilitate the development of stakeholder
responsibilities, layered decision-making and timeliness/response times needed for each tier to
operate in the most effective manner.
All stakeholder entities are responsible to ensure they have properly staffed their teams. The
PLT will openly discuss staffing needs and shortcomings at their weekly meetings. If the
necessary adjustments cannot be made by the PLT, then staffing concerns will be elevated to the
ELT for resolution. NAVFAC agrees to a dedicated team comprised of the following disciplines
[AS APPLICABLE]:
Construction Managers ([# ON-SITE, offsite])
Construction Engineers ([# ON-SITE, offsite])
Engineering Technicians ([# ON-SITE, offsite])
Schedulers ([# ON-SITE, offsite])
Design Managers ([# ON-SITE, offsite])
Cost-Schedule-Risk Analysts/Engineers ([# ON-SITE, offsite])
Other ([# ON-SITE, offsite])
Post-award contracting (1102) support is provided by the contract specialists at NAVFAC
[COMPONENT] with reach back capabilities to NAVFAC [COMPONENT] Acquisition Core as
needed to resolve/expedite proposed changes and contract modifications that may impact the
critical path. AE assets will be available [ON-SITE vs. REMOTELY] to facilitate RFI/submittal
reviews as well as support periodic site visits and commissioning requirements.
All stakeholders will strive to limit turnover of key personnel to maintain project history,
knowledge, and consistency in team membership.
The escalation matrix, also known as an “issues resolution ladder,” is a chart that clearly
identifies key Government and Contractor decision makers and counterparts (by name), and
durations at all Echelons. Project success is largely dependent on the team’s ability to make
timely decisions. The matrix will be created to ensure difficult issues are adjudicated in a timely
fashion and at the proper levels. Issues that can not be resolved are “escalated” to higher level
decision makers.
NAVFACINST 11013.40B
26 Oct 2020
22 Enclosure (1)
The team agrees to conduct executive partnering sessions [MONTHLY vs. QUARTERLY vs.
AS NEEDED] to track and ensure resolution of issues.
Section VII. Alignment of Project Goals
Stakeholder goals and objectives are intended to involve each stakeholder entity into the process
to identify needs and concerns, and goals and objectives. Stakeholder goals and objectives may
change during the life cycle of the project and should be reassessed regularly.
The initial stakeholder leadership alignment session reviewed organizational priorities, key
risks/concerns, “hidden forces”, expectations, and key issues/critical focus areas. As a result,
and as determined by the PLT and ELT the goals for this project and the measures of success
will be:
To deliver all construction activities called forth in the project within the budgeted
amounts provided
To achieve beneficial occupancy for portions of the new facilities at or before the
operational need dates provide by the [SUPPORTED COMMANDER
ORGANIZATION] and included in the critical path chart attached to this agreement
To support the installation of security equipment and other government activities within
the critical path time schedule attached to this agreement
To achieve the Eight Guiding Principles Working as “One Team” as identified in the
Charter attached to this agreement
To ensure Environmental compliance and stewardship requirements are met.
Section VIII. Charter
The Charter (attached) establishes project stakeholders' commitment to work together as a team
for a successful outcome by defining the project mission, establishing what success “Looks
Like”, outlining joint project goals, and setting targets. The charter does not change the terms of
the project participants’ contractual obligations and is not a contract in itself.
Each stakeholder entity and individual member by signing this agreement has committed to the
partnering process and working together as "One Team" for success. The charter will be
BASELINE
NAVFAC
Decision Support
NAVFAC CONTRACTOR CUSTOMER RISK
LANT/PAC COM Corp Pres/Owner/CEO TYCOM - Flag Extreme
LANT/PAC OPS Exec/Regional VP/COO TYCOM - O6 Very High
FEC OPS or CO Senior/Exec/Regional VP Bill Payer/User CO High
PWO/DPWO/FMD Senior VP ICO/Local User OIC Moderate
Supv. CS/KO PMEB/FEAD Senior PM/GM User PM Moderate
DM, PM, CS, Planner CM PM User POC Low
ET QC Manager/Superintendent User POC Low
(pre-award) DM AE DM User POC Low
(pre-award) PLANNER Use POC Low
ESCALATION LEVELS
Typical Engagement Level
NAVFACINST 11013.40B
26 Oct 2020
23 Enclosure (1)
reviewed regularly to identify any problem areas with the goal of maintaining all parties'
commitment to the partnering process and to ensure a collaborative stakeholder relationship.
Section IX. Risk Assessment
The stakeholders have developed a Consolidated Risk Register to identify project risks
encompassing all stakeholders - not just issues - and includes consideration of direct and indirect
risks, immediate and long-term risks, organizational and personnel risks, funding and approving
risks, regulatory compliance, etc.
To best mitigate risks that have the potential to negatively impact intended outcomes,
stakeholders will develop mitigation plans and assign responsible stakeholder(s), with the intent
to review and manage risk regularly. Current known and anticipated risks are categorized below
on an initial risk matrix which will be utilized across Leadership Teams. Mitigation strategies
and identification of responsible stakeholders will be updated accordingly. The ELT shall
regularly review, manage, and update the provided risk register based upon input from the PLT
and SLT. A briefing to include the addition and reduction of risks will be prepared for the SLT
and reviewed during follow-on partnering meetings.
RED = High
Likelihood, High
Impact;
YELLOW = Medium
Likelihood, Medium
Impact;
GREEN = Low
Likelihood, Low
Impact
Corresponding Risk Register: Known Risks to Date
3
8
16
15
4
5, 17,
18
NAVFACINST 11013.40B
26 Oct 2020
24 Enclosure (1)
No.
Risk
Risk Level
Impact
Score
Mitigation
Responsible
Stakeholder
3
Surcharge Wait Period
Yellow (9)
Additional
Data / Early
Analysis
[ORGANIZATION]
4
Outfitting Schedule
Green (4)
5
MDE Fuel System Changes
Green (4)
8
Unsuitable Soils (Apron)
Green (4)
15
Cybersecurity ATO
Green (4)
16
FY20 NDAA AFFF
Red (25)
Investigate
Alternatives
[ORGANIZATION]
17
Admin Envelope Critical Milestone
Date
Green (4)
18
Hangar Envelope Critical Milestone
Date
Green (4)
Section X. Risk Mitigation
In order to meet the goals outlined above and to address specific risks, the stakeholders have
identified the following processes (Issues and Commitments) to focus the attention of the
Governance Board on risk mitigation efforts.
1. Integrated Master Schedule – To Include Activities, Access, Certifications, etc. Prior to
Beneficial Occupancy
Issue
The attached comprehensive construction schedule will allow for a review of
support contractor activities/operations and government/other stakeholder related
activities to include submittal reviews, inspections/tests, certifications, permit
approvals, and utility outages. The schedule will also facilitate advanced
planning/recurring review to ensure all critical activities (for the project, not just
construction) are accounted for and proceeding as scheduled.
Known special inspections include structural steel/bolting, welding, steel framing,
concrete, masonry, site/soil foundations, fire resistant penetrations/joints, and
smoke control. Critical path acceptance/performance verification tests include
TABS, mechanical, electrical, fire protection/alarm, and communication systems.
Commitment
The approved Baseline (and subsequent progress updates of the) Network
Analysis Schedule incorporates all procurement, Construction Quality
Management (CQM), construction, HVAC/DALT/TAB/PVT, commissioning,
NAVFACINST 11013.40B
26 Oct 2020
25 Enclosure (1)
government, and turnover/closeout activities (including NAVFAC Red Zone
Facility Turnover Meeting – listed as Activity ID: MILE108).
The three week look ahead schedule provided at the weekly Quality
Control/Production meetings shall be reviewed by the respective PLT members
and subsequent updates will ensure upcoming outages, closures, tests, and critical
path activities are tracking and communicated to a higher level if not. Monthly
ELT agenda will include a schedule status review and take into consideration any
follow-on outfitting and operation/maintenance needs post-BOD so that those
may be coordinated accordingly.
2. Change Orders / REA Reviews
Issue
The stakeholders agree that untimely resolution of proposed changes can impact
performance of critical path activities, environmental compliance, and ultimately
the planned completion date.
Commitment
Government will strive towards a processing time of [PROCESSING TIME]
calendar days from [“date Government is notified in writing of potential changed
condition” vs. “receipt of valid contractor proposal”] to execution / issuance of
typical contract modification(s). Modifications that potentially impact the critical
path (and identified as such) will be expedited to the fullest extent possible with
the minimal amount of environmental impact.
Technical support will be leveraged by the NAVFAC DM (either in-house or via
the AE) to provide on-site support (where possible) in validating the proposed
change/scope and providing an independent Government estimate.
If funding approval (internal to the Government) is causing a delay to proceed
with negotiations, the issue will be elevated immediately to the respective
Leadership Team member(s) for resolution. Collectively, all team members will
strive towards a goal of zero requests for equitable adjustment (REAs) or claims.
3. RFI's and submittal reviews
Issue
The stakeholders have agreed that RFI and submittal review times will impact the
performance of critical path activities particularly as it relates to procurement and
installation. Standard contractual review periods may be sufficient for non-
critical activities, but prolonged reviews/resubmittals can quickly create a backlog
and/or consume available float on previously non-critical activities. Not every
RFI or submittal should be treated as high priority – critical path, but for the ones
that are, special attention needs to be provided to turn around as soon as possible.
Commitment
RFIs and submittals will be treated as either “typical” or “high priority – critical
path” and annotated as such on the respective form. Typical RFI and submittal
review times will be in accordance with the contract (with the intent to still target
an earlier review time whenever possible), while high priority – critical path
NAVFACINST 11013.40B
26 Oct 2020
26 Enclosure (1)
review times will have a turnaround goal of no more than seven calendar days (or
sooner if necessary).
Clear, direct communication will be provided from the contractor’s Project
Manager/QC Manager to the Government CM (and/or AE) on those
RFIs/submittals that require special handling and/or considered the most urgent.
Status of critical RFI/submittals will be reviewed at weekly contractor QC
meetings with Government staff. Regardless of the criticality of the submittal,
Govt/AE (with facilitation from NAVFAC DM as necessary) will strive to
resolve missing or incorrect information with the contractor via phone or other
collaborative means to reduce the number of resubmittals (and restarting the
clock).
Contractor will ensure appropriate QC of technical submittals is performed prior
to submitting for review with a goal of less than 10% of submittals requiring
resubmission.
4. Critical Path (Including Any Government Furnished Equipment and Long Lead Time
Equipment Approval/Delivery)
Issue
Clear identification and constant awareness of the critical path for the project is
paramount in realizing impacts of potential delays and coordination of related
activities.
Commitment
The stakeholders agree that if the critical path (identified in the approved baseline
schedule) changes, Contractor will immediately communicate status to the
Government. This includes any anticipated delays associated with long lead time
equipment/materials (such as to structural steel, wall panels, decking, hangar door
assembly, switchgear, transformer, generators, and bridge crane).
Additionally, if any proposed changes as well as any Contractor caused delays
have a potential to impact the planned completion date, notice will be provided to
the PLT and subsequently elevated to the ELT and SLT for awareness and burn-
down strategies. As mentioned previously, schedule review will be included as a
monthly ELT agenda topic
5. Security and Installation / Site Access
Issue
Due to the [SECURITY ISSUE], coordinated contractor access and site security
are paramount to the success of planned construction and airfield operations.
Commitment
Stakeholders will develop a formal security plan to be attached to this agreement.
Subsequent (security) coordination meetings to reconfirm mutual understanding
and/or address deficiencies in the plan or procedures may be requested by any
party to ensure all security protocols (and impacted activities) are corrected as
needed. Conflicts in site security that cannot be resolved at the PLT level will be
NAVFACINST 11013.40B
26 Oct 2020
27 Enclosure (1)
escalated as appropriate to ensure timely resolution. In the event Base threatcon
levels are elevated unexpectedly, Base Security Forces will meet with the
contractor team and NAVFAC as soon as practical to reduce impacts to
contractor access to the extent possible.
6. Red Zone
Issue
While NAVFAC Red Zone is typically accomplished at approximately 75%
completion or within six months of anticipated BOD, whichever comes first, the
stakeholders note that this may not be soon enough given the criticality of the
completion date.
Commitment
The stakeholders agree that the Facility Turnover Planning Meeting will occur in
accordance with the integrated master schedule once all checklist activities are
identified and linked to construction activities to ensure expeditious closure and
turnover including demobilization and delivery of as-builts/training/eOMSI
information.
NAVFAC will provide a copy of the NRZ Checklist template and collaborate
with the contractor and other stakeholders to support finalization of the checklist
as soon as practical (with a goal of not later than December 2020).
Contractor superintendent will lead regular NRZ meetings upon Government
acceptance of the NRZ checklist to discuss POAMs, critical activities, and any
activities requiring Government involvement until BOD is established. As
necessary, elements of the NRZ checklist requiring higher-level
awareness/engagement will be discussed at quarterly Partnering follow-on
sessions (or at the ELT whichever is more appropriate).
Section XI. Metrics and Communication
Key Performance Indicators (KPI)
The stakeholders have agreed to use post award Key Performance Indicators to assess project
performance during the construction phase with an end goal of avoiding impacts to mission
requirements. The stakeholders agree to adopt related standard NAVFAC KPIs for the following
items to be displayed on a high-level project metric dashboard for the monthly ELT meeting:
RFI/submittal processing time,
modification processing time,
number of outstanding non-compliance notices,
partnering team health surveys, and
on-time index (via schedule variance control diagrams)
The project stakeholder team will utilize metrics to communicate KPIs and risk and use this
information to discuss status, areas that need stakeholder support, and seek opportunities to
better the project. ELT members will be responsible to determine the KPI's most helpful to
achieve successful delivery within 60 days of construction award and updated quarterly.
NAVFACINST 11013.40B
26 Oct 2020
28 Enclosure (1)
The stakeholders agree to review the list of KPIs at ELT meetings and to add or subtract KPIs
based on emerging risks and concerns during construction.
Executive Summary Dashboard
Should the ELT direct, a high-level project metric dashboard will be developed to communicate
project metrics on a monthly basis to include:
Key Milestone Dates
Critical Path, Long-Lead Items, and Government Furnished Equipment
Major Equipment
Safety Statistics
Non-Compliance Notices
Earned Value Reports Illustrated through Schedule Variance Control Diagram (actual vs
planned)
Manpower Trend Reports
Request for Information (RFI) and Submittals Processing Time
Modification Processing Time
Small Business Progress
Consolidated Risk Register
Team Health Survey Results
Contractor Evaluation of NAVFAC Project Delivery Team (“Reverse CPARS” or “Team
Health Survey”)
The “Reverse CPARS” is tool for contractors to informally assess NAVFAC performance at the
initial and follow-on partnering sessions. This form may also be used jointly for the team
performance evaluation.
Contractor Evaluation of NAVFAC Project Delivery Team
Legend Score
Exceptional
5
Very Good
4
Satisfactory
3
Marginal
2
Unsatisfactory
1
N/A
EVAL 1 DATE EVAL 2 DATE TREND TEAM COMMENTS
STANDARD FACTORS
Select Score Select Score
Quality
Timely review of Contractor's Quality Control (QC) Plan and/or Design Quality Control (QC) Plan
Timely review of Contractor's Technical Submittals and Shop Drawings
Timely review of Contractor's Technical Submittals and Shop Drawings
Schedule
Timely review of Contractor's proposed construction schedule
Mitigates changes (e.g. customer-requested changes) that impact Contractor's construction schedule
Cost Control (N/A for Firm-Fixed Price Contracts)
Mitigates changes (e.g. customer-requested changes) that impact Contractor's construction cost
Management
Timely review of Contractor's Requests for Information (RFIs)
Professional conduct of NAVFAC personnel
Timely processing of Contractor's invoices
Utilization of Small Business
NAVFAC is engaged and provdies timely input and feedback with Small Business Plan implmentation
Regulatory Compliance
Timely review of certified payrolls (Davis Bacon Wages)
OTHER FACTORS
Safety
Timely review of Contractor's Safety Plan
Engagement with Contractor's Safety Program
Design Performance (Design Build)
Collaboration of Contractor's designs, plans, and specifications
Timely reviews of Contractor's designs, plans, and specifications
Section XII: Identify Issues and Take Action
Quarterly Partnering Sessions
The following are key components of the quarterly partnering sessions:
NAVFACINST 11013.40B
26 Oct 2020
29 Enclosure (1)
Project status update
"Thanks and Kudos" to recognize good work done to-date
Identify critical issues to address
Team Performance Evaluation results review
Review + Update Action Items from previous sessions
Develop Leadership Action Items
Leadership Action Item Management
The Path Forward Action Items list of critical issues will be discussed at each partnering session
to review action items identified at the prior meeting to close as completed, determine additional
steps needed to resolve the issue, or escalate it to a higher level. Elements of the NAVFAC Red
Zone checklist, as applicable, will be integrated into the action items particularly as it relates to
special inspections/acceptance tests, any extensive or intricate coordination efforts including
outfitting, and performance verification/building commissioning requirements to facilitate
comprehensive and expeditious turnover and closeout of the project. The following information
will be captured on the Path Forward Action Items List:
Capture actions that work to resolve critical issues
Assign point person
Set resolution date
Within a week after the Quarterly Partnering Meeting, the Facilitator will update and distribute
the action items generated during the session to the team for completion.
Opportunities for Improved Performance
Throughout the project, all stakeholders - entities and individuals - are encouraged to identify
areas of improvement to processes, communication, safety, teamwork, moral, etc. The One
Team is also incentivized to seek opportunities to improve the project schedule to lessen the
impact on follow-on work after construction delivery. These proposals should be discussed
within the ELT and SLT leadership and include cost and schedule impacts.
Section XIII. Measure Stakeholder Team Performance & Feedback
Team Performance Evaluations
The stakeholders agree to use Team Performance Evaluation to periodically review how the team
is functioning. The stakeholders agree that a successful TPE deployment will include:
Administration by the Partnering Facilitator;
Confidentiality to allow participants freedom to communicate issues and concerns
without fear of recourse;
Honest assessment of the other stakeholder entities (stakeholders cannot evaluate
themselves);
Commitment by stakeholders to actively participate in completing the TPE and
participating in the TPE discussion meeting;
Transparency for all scores and comments will be provided for review and discussion.
NAVFACINST 11013.40B
26 Oct 2020
30 Enclosure (1)
The stakeholders agree that TPEs will occur every quarter for early identification of critical
issues and relationship difficulties between stakeholders before they become significant
challenges.
The TPE questionnaire is developed and agreed upon by the stakeholder team based on the
charter, goals, and objectives. Once finalized, the same TPE template will be used for all
subsequent sessions. The TPE will be issued by the Partnering Facilitation team 2-3 weeks
ahead of the TPE review meeting. The week prior to the TPE review meeting, the Partnering
Facilitation Team will collect and prepare a packet for the facilitated discussion to include:
High-level summary
Compiled scores for each section and sub-question
All comments collected
A 2-3 hour facilitated discussion will
focus on the areas where the TPE has
indicated concerns and capture Path
Forward Action Items with issue leads,
assisting team members, and dates for
completion. A Path Forward Action
Items Report will be distributed to the
stakeholder group within five (5)
business days. Future TPE Review
Meetings will include a review of the
previous Path Forward Action Items to
capture updates and issue closure.
The TPE process and review meetings
are a stand-alone function separate from
PLT, ELT, SLT and regular project
meetings. Diluting this effective tool will
result is subpar results.
TPE Quarterly Check-In
1. Team Performance Evaluation
Questions are agreed upon by stakeholders and
created from charter, goals, hidden issues, etc.
2. Advance Planning (2 weeks prior to session)
Meeting attendee list, venue & logistics
finalized
TPE survey distributed to recipients
3. Session Preparation (in week prior to session)
Reminder sent to recipients
Survey results compiled and report developed
4. Quarterly Partnering Session
TPE results reviewed in Quarterly Check-in
Action Items developed to respond
TPE adjusted as necessary
5. Follow-up (week following session)
Action items generated in session are
distributed to the team for completion
Section XIV: Project Debrief Session
At the conclusion of the project, the Partnering Facilitator will lead a project debrief discussion.
Topics discussed are:
Review project performance
Analyze decisions and outcomes
Self-identification of top areas of improvement
Constructive feedback round-robin
Identification of top areas for future situational improvement
NAVFACINST 11013.40B
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31 Enclosure (1)
APPENDIX C. Formal Partnering Charter Template
[IF DESIRED, ADJUST TO PAPER SIZE 11X17 OR OTHER SIZE. GUIDING PRINCIPLES OR GOALS SHOULD BE TAILORED TO THE PROJECT]
[PROJECT TITLE]
Project Team Mission and Partnering Charter
We will Achieve these Eight Guiding Principles Working as “One Team”:
Mission-Oriented
Mission First, Always.
Put the requirements of the Mission first before the goals and requirements of any one organization or individual.
Keep the evolving requirements of the Mission and stakeholders in focus, including both current operational needs as well as future mission
requirements.
Safety and
Security
Complete Security and Safety for the Mission, Stakeholders, Workers and Staff.
Strive for No Lost -Time Incidents.
Achieve DART Goals: Strive for an injury and accident-free performance, with a target DART of [DART GOAL].
Meet all environmental compliance requirements – i.e. no unauthorized environmental impacts or non-compliance notices.
Ensure Security by developing and approving a written, formal Security Plan protecting the Mission, stakeholders, workers and site.
Financial
Project Delivered within Authorized Funding
Strive to minimize end-user requested changes to keep the project on budget and schedule.
Ensure timely funding and issuance of modifications to maintain availability of contractor capital for sub-contractor and construction activities
Quality
Highest Levels of Functionality, Reliability, and Quality.
Encourage and respond to Value Engineering proposals to ensure active and continuous evaluation of the quality of work.
Reliability: Plan and execute a strong Commissioning program to ensure full system performance.
Timeliness
Operational Readiness and Speed-to-Mission.
Enhance the Schedule: Assess and propose opportunities within 60 days of construction start to improve the project schedule to achieve on-
time, or better, BOD and avoid negative impacts.
Identify “High Priority – Critical Path” Items within 30 days of construction start. Critical items are defined as any issue that has the potential
to cause negative impact to the schedule. RFI’s, submittals, risks, change orders, etc. deemed critical will be clearly categorized as such.
Efficient and Timely Submissions and Reviews: Implement a sound, efficient, effective, and timely process. For critical RFI’s, submittals, and
key decisions, the “One Team” will strive for a seven (7) calendar day turn-around. The PLT will ensure the appropriate subject matter experts
are assembled to discuss and resolve concerns.
Escalation Ladder: If the PLT is not able to reach a resolution between regularly scheduled meetings, the issue will be elevated to the ELT and
discussed at the monthly meeting. Any concern that is within 30 calendar days of impacting the critical path will be immediately elevated to
the SLT for resolution within a targeted seven (7) calendar days.
Decision Making
and Problem
Solving
Drive Efficient Decision Making: a tiered and focused governance structure will push decision-making and problem solving to the lowest
levels. There will be five (5) tiers consisting of a Project Leadership Team (PLT), Executive Leadership Team (ELT), Senior Leadership Team
(SLT), SAG and SERG. These working tiers will meet regularly: PLT: every two (2) weeks; ELT: monthly; and SLT: quarterly. Out-of-sequence
meetings will convene to discuss and resolve critical issues that may negatively impact the schedule or budget.
Aggressive Risk Identification and Mitigation: One (1) risk matrix will be used by the PLT, ELT and SLT for consistency in reporting and
mitigation plan development. Risks will be identified at all levels with the expectation the PLT will develop and implement a mitigation plan.
The PLT, ELT, and SLT will review the risk matrix at every meeting and propose the deletion, addition or change in status of each risk item.
Relationships,
Communication,
and Trust
One Team Integration and Exceptional Teamwork.
Be Engaged: Be prepared, on time, present, and focused. Listen actively.
Be Accountable: Take full ownership, honor commitments, and be disciplined about follow-through.
Maximize the Collective Expertise: Foster creative ideas by listening to each other and fully leveraging the strengths and talents of all team
members.
Pride and
Satisfaction
Recognition as a Highly Functioning Project Delivery Team.
Great Team Experience: Make the project experience so positive, rewarding, successful and fun that our respective entities will be enthusiastic
about working together again.
Celebrate Success: Recognize and appreciate the efforts and accomplishments of teammates and the team overall. Take time to celebrate
success.
Professional Growth: Support the professional growth and development of all team members, making the project a singular and truly
formative professional experience for all.
Exceptional Performance: Achieve “Exceptional” CPARS ratings for the Designer and Builder and, rewards and recognition for the government
entities.
National Partnering Award: Win the Associated General Contractors' Marvin M. Black Excellence in Partnering Award.
Project Mission
The [PROJECT TITLE] project is intended [PROJECT SCOPE]. [FACILITY] and is mission critical to the command and control capabilities in the defense of our Nation
by providing a modern and secure facility and infrastructure for effective and efficient operation, maintenance and support functionality.
NAVFACINST 11013.40B
26 Oct 2020
32 Enclosure (1)
APPENDIX D. Index
AIC/EIC: Architect-In-Charge/Engineer-In-Charge ................................................................... 16
AKA: Also Known As ................................................................................................................. 11
BCA: Business Case Analysis ....................................................................................................... 8
CBB: Collaborative Bid-Build ..................................................................................................... 10
CEO: Chief Executive Officer ..................................................................................................... 16
CII: Construction Industry Institute® ............................................................................................ 3
CO: Commanding Officer............................................................................................................ 16
COM: Commander....................................................................................................................... 16
COO: Chief Operating Officer..................................................................................................... 16
Corp: Corporate ........................................................................................................................... 16
CPARS: Contractor Performance Assessment Reporting System............................................... 28
CR: Cultural Resources.................................................................................................................. 8
DB: Design-Build ........................................................................................................................ 12
DBB: Design-Bid-Build............................................................................................................... 12
DCA: Design and Construction Agent .......................................................................................... 7
DD: Department of Defense (i.e. form) ......................................................................................... 8
DM: Design Manager .................................................................................................................... 8
DPWO: Deputy Public Works Officer ........................................................................................ 16
ECI: Early Contractor Involvement ............................................................................................. 10
eCMS: Electronic Construction Management System ................................................................ 15
ET: Engineering Technician ........................................................................................................ 16
EUL: Enhanced Use Leases ........................................................................................................... 5
EVBL: Environmental Business Line ............................................................................................ 8
FDA: Final Design Authority ........................................................................................................ 8
FEAD: Facilities Engineering and Acquisition Division .............................................................. 6
FEC: Facilities Engineering Command ......................................................................................... 5
FSC: Facility Support Contracts .................................................................................................... 5
FYDP: Future Years Defense Program .......................................................................................... 9
Ktr PM: Contractor Project Manager ........................................................................................... 16
LANT: NAVFAC Atlantic .......................................................................................................... 16
MMPA: Marine Mammal Protection Act ...................................................................................... 8
MND: Mission Need Date ............................................................................................................. 7
N4: Deputy Chief of Naval Operations for Fleet Readiness and Logistics ................................... 9
NEPA: National Environmental Protection Act ............................................................................ 8
NHPA: National Historical Preservation Act ................................................................................ 8
O&M: Operation and Maintenance ............................................................................................... 4
OPNAV: Office of the Chief of Naval Operations ........................................................................ 9
OPS: Operations Division .............................................................................................................. 5
PAC: NAVFAC Pacific ............................................................................................................... 16
PADS: Post Award Design Support ............................................................................................ 13
PCAS: Post Construction Award Services .................................................................................. 13
PCO: Procuring Contracting Officer ........................................................................................... 16
PCs: Proposed Changes ............................................................................................................... 13
PDA: Preliminary Design Authority .............................................................................................. 8
PDT: Project Design Team ............................................................................................................ 8
NAVFACINST 11013.40B
26 Oct 2020
33 Enclosure (1)
PM: Project Manager ..................................................................................................................... 8
PMEB: Project Management and Engineering Branch ............................................................... 16
PMP: Project Management Plan .................................................................................................. 11
POM: Program Objective Memorandum ....................................................................................... 9
PPV: Public-Private Ventures ........................................................................................................ 5
Pres: President .............................................................................................................................. 16
PWD: Public Works Department ................................................................................................... 7
PWO: Public Works Officer ........................................................................................................ 16
QC: Quality Control ..................................................................................................................... 16
Reg’l: Regional ............................................................................................................................ 16
Reps: Representatives .................................................................................................................. 16
RFIs: Requests for Information ................................................................................................... 13
RFP: Request for Proposal ........................................................................................................... 12
ROICC: Resident Officer in Charge of Construction .................................................................. 16
SGE: Supervisory General Engineer ........................................................................................... 16
SSHO: Site Safety and Health Officer ......................................................................................... 16
SubKtr: Sub-Contractor ............................................................................................................... 16
USACE: U.S. Army Corps of Engineers ....................................................................................... 4
VP: Vice-President....................................................................................................................... 16
