NAVFACINST 11013.40A

Attachment D: Sample Partnership Rating Form
(To be used at every follow-on session)

Date
(Contract number, project title)
Ratings:
1 - Adversarial, forcing, avoidance, self interest
2 - Barely cooperating, still one-sided interests
3 - Accommodating, compromising, moderate positions
4- Pulling together, exchanging information, open communications
5 - Synergistic, collaborative, win-win, team interest

PARTNERING FACTORS RATING

1. Communications
a. Open, honest, timely
b. Active, empathetic, timely
c. Number and tone of letters
2. Problem solving
a. Win-win synergistic
b. Solved at lowest level
c. Immediate escalation when not responsible
3. Overall trust / candor
4. Progress on goals

OVERALL RATING

Key issues:

Attachment D

18


NAVFACINST 11013.40A

facilitator’s background, a pre-session brief is desirable to familiarize the facilitator
with the particulars of our processes. Both the ROICC and the Contractor should
present the pre-session brief to the facilitator. Select a variety of facilitators to avoid
the appearance of preferential treatment.

5. Follow-on: Once you start the partnering process, you need to keep the ball rolling.
Meet regularly and gather insight into the partner's successes and failures for future
reference.

6. Observe Standards of Conduct: Although we are trying to develop a better
relationship with our Contractors during partnering, we must always observe the
bedrock standards of conduct. Do not accept or encourage gifts, gratuities, or
fraternize with Contractors in a way that might be viewed by the public as a conflict of
interest. Partnering is not a license to break rules. Be particularly sensitive to the
selection of the meeting facility and location to avoid the appearance of misuse of
funds.

7. Realistic Expectations: Do not expect partnering to be a panacea. Partnering a
contract does not mean that the Contractor should be expected to perform anything
for free, nor does it mean that every change that the Contractor might suggest will
result in additional funding to the contract. Partnering is a tool that is available to
help us perform better. Partnering does not replace the contract documents.

8. Buy-in: Make sure that all partnering agreements made by the various sub-groups
are submitted to the entire partnering group for adoption and that they conform to the
requirements of the contract. Confidential agreements work against trust among the
stakeholders.

9. Communicate openly with all stakeholders and ensure that the current status of the
partnership is known by all.

10. Review the partnering process at the end of the project and provide feedback to all
stakeholders for future improvements (i.e. was the partnering successful or was it
merely “lip service”).

f. The Benefits of Partnering

There are many benefits that result from partnering, some tangible and some intangible.
A few are mentioned here:

1. Reduced costs and exposure to claims

2. Timely delivery due to improved responsiveness and efficient utilization of resources
3. Expedited decision making with issue resolution process

4. Improved safety

5. Reduced rework and improved quality of product

6. Improved responsiveness

7. Joint evaluation process of the partnership

8. Periodic evaluation of all stakeholder’s performance of each other

9. A final performance appraisal that is no “surprise”

10. Enhanced Client focus among all members of the projecVcontract team.

12


NAVFACINST 11013.40A

1. PARTNERING OVERVIEW AND GOALS

Partnering is a collaborative effort and a long-term commitment between two or more
organizations for the purpose of achieving specific business objectives by maximizing the
effectiveness of each participant's resources in delivering the Client's requirements. This
requires changing traditional “individualized” relationships to a “shared culture” relationship
without regard to organizational boundaries. The partnering relationship is based upon trust,
dedication to common goals, an understanding of each other's individual expectations and
values, and a full commitment to success. Benefits include improved communications,
efficiency and cost effectiveness, increased opportunity for innovation, and the continuous
improvement of product quality and services.

The NAVFAC Partnering System applies these concepts to the construction and Facilities
Support Contracts (FSC) delivery processes. By employing partnering in our contracting, we
seek to maximize the opportunity to achieve Client success. Client success is measured by
how well the project meets the Client’s operational requirements (“scope”), financial constraints
(“budget”), schedule constraints (“time”), and quality needs (“quality”), as well as meeting
everyone's desires to employ appropriate levels of Operational Risk Management (“safety”).

All NAVFAC FSC contracts and construction projects will include a provision for partnering.

2. NAVFAC PARTNERING SYSTEM

PARTNERING = MINDSET + COMMITMENT + PROCESS

The NAVFAC Partnering System involves a mindset, a commitment, and a process. The
mindset component of partnering is consistent, regardless of the contract or the project’s
characteristics. The commitment component ensures that the contract is completed to the
Client's requirements. The process component deals with the steps or activities that support the
Government-Contractor-Client partnership during performance under the contract. The
partnering process will vary depending on the characteristics (e.g. scope, value, complexity,
criticality, etc.) and needs unique to the specific procurement. Partnering does not begin or end
with the formal partnering sessions. It is a philosophy on how our business is managed through
the collaborative efforts of NAVFAC, the Contractor, the Client, the user, and our consultants.

a. Partnering Mindset

“Coming together is a beginning,
keeping together is progress,
working together is success."

-Henry Ford

The NAVFAC team has great influence over the outcome of the contract/project, the
level of Client satisfaction, and the success of the Contractor. The team members, who work in
the procurement delivery process, must maintain a mindset that is committed to the goals of
partnering. This means that the NAVFAC team must take the lead in working with the other
partners to remove unnecessary roadblocks that stifle success. To a great degree, this is


NAVFACINST 11013.40A

Attachment E: Sample Issue Resolution Ladder

Sample Issue Resolution Ladder

Other
Designer Client Contractor Stakeholders

-——> +;
Days

ed +> }¢——
Days

Insert stakeholder’s name and telephone number in box and fill
in the number of days each level can have to resolve an issue!

Attachment E

19


NAVFACINST 11013.40A

Attachment B (Page 2 of 2)

We, the undersigned, agree to make a good faith effort to undertake and implement the above
as applicable to each of us.

The Partners

Attachment B (Page 2 of 2)

16


NAVFACINST 11013.40A

The initial session can be held in conjunction with the pre-performance conference or as soon
as possible after the pre-performance conference but before contract work begins. See Initial
and Follow-on Partnering Session paragraphs for details.

Level C: (Generally, use this level for contracts with an annual contract value of less than $3
million.)

This level of partnering is an informal introduction to partnering concepts and benefits and will
be held in conjunction with the pre-performance conference. Senior Government and
Contractor stakeholders present will lead the discussion. Brief follow-on sessions should be
held, as needed, to discuss issues, resolve problems and provide feedback on Contractor
performance. See Initial and Follow-on Partnering Sessions paragraphs for details.

(2) Contract Partnering Solicitation Provisions

Based on the Contract Partnering Levels, the active participants on the
contract planning team will ensure one of the following contract provisions are in the solicitation.

Lead-in paragraph applicable to each of the three partnering levels paragraphs that follow:

To increase the likelihood of successful performance of this contract, the Government requires
cohesive partnerships with its Contractors and subcontractors. Key stakeholders, including the
Clients who will receive services, principal individuals from NAVFAC, the performance
assessment team, and representative(s) of the Installation(s) will be invited to participate in the
partnering process. Key members of the prime and subcontractors teams, including senior
management personnel, must participate. The partnership will draw on the strength of each
organization in an effort to achieve quality contract services done right the first time, within the
contract price, as scheduled, and without any safety mishaps.

Contract Partnering Level A
The initial session will be at least one-day in duration and the follow-on sessions, held at a

minimum of once every three months or as agreed to by the partners, will be at least a half-day
in duration. The initial partnering session should be held at a neutral location off the installation
that is acceptable to the Contractor and to the Government. Follow-on sessions may be held at
locations agreed to by both parties. The Contractor shall pay all costs associated with the
partnering effort including facilitator, meeting room, and other incidental items. Before the
partnering session, the Contractor shall coordinate with the facilitator the requirements for
incidental items (audio-visual equipment, computer(s), two easels, flipchart paper, colored
markers, note paper, pens/pencils, colored flash cards, etc.) and have these items available at
the partnering session. The Contractor will copy documents for distribution to all attendees.
The facilitator must be acceptable to both the Contractor and the Government. The participants
shall pay their own costs for meals, lodging, and transportation associated with partnering.

Contract Partnering Level B

The initial session will be at least a half-day to a full day in duration and the follow-on sessions,
held at a minimum once every six months or as agreed to by the partners, approximately a half-
day in duration. The partnering sessions should be held at locations agreeable to the partners.
A Government in-house facilitator will facilitate the partnering sessions at no cost to the
Contractor. The Contractor shall pay all other costs associated with the partnering effort
including meeting room, and other incidental items. Before the partnering session, the
Contractor shall coordinate with the in-house facilitator the requirements for incidental items
(audio-visual equipment, computer(s), two easels, flipchart paper, colored markers, note paper,
pens/pencils, colored flash cards, etc.) and have these items available at the partnering session.


NAVFACINST 11013.40A

consists of an initial session and follow-on sessions; see Initial and Follow-on Partnering
Sessions paragraphs for details.

Level B: (Generally, for projects with average risk and visibility, non-compressed schedule, and
a value between $3M and $5M)

This level of partnering requires an in-house facilitator, at no cost to the Contractor, who is not a
member of the ROICC team that will administer the contract. The facilitator could be an
employee of NAVFAC, another Government agency, or from a Contractor association. Should
an in-house facilitator not be available, a consultant/professional facilitator could be used. A
modification to the contract, to reimburse the Contractor for the expense for the consultant
facilitator, must be issued. If either the Client or the Contractor is new to NAVFAC, Level A
partnering should be considered even though the characteristics of the project may indicate
Level B. All project stakeholders will meet for an initial session of sufficient duration for
everyone to reach an understanding of the partnering principles, see Partnering Overview and
Goals. The initial session can be held in conjunction with the preconstruction conference or as
soon as possible after the preconstruction conference but before construction work begins; see
Initial and Follow-on Partnering Session paragraphs for details.

Level C: (Generally, for projects with a value less than $3M; i.e., delivery orders, task orders,
work orders, BPAs, and small contracts)

This level of partnering discusses partnering concepts and benefits. It should become a part of
the preconstruction conference. The senior ROICC and senior Contractor persons present will
lead the discussion. Brief follow-on sessions should be held, as needed, to discuss issues
relevant to the execution of the project, to resolve problems that have surfaced since the last
session, and to discuss Contractor performance; see Initial and Follow-on Partnering Sessions
paragraphs for details.

(2) Project Partnering Solicitation Provisions

The ROICC must be an active participant on the project planning team and
ensure that the requirement for partnering will be in the specifications. See UFGS 01310,
Administrative Requirements, latest edition, paragraph 1.15, PARTNERING, and select one of
the three paragraphs appropriate for the project.

(3) Project Partnering Administration

The AROICC/AREICC should contact the Contractor, Client, Installation,
designer-of-record, and FEC team to discuss implementation of partnering. Compensation to
the designer-of-record for participation may be appropriate and the expense therefore should be
borne by the party responsible for the project design; i.e. by the Government if the project is
Design-Bid-Build (DBB) or by the Contractor if the project is Design-Build (DB). Check with
NAVFAC Project Manager (PM) since the fees for participating in partnering may be included as
an option to the designer-of-record’s contract. When Level A or B partnering is specified,
commence discussions with the Contractor to select a facilitator and a location that are
acceptable to all partners. The initial session must be scheduled as soon as possible after
award of the contract. A partnership agreement, The Charter, should be in place as early as
possible so issues arising, even before work begins, can be resolved using the issues resolution
process. Replacement of Core Management Team members (stakeholders who attended the
initial session and manage the contract work day-to-day) is discouraged since it will disrupt the
synergy that has been developed. If repiacemeni of a team memiber proves io be unavoidable,


NAVFACINST 11013.40A

accomplished through effective communications, proactive contract administration, mutual trust,
honesty, integrity, cooperation, open-mindedness, and the courage to do the right thing. The
NAVFAC team has the responsibility to ensure that the contract terms are met, that the
Contractor is fairly compensated and evaluated, and that the Client fully participates as a
stakeholder in the partnership. All partners must always be treated fairly and with respect. We
believe our Contractor partners should make a reasonable profit and be successful so that they
can help us achieve Client success now and in the future. Legal and ethical principles are
never compromised in the administration of a contract.

b. Partnering Commitment

By preparing and signing the PARTNERING CHARTER at the initial partnering session,
the stakeholders commit to the stated, and agreed to, requirements; i.e., delivering a quality
product per the contract, delivering on time, staying within the available budget, protecting the
environment, minimizing inconvenience to the public, communicating openly and honestly on all
issues, trusting each other, building a strong partnership, resolving problems quickly and at the
appropriate level, and assuring a safe worksite. A partnering commitment entails a long-term
dedication to the partnering principles and processes at all times and on every contract.

c. Partnering Processes

At NAVFAC, all contracts will be done using a partnering process. To accomplish this
goal, three distinct partnering process levels, A through C, have been established. A project's
characteristics determine the process level to be used. In addition, there are several partnering
actions for the entire team that shall be used for all partnerships regardless of the process level.
These are: a) meet periodically to review the Contractor's performance of contract requirements;
b) assess the Government's performance of its responsibilities; c) provide progress information
to the Client; and d) check for any concerns. To increase the likelihood of successful
performance of a contract, the Government requires cohesive partnerships with its Contractors.
These partnerships draw on each organization’s strengths to ensure that contract services are
done right the first time, within the contract price, as scheduled, and without any safety mishaps.
OCONUS activities have the discretion to adjust the level of partnering to accommodate local
situations, customs, available resources, and security requirements. However, as a minimum,
Level C partnering will be conducted. Security requirements must always be taken into
consideration.

Part I. CONSTRUCTION PROJECTS PARTNERING

(1) Project Partnering Leveis

One of the following process levels shall be used based on the characteristics
of the project. If the partners have an existing, highly effective relationship, built on recent
partnerships, they may agree to use a more appropriate process level.

Level A: (Generally, for projects with one or more of these characteristics - high risk, high
visibility, compressed performance period, technically complex, over $5M)

Level A partnering is facilitated by a consultant facilitator, who is paid for by the Contractor per
the contract specifications. Different facilitators should be used as frequent use of one
particular facilitator, with the same Client and Contractor, may limit the syneray of the
partnership due to an over-familiarity with points of view and expectations. The process


Attachment C: Sample Evaluation Form

NAVFACINST 11013.40A

Partnering Status Evaluator (Form to be filled out by the core management team at the
beginning of each follow-on session. Completed evaluation forms are reviewed and discussed
as the last agenda item of the session.)

Date

ITEMS

EVALUATIONS

Contractor

ROICC

Client

Others

1. Quality of work

2. Timeliness
Meeting schedule
RFts
Invoices
Submittals

3. Resolution of jobsite issues

4. Communications
Progress meetings
Correspondence
Oral (face-to-face)

5. Safety program

6. Partnership relations

17

Attachment C



NAVFACINST 11013.40A

AROICC/AREICC — Assistant Resident Officer/Engineer in Charge of Construction
CO - Commanding Officer

Construction PLM/C — Construction Product Line Manager/Coordinator

CS — Contract Specialist

ET — Engineering Technician

ICO/IXO — Installation Commanding Officer/Installation Executive Officer
KRPM - Contractor Project Manager

OICC - Officer in Charge of Construction

PCO - Procuring Contracting Officer

PM — NAVFAC Project Manager

PWO - Public Works Officer

QC Manager — Quality Control Manager

RCOM/DRCOM - Commander, Navy Region/Dep Commander, Navy Region
RE — Engineer, Navy Region

ROICC - Resident Officer in Charge of Construction

SGE — Supervisory General Engineer

SubKR Reps — Subcontractor Representatives

VP — Vice President

XO - Executive Officer

Part Il. FACILITIES SUPPORT CONTRACTS (FSC) PARTNERING

(1) Contract Partnering Levels

All NAVFAC FSC/BOS contracts will include one of the Contract Partnering
Levels described below. OCONUS activities have the discretion to adjust the level of partnering
to accommodate local situations and customs, available resources, and security requirements.
However, as a minimum, Level C partnering will be conducted on every contract with an annual
value of less than $3M.

Level A: (Generally, use this level for contracts with one or more of these characteristics:
annual contract value of $10 million or more; first-time BOS contract, high visibility, many
Clients, large geographic area, services provided concurrently at multiple activities or for
multiple functions, and complex management and coordination issues.)

Level A partnering is facilitated by a consultant/professional facilitator. The Contractor will pay
all costs associated with the partnering effort, including facilitator, meeting room, and other
incidental items. All contract stakeholders will meet for an initial session and follow-on sessions.
See Initial and Follow-on Partnering Session paragraphs for details.

Level B: (Generally, use this level for contracts with one or more of these characteristics:
annual contract value of $3 million but less than $10 million, average risk and visibility, services
provided to multiple Clients, services one or more Activities performing one or more functions,
average to above average management and coordination issues.)

This level of partnering requires an in-house facilitator who is not associated with the current
contract. The facilitator could be an employee of NAVFAC or another Government agency.
The Government will cover the facilitator cost. The Contractor shall pay all other costs
associated with the partnering effort, including the meeting room and incidental items. Should
an in-house facilitator not be available, a consultant/professional facilitator could be used. All
contract stakeholders will meet for an initial session of sufficient duration for everyone io reach
an understanding of the partnering principles, see Partnering Overview and Goals paragraph.


DEPARTMENT OF THE NAVY
NAVAL FACILITIES ENGINEERING COMMAND
1322 PATTERSON AVENUE, SE Su! 000

WASHINGTON NAVy YARD DC 20374-5065,

NAVFACINST 11013.40A
EOC/OCR

28 December 2004
NAVFAC INSTRUCTION 11013.40A

From: Commander, Naval Facilities Engineering Command
Subj: NAVAL FACILITIES ENGINEERING COMMAND (NAVFAC) PARTNERING POLICY

Encl: (1) NAVFAC Partnering System

1. Purpose: To promulgate policy for the use of partnering on all NAVFAC construction and FSC
contracts. This instruction also applies to other types of NAVFAC contracts as deemed appropriate
by the Business Line Leader.

2. Cancellation: NAVFACINST 11013.40 is cancelled.

3. Policy: It is the policy of NAVFAC to employ partnering on all NAVFAC contracts per enclosure
(1).

4. Discussion: Two major changes have been made to the original partnering policy: a) the
requirement to partner all FSC contracts has been added, and b) the monetary thresholds for the
three levels of construction partnering have been changed. The NAVFAC team has great
influence over the success of individual contracts and the level of Client satisfaction. Our primary
goal is to maximize efficiency and to achieve Client success. This is measured by how well our
product meets the Client’s operational requirements (scope), financial constraints (budget),
schedule constraints (time), quality needs (quality), and by how effectively the project team
employs the appropriate level of operational risk management (safety). Partnering maximizes the
opportunity to accomplish this by capitalizing on the collective strengths of the NAVFAC team and
our contractor partners.

5. Policy Guidelines: Tne enclosed NAVFAC Partnering System is built around the concept that
partnering requires the maintenance of the partnering mindset, full commitment of all the parties
involved, and execution of a sound process. The process component of partnering is
straightforward and well documented in enclosure (1). Commitment of stakeholders requires
constant reinforcement to be achieved. | expect all NAVFAC team members to consistently
maintain the partnering mindset on all contracts, at all times. We can accomplish this through
proactive contract administration, effective communications, honesty, integrity, and by having
courage to do the right thing. Partnering is not easy, but the paybacks are well worth it.

6. Action: All NAVFAC field Activities will implement this goli¢y on all contracts per enclosure (1).

Distribution: — vA
See next page


NAVFACINST 11013.40A

Legend:

Bold type “must attend”, normal type “recommend attend”

ACO - Administrative Contracting Officer

APWO/DPWO - Assistant Public Works Officer/Deputy Public Works Officer
CO - Commanding Officer

Construction PLM/C — Construction Product Line Manager/Coordinator
CM/KRPM - Contract Manager/Contractor Project Manager

CS - Contract Specialist

FSC PMI/L — FSC Project Manager/Leader

FSCM - Facility Support Contract Manager

ICO/IXO — Installation Commanding Officer/Installation Executive Officer
OICC - Officer in Charge of Construction

PAR - Performance Assessment Representative

PCO — Procuring Contracting Officer

PWO - Public Works Officer

QC Manager — Quality Control Manager

RCOM/DRCOM — Commander, Navy Region/Dep Commander, Navy Region
RE - Engineer, Navy Region

ROICC - Resident Officer in Charge of Construction

SPAR -— Supervisory Performance Assessment Representative

SubKR Reps — Subcontractor Representatives

TRCO - Technical Representative of the Commanding Officer

VP - Vice President

XO - Executive Officer

3. NOTES ON PARTNERING

a. Paying for Partnering

Partnering will ultimately benefit the project and the Client. Therefore, the requirement
to partner will be included in the contract. The Contractor must bid this requirement and shall
pay all costs associated with the partnering effort including facilitator (Level A only; unless the
partners mutually agree to use a consultant, instead of an in-house, facilitator for Level B, which
will necessitate a modification to the contract.), and meeting room and other incidental items
(Levels A and B). The participants shall bear their own costs for meals, lodging and
transportation associated with partnering.

b. Setting Up the Partnering Facility

The meeting room set-up, audio-visual equipment, other accessories, and schedule
must be coordinated with the facilitator. The meeting room set-up is very important and must be
given thorough consideration. The objective is to enable all participants to partake in the
discussions in a comfortable setting that enhances communications and participation.

c. initial Partnering Session
The initial session should be held prior to the contract start date. All stakeholders are

encouraged to attend the initial partnering session; individuals identified, as “must attend” on
the Partnering Session Attendees lists, shall be present. The initial session should focus on

10


NAVFACINST 11013.40A

The Contractor will copy documents for distribution to all attendees. The in-house facilitator
must be acceptable to both the Contractor and the Government. The participants shall pay their
own costs for meals, lodging, and transportation associated with partnering.

Contract Partnering Level C

This level of partnering discusses partnering concepts and benefits and should become a part of
the pre-performance conference. The senior Government and Contractor stakeholders present
will jointly host the partnering sessions. The partners will determine the frequency of the follow-
on sessions. The partnering sessions should be held at locations agreed to by the partners.

(3) Contract Partnering Administration

Upon award, the ACO should contact the Contractor, Client(s), Region, and
Installation(s) stakeholders, and the performance assessment team to discuss implementation
of partnering. When Level A or B partnering will be used, commence discussions with the
Contractor to select a facilitator and a location that are acceptable to both partners. The initial
session must be scheduled as soon as possible after award of the contract. A partnership
agreement, The Charter, should be in place as early as possible so issues arising, even before
work begins, can be resolved using the issues resolution process. Replacement of Core
Management Team members (stakeholders who attended the initial session and manage the
contract work day-to-day) is discouraged since it will disrupt the synergy that has been
developed. If replacement of a team member proves to be unavoidable, a follow-on partnering
session must be held to officially turn the responsibilities of the position over to the new
member.

(4) Contract Partnering Session Attendees

The Core Management Team must be present during the initial and all follow-
on partnering sessions.

Partnering Sessions Attendees for FSC Contract Partnering

Level | NAVFAC Contractor Client Region/Installation
A,B | OICC Presidenv/VP co RCOM/DRCOM
ROICC CM/KRPM xO ICO/XO
SPAR/PAR Supervisor/Superintendent FSCM RE
FSC PM/L QC Manager TRCO PWO
PCO Safety Manager PAR APWO/DPWO
ACO SubKR Reps Facilities Manager
cs Tenant's Reps
Construction PLM/C
Client Liaison
Cc OICC Presidenv/VP co ICO/IXO
ROICC CM/KRPM xo Pwo
SPAR/PAR Supervisor/Superintendent FSCM Facilities Manager
FSC PM/L QC Manager TRCO Tenant's Reps
PCO Safety Manager PAR
ACO
cs
Construction PLM/C
Client Liaison



NAVFACINST 11013.40A

a follow-on partnering session must be held to officially turn the responsibilities of the position
over to the new member.

(4) Project Partnering Session Attendees

Stakeholders represent NAVFAC and the ROICC Office, the Contractor and
major subcontractors, the Client, the Region, the Installation and the Designer-of-Record. If the
contract was led by one of NAVFAC’s Specialty Centers, representatives of the Center must
attend. The Core Management Team must be present during the initial and all follow-on
partnering sessions. Individuals considered for attendance include:

Partnering Sessions Attendees for Construction Project Partnering

Level | NAVFAC Contractor Client Region/Installation | Designer of
Record

A olcc President/VP co RCOM/DRCOM Principal
ROICC KRPM xO ICO/XO AIC/EIC
SGE Superintendent | Facility Manager | RE Consultant’s Reps
AROICC/AREICC QC Manager PwO
ET Safety Manager Facility Manager
PCO SubKR Reps Tenant's Reps
ACO Safety Reps
cs Specialty Reps
PM
Construction PLM/C
Client Liaison

B OICC President/VP co ICO/XO Principal
ROICC KRPM xo Pwo AIC/EIC
SGE Superintendent | Facility Manager | Facility Manager | Consultant's Reps
AROICC/AREICC QC Manager Tenant’s Reps
ET Safety Manager Safety Reps
ACO SubKR Reps Specialty Reps
cs
PM
Construction PLW/C
Client Liaison

Cc OICC President/VP co ICO/XO Principal
ROICC KRPM xO Pwo AIC/EIC
SGE Superintendent | Facility Manager | Facility Manager Consultant's Reps
AROICC/AREICC QC Manager Tenant's Reps
ET Safety Manager Safety Reps
ACO Specialty Reps
cs
PM
Construction PLM/C
Client Liaison

Legend:

Bold type “must attend”, normal type “recommend attend”
ACO - Administrative Contracting Officer
AIC/EIC — Architect-in-Charge/Engineer-in-Charge



NAVFACINST 11013.40A

Table of Contents

1. PARTNERING OVERVIEW AND GOALS

2. NAVFAC PARTNERING SYSTEM

a.
b.
c.

Partnering Mindset
Partnering Commitment
Partnering Processes

Part |. CONSTRUCTION PROJECTS PARTNERING
(1) Project Partnering Levels
(2) Project Partnering Solicitation Provisions
(3) Project Partnering Administration
(4) Project Partnering Session Attendees

Part Il. FACILITIES SUPPORT CONTRACTS (FSC) PARTNERING
(1) Contract Partnering Levels
(2) Contract Partnering Solicitation Provisions
(3) Contract Partnering Administration
(4) Contract Partnering Session Attendees

3. NOTES ON PARTNERING

-se>~paocp

Paying for Partnering

Setting Up the Partnering Facility

Initial Partnering Sessions

Follow-on Partnering Sessions

How to Ensure That Partnering Efforts are Successful
The Benefits of Partnering

Where to Get Help with Partnering

Facilitators List on the Intranet

How to Change the Document

ATTACHMENTS:

Sample Agenda for Partnering Sessions
. Sample Partnering Charter

. Sample Evaluation Form

. Sample Partnership Rating Form

. Sample Issue Resolution Ladder

moom>


NAVFACINST 11013.40A

g. Where to Get Help with Partnering

Each NAVFAC field component has a designated point of contact (POC) for partnering.
The Assistant Director, Construction and ROICC Support, will be the POC for construction
unless someone else has been named. For FSC/BOS contracts, help is also available from the
Public Works BL Leader. A library of partnering references and a list of facilitators are available
on the web should there be nothing available in the office. Here are a few sites:

http://www.cecos.navy.mil (Moreell Library, Administrative Librarian)
http:/Awww.construction-institute.org
http:/Awww.adr.org

Talk with other people who have participated in partnering to obtain their personal insight.

h. Facilitators Lists on the Intranet

If you are looking for a professional or an in-house facilitator, check the lists posted on
the NAVFAC Intranet. The lists are located at
http://navfacilitator.navfac.navy.mil/che/enet/coi/construct/Listfacil.x!s.

i. How to Change the Document

Recommendation for changes to this document should be addressed to NAVFAC
EOC/OCR at (202) 685-9215/9218.

13


NAVFACINST 11013.40A

Attachment B: Sample Partnering Charter

The mutual goals and objectives of the stakeholders form the partnering charter. The charter
for each contract/project, therefore, will be unique to that contract/project. The charter may be a
simple statement about communications and cooperation in all matters affecting the
contract/project and resolution of conflicts at the lowest level. The following sample provides an
idea of objectives that might be included in a charter.

The Charter for (Contract / Project)

We are a team dedicated to providing a quality product per the contract. We are committed to
honest and open communications, trusting each other, building of a strong partnership,
resolving problem issues quickly and at the lowest level, a safe work site, producing a quality
product, timely completion, protection of the environment, and minimizing inconvenience to the
public.

1. COMMUNICATIONS OBJECTIVES
We intend to deal with each other in a fair, reasonable, trusting, and professional manner
including:
Communicate and resolve problems within the terms of the contract
Decision making at lowest possible level
Open, honest communications
Treat each other with mutual respect, resolve personal conflicts immediately, and avoid
personal attacks
e. Timely notification of future meetings
f. Support of all meetings
g. Not allowing grudges to interfere with professionalism

aoop

2. CONFLICT RESOLUTION SYSTEM

Step 1. When conflict is not resolved at the originating/lowest level within a set number of
days, it will be taken to the next level of supervision.

Step 2. When conflict is not resolved at this level within the set number of days, it will be
taken to the next higher level of supervision.

Step 3. This process continues to the highest level in the organizations (ROICC/ACO and
President/VP) for resolution within a set number of days. If the conflict can't be resolved
at this level, then it will be handled per contract provisions.

3. PERFORMANCE OBJECTIVES

Complete the contract without litigation

Utilize cost reduction incentive proposals

Finish contract on time

No delays in delivering the product

No safety mishaps

Promote positive public relations

Make contract site(s) enjoyable to work at

Administer the contract so that all parties are treated fairly

yFemeao7D

Attachment B (Page 1 of 2)

15


NAVAL FACILITIES
ENGINEERING COMMAND

/
Naval Facilities Engineering Command

PARTNERING SYSTEM


NAVFACINST 11013.40A
EOC/OCR

Subj: NAVAL FACILITIES ENGINEERING COMMAND (NAVFAC) PARTNERING POLICY

Distribution:

NAVFAC ATLANTIC (00)

NAVFAC PACIFIC (00)
COMSOUTHNAVFACENGCOM
COMSOUTHWESTNAVFACENGCOM
NAVFAC MIDLANT (00)

NAVFAC MIDWEST (00)

NAVFAC WASHINGTON (00)
NAVFAC FAR EAST (00)

CO EFA NORTHEAST

CO EFA NORTHWEST

CO EFA MEDITERRANEAN

CO EFA SOUTHEAST/PWC JACKSONVILLE
CO PWC PEARL HARBOR

CO PWC SAN DIEGO

CO PWC GUAM/OICC MARIANAS
CO NFESC

CO NFELC

DIRECTOR NCC

DIRECTOR NFI

NAVFAC HQ DIRECTORS

Distribution made via:

http://naviacilitator.navfac.navy.mil
http://navfac.navy.mil


NAVFACINST 11013.40A

team building to ensure all stakeholders understand the concept of “we” versus the adversarial
concept of “us versus them”. A Partnering Charter (see sample outline, Attachment B), which is
the foundation of the partnership, will be written during the initial session. The stakeholders
present will indicate agreements reached by signing the Charter. Agreements on the use of the
partnership evaluation and rating forms (see Attachment C and D), an issue resolution process
(ladder) (Attachment E), a plan of action for specific contract problems, and a specific plan for
continuing the partnership process, are also reached. For DBB projects, the initial session
should be held within 30 calendar days following the preconstruction conference but before
physical work begins; for DB projects, the initial session should be held within 30 calendar days
following award of the contract but before design work begins. The designer must participate.
Initial sessions for contracts with IDQ line items that will be issued via task order should use the
partnering level for the projected total annual award amount.

d. Follow-on Partnering Sessions

A successful partnership depends on maintenance throughout the life of the contract.
Follow-on sessions are for maintaining and nurturing the partnership. They are vital and must
be attended by the Core Management Team to reinforce team-building skills, address significant
issues, assess the health of the partnership, solve issues that have surfaced since the last
session, and to discuss Contractor performance. Other stakeholders who participated in the
initial partnering session are encouraged to attend. If a facilitator was used for the initial
session, the same facilitator should be used for the follow-on session(s). One follow-on session
every three months, or as stated otherwise herein, is a good frequency to use. Flexibility is
necessary. For DB projects, a follow-on session is required just before start of construction.
Management personnel from the Contractor and major subcontractors must attend this session.
During the follow-on sessions, the partners should use the attached evaluation form
(Attachment C) to rate each other's performance. All ratings will be read and discussed before
the end of the session. These periodic ratings will become the foundation for the Contractor's
final performance rating. This process will prevent any "surprises" at the end of the project.

e. How to Ensure That Partnering Efforts are Successful

Some key points to help get the most out of Partnering:

1. Find Champions: Each organization in the partnership must have a champion. This
person should fully embrace the partnering concept and is responsible for keeping
his/her organization in the win-win mind set. Without champions, the partnership
may flounder.

2. The Right People: Make sure that only the critical stakeholders attend, no more.
Level A or B partnering should rarely exceed 20 people. However, do not turn
anybody, who wants to attend, away.

3. Pleasant Environment: Find a location that is suitable for the task. Telephone calls,
interruptions, noise, poor temperature control and other distractions are highly
undesirable. Many partnerships elect to meet at locations that are remote from each
other’s places of business so that the partners can stay focused.

4. Strong Facilitator: For Level A and B partnering, a facilitator who has a good track

record and Is familiar with NAVFAC’s business should be selected. Ask others, who
have partnered, about their experiences with a potential facilitator. Regardless of the

1


NAVFACINST 11013.40A

Attachment A: Sample Agenda for Partnering Sessions

1. Introductions, getting to know one another, developing relationships, and becoming
aware of individual job duties and responsibilities.

2. Discussion of the intent of partnering to ensure all parties have the same
expectations and develop mission statement using goals and objectives

a.
b.

Common sense communications
Negotiation and conflict resolution

3. Overview of contract/project requirements by personnel to include as applicable:

a. Basis of design

b. Requirements in the contract/RFP
c.
d
e
f.

Critical items to ensure a successful contract/project

. Performance Assessment Program
. Contract Incentives

Performance Evaluation Process

4. Identify significant events, problems, issues, and opportunities by soliciting input
from each stakeholder

a.
b.
Cc.

Prioritize significant events, problems, issues, and opportunities
Discuss and resolve, or

Develop action plan

(1) Significant event, problem, issue, opportunity

(2) Responsibility for solution

(3) Date solution needed

5. Develop problem resolution/escalation process

a.
b.
c.

eo oN ©

Identify lateral authority levels

Establish vertical authority levels

Development of ground rules (Five rules:)

(1) Resolve problems at the lowest level

(2) Either party escalates unresolved problems upward in a timely manner before
impact to performance of contract work or delay to the project

(3) No jumping levels of authority

(4) Ignoring the problem or “no decision” is not acceptable

(5) Don’t make a decision you’re uncomfortable with, escalate upward

Identify the Core Contract/Project Management Team
Develop evaluation factors and process
Sign charter

Establish time and place for follow-on session(s)

Attachment A

14