DE-SOL-0009438_Amendment_1.pdf

DE-SOL-0009438

Amendment 000001

WIPP Transportation Services 2017

The purpose of this amendment is to amend solicitation DE-SOL-0009438 as described below and incorporated in the conformed copy of the solicitation.

Amendment 000001 to DE-SOL-0009438

No. RFP Section Reference Change From: Change To:

1. SF 33, Block 26. Name of Contracting

Officer

Lori A. Conroy Lori A. Conroy Sehlhorst

2. Section J, Attachment F Quality

Assurance Surveillance Plan

Table of Contents and pages 1-15 document header

WIPP Transportation Services 2017 – Draft

RFP

WIPP Transportation Services 2017 – Draft

Final RFP

3. L.11, DOE-L-2002 PROPOSAL

PREPARATION INSTRUCTIONS,

VOLUME I – OFFER AND OTHER

DOCUMENTS – ALTERNATE III AND

ALTERNATE IV

Paragraph (a)(1)

(1) Section B:

(i) B.1, DOE-B-2010 Indefinite-

Delivery Indefinite-Quantity

Contract (Oct 2014)

(ii) B.3, Pricing Schedule

(iii) B.4, Non-Labor Cost – Indirect

Ceiling Rate

(1) Section B:

(i) B.1, DOE-B-2010 Indefinite-Delivery

Indefinite-Quantity Contract (Oct

2014)

(i) B.3, Pricing Schedule

(ii) B.4, Non-Labor Cost – Indirect

Ceiling Rate

4. L.14, DOE-L-2005 PROPOSAL

PREPARATION INSTRUCTIONS,

VOLUME II - KEY PERSONNEL (OCT

2015)

Paragraph (a)

(a) Key personnel: The Offeror shall propose a key person for the Project/Terminal Manager position, which will be incorporated into the contract through the clause at H.27, Key Personnel. Only one individual may be proposed for the key personnel position and the key person shall be employed by the prime contractor. The Offeror must provide confirmation that the proposed Project/Terminal Manager is employed by the prime contractor. The Project/Terminal Manager position is a position that is required to be located at and performed on-site, at the

(a) Key personnel: The Offeror shall propose a key person for the Project/Terminal

Manager position, which will be incorporated into the contract through the clause at H.27, Key Personnel. Only one individual may be proposed for the key personnel position and the key person shall be employed by the prime contractor. The Offeror must provide confirmation that the proposed

Project/Terminal Manager is employed by the terminal. No other Key Personnel besides the Project/Terminal Manager shall be proposed.

The Offeror shall not provide the names or qualifications of any non-key personnel..

prime contractor within the requisite Letter of

Commitment. The Project/Terminal Manager position is a position that is required to be located at and performed on-site, at the terminal. No other Key Personnel besides the

Project/Terminal Manager shall be proposed.

The Offeror shall not provide the names or qualifications of any non-key personnel.

5. L.14, DOE-L-2005 PROPOSAL

PREPARATION INSTRUCTIONS,

VOLUME II - KEY PERSONNEL (OCT

Paragraph (c)

(c) Letter of commitment: A letter of commitment shall be submitted for the individual proposed as a key person. The key person shall sign the letter stating that the information contained in the resume, submitted as part of the proposal, is true and correct; and the individual will unconditionally accept employment in the key position identified in the proposal beginning on the effective date of the contract for a period of two (2) years. Failure to submit a letter of commitment may adversely affect the

Government’s evaluation of the proposal. A format for the letter of commitment shall state, as follows:

“I hereby certify that the resume submitted as part of the proposal is true and correct, and

________________________ (insert name of individual proposed) will accept the proposed position of ___________________ (insert name of proposed position) if

(c) Letter of commitment: A letter of commitment shall be submitted for the individual proposed as a key person. The key person shall sign the letter stating that the information contained in the resume, submitted as part of the proposal, is true and correct; and the individual will unconditionally accept employment in the key position identified in the proposal beginning on the effective date of the contract for a period of two (2) years. Failure to submit a letter of commitment may adversely affect the

Government’s evaluation of the proposal. A format for the letter of commitment shall state, as follows:

“I hereby certify that the resume submitted as part of the proposal is true and correct, and

________________________ (insert name of individual proposed) will accept the proposed position of ___________________ (insert name of proposed position) if

______________(insert name of Contractor) receives the award and will perform in the proposed position for a minimum of two (2) years following the contract award date. I also hereby certify that

________________________ (insert name of individual proposed) will be physically located on site, at the terminal.”

______________(insert name of Contractor) receives the award and will perform in the proposed position for a minimum of two (2) years following the contract award date. I also hereby certify that

________________________ (insert name of individual proposed) will be physically located on site, at the terminal and is employed by the prime contractor

______________ (insert name of prime

Contractor).”

6. L.17, PROPOSAL PREPARATION

INSTRUCTIONS, VOLUME III –

COST OR PRICE PROPOSAL

Paragraph (b)

(b) All price information shall be included in Volume III of the proposal. None of the information contained in Volume III shall be included in any other proposal volumes unless specifically requested in the solicitation.

(b) All price information shall be included in

Volume III of the proposal. None of the information contained in Volume III shall be included in any other proposal volumes unless specifically requested in the solicitation (with the exception of the information to be provided in Volume I for Section B.3, Pricing

Schedule).

7. L.24, DOE-L-2027 NOTICE OF

PROTEST FILE AVAILABILITY

Paragraph (b)

48 CFR 33.2014(a)(3)(ii)

48 CFR 33.20104(a)(3)(ii)

8. M.1, DOE-M-2001 PROPOSAL

EVALUATION – GENERAL (OCT

2015) - ALTERNATE II (OCT 2015)

Paragraph (e)

(e) Award without discussions. In accordance with paragraph (f)(4) of the provision at FAR

52.215-1, Instructions to Offerors –

Competitive Acquisition, the Government intends to evaluate proposals and award a

(e) Award without discussions. In accordance with paragraph (f)(4) of the provision at FAR

52.215-1, Instructions to Offerors –

Competitive Acquisition, the Government intends to evaluate proposals and award a contract without conducting discussions with

Offerors. Therefore, the Offeror’s initial proposal shall contain the Offeror’s best terms from a cost or price and technical standpoint.

The Government, however, reserves the right to conduct discussions if the Contracting

Officer later determines them to be necessary and may limit the competitive range for purposes of efficiency.

contract without conducting discussions with

Offerors. Therefore, the Offeror’s initial proposal shall contain the Offeror’s best terms from a cost or price and technical standpoint.

The Government, however, reserves the right to conduct discussions if the Contracting

Officer later determines them to be necessary and may limit the competitive range for purposes of efficiency.

9. M.5, DOE-M-2008 EVALUATION

FACTOR – PAST PERFORMANCE

(OCT 2015)

(a) Offeror. The offeror will be evaluated on the currency, relevancy, and quality of its past performance, in performing work similar in scope, size, and complexity to that described in the Performance Work

Statement to assess the offeror’s potential success in performing the work required by the contract. Similar scope, size, and complexity are defined as follows: scope

– type of work (e.g., work as identified in the PWS, including cross-country shipment of hazardous and/or radioactive waste, other hazardous or radioactive shipments, and/or other types of cross-country or long-haul shipments); size – dollar value and contract duration; and complexity – performance challenges and risk (e.g., types of waste, nuclear environment, CVSA Level VI inspection criteria, working with Federal, State, Tribal regulatory bodies and stakeholder

(a) Offeror. The offeror will be evaluated on the currency, relevancy, and quality of its past performance, in performing work similar in scope, size, and complexity to that described in the Performance Work

Statement to assess the offeror’s potential success in performing the work required by the contract. Similar scope, size, and complexity are defined as follows: scope

– type of work (e.g., work as identified in the PWS, including cross-country shipment of hazardous and/or radioactive waste, other hazardous or radioactive shipments, and/or other types of cross-country or long-haul shipments); size – dollar value and contract duration; and complexity – performance challenges and risk (e.g., types of waste, nuclear environment, CVSA Level VI inspection criteria, working with Federal, State, Tribal regulatory bodies and stakeholder groups, rigorous safety and quality assurance requirements, stringent driver qualification requirements, etc.).

groups, rigorous safety and quality assurance requirements, stringent driver qualification requirements, etc.). DOE will evaluate past performance information for contracts that are currently being performed and/or for contracts that were completed within the last five years from the date proposals are due. The higher the degree of relevance and the more recent the past performance information, the greater the consideration that may be given in determining the overall confidence assessment rating.

10. M.5, DOE-M-2008 EVALUATION

FACTOR – PAST PERFORMANCE

(c) Newly formed entity. If the offeror, subcontractors, or other performing entities are a newly formed entity with no record of relevant past performance, the evaluation of past performance may be based on the past performance of any parent organization(s) or member organizations in a joint venture, LLC, or other similar entity consistent with the evaluation described in paragraphs (a) and (b) above. Past performance of predecessor companies resulting from mergers and acquisitions may also be considered.

(c) Newly formed entity. If the offeror, critical subcontractors, or other performing entities are a newly formed entity with no record of relevant past performance, the evaluation of past performance may be based on the past performance of any parent organization(s) or member organizations in a joint venture, LLC, or other similar entity consistent with the evaluation described in paragraphs (a) and (b) above. Past performance of predecessor companies resulting from mergers and acquisitions may also be considered.

11. M.6 Evaluation Factor – Price

The Offeror’s cost/price proposal will not be point scored or adjectivally rated, but will be evaluated for completeness, price reasonableness, and whether the proposed

The Offeror’s cost/price proposal will not be point scored or adjectivally rated, but will be evaluated for completeness, price reasonableness in accordance with FAR price reflects an understanding of the RFP requirements, and an Offeror’s responsibility and financial capability.

15.404-1, and whether the proposed price reflects an understanding of the RFP requirements, and an Offeror’s responsibility and financial capability.

12. M.6 Evaluation Factor – Price

The “Total Proposed Contract Price” will be calculated as the arithmetic sum of the following items:

The “Total Proposed Evaluated Contract Price” will be calculated as the arithmetic sum of the following items:

ALL OTHER SECTIONS OF THE FINAL RFP REMAIN UNCHANGED.

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

6. REQUISITION/PURCHASE NUMBER

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

1 2

C. E-MAIL ADDRESS

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME

10. FOR

INFORMATION

CALL:

CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

H

G

F

E

D

C

B

A

SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

CALENDAR DAYS (%)30 CALENDAR DAYS (%)20 CALENDAR DAYS (%)10 CALENDAR DAYS (%)

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ______________ calendar days (60 calendar days unless a different period is inserted

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

07/14/2016 X

03001

EMCBC

U.S. Department of Energy EM Consolidated Business Center 250 E. 5th Street, Suite 500 Cincinnati OH 45202

SEE PROVISION L.10

1500 ET 08/29/2016

Lori A. Sehlhorst 513 lori.sehlhorst@emcbc.doe.

gov744-0989

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X

X

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PAGE(S)

Lori A. Sehlhorst

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

SEE PROVISION L.10

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

2 2

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

DE-SOL-0009438

(A) (B) (C) (D) (E) (F)

FINAL REQUEST FOR PROPOSAL NO. DE-SOL-0009438

WASTE ISOLATION PILOT PLANT (WIPP) TRANSPORTATION

SERVICES

FOB: Destination

Period of Performance: 05/28/2017 to 05/27/2022

00001 TRU Waste Transportation Services

OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

NSN 7540-01-152-8067

WIPP Transportation Services 2017 – Final RFP Section J – Attachment F

Solicitation # DE-SOL-0009438, Am. 000001

SECTION J – ATTACHMENT F

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

WIPP Transportation Services 2017 Procurement

WIPP Transportation Services 2017 – Final RFP Section J – Attachment J-F

TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

1.4 QASP Relation to the Quality Assurance Program

1.5 Revisions to the QASP

2 ROLES AND RESPONSIBILITIES

2.1 Contractor Responsibility

2.2 Government Responsibility

3 PERFORMANCE DESCRIPTION

3.1 Performance Standards and Acceptable Quality Levels (AQL)

3.2 Non-performance

4 METHODOLOGIES TO MONITOR PERFORMANCE AND QUALITY ASSURANCE .. 5

5 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

5.1 Determining Performance

5.2 Reporting

5.3 Reviews and Resolution

6 PERFORMANCE REQUIREMENTS SUMMARY

6.1 Requisite Service

6.2 Performance Standard

6.3 Acceptable Quality Level (AQL)

6.4 Methods of Surveillance

6.5 Deductions

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2: SAMPLING GUIDE/QUALITY ASSURANCE MONITORING

FORMS/INSPECTION CHECKLIST

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to requirements listed in DE-SOL-

0009438, Section C, Performance Work Statement (PWS) entitled WIPP Transportation Services

2017. This plan sets forth procedures and guidelines the Department of Energy (DOE) Carlsbad

Field Office (CBFO) will use to ensure the Contractor achieves requisite performance standards.

The Government may monitor other work under this contract or take other contractual remedies as necessary.

1.1 Purpose

1.1.1 This QASP describes procedures that DOE will use to monitor and evaluate Contractor performance. The QASP focuses on examining the Contractor’s service results and not the underlying processes to produce them. DOE intends for the QASP to be a tool which guides reviewers in assessing Contractor performance. In some cases, DOE will use specific metrics to measure Contractor performance; in other cases subjective judgment and evaluation by DOE personnel will be the determining criteria. This plan describes the methodology to conduct both quantitative and qualitative evaluation of Contractor performance under the contract.

1.1.2 The QASP provides a means to evaluate whether the Contractor meets performance standards/quality levels per the PWS and the Contractor’s Quality Assurance (QA) plan

(Section C.4.5), and to ensure that Government pays only for the level of service it receives.

1.2 Performance Management Approach

1.2.1 This QASP will define DOE-CBFO’s approach to Contractor performance management to ensure achievement of expected outcomes or performance objectives in the PWS.

Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to base decisions on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether the Contractor achieves expected outcomes for the project.

1.2.2 Performance management represents a significant shift from the more traditional QA concepts in several ways. Performance management focuses on assessing whether the

Contractor achieves desired outcomes and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the Contractor to play a large role in how it performs work, as long as the proposed processes are within stated constraints.

The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus provides the Contractor flexibility to continuously improve and innovate over the course of the contract as long as the Contractor achieves expected critical outcomes and/or meets desired performance levels.

1.3 Performance Management Strategy

1.3.1 The Contractor is responsible for the quality of all work it performs. The Contractor measures that quality through the Contractor’s QA Plan [Section C.4.5]. The

Contractor’s QA Plan sets forth staffing and procedures for self-inspecting quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP outlines the roles, responsibilities, and surveillance methodologies that the Government will undertake to ensure that the Contractor complies with its

Quality Assurance Plan.

1.3.2 Government representative(s) will monitor performance and review performance reports the Contractor furnishes to determine how the Contractor is performing against contractual performance objectives. The Contractor will be responsible for making changes in processes and practices to ensure effective performance management.

1.4 QASP Relation to the Quality Assurance Program

The Contractor’s QA Plan [Section C.4.5] is a requirement that the Contractor will submit to

DOE no later than 30 days after award. This QA plan, at a minimum, must comply with the

CBFO QA Program Document (QAPD DOE/CBFO-94-1012) and DOT requirements. CBFO’s

QA document further outlines that participant organizations responsible for waste transportation shall implement a program of surveillance and audits to verify compliance, adequacy and effectiveness of the QA program. DOE will collaborate with the Contractor to schedule an annual audit of transportation activities at its facility.

While the Contractor’s QA Plan describes how the Contractor will ensure quality and timeliness of services, as defined in the PWS, the QASP represents the way in which DOE will evaluate

Contractor performance. DOE expects that implementation of Contractor QA Plan requirements will be sufficient for meeting the Performance Requirements Summary (PRS) per Attachment 1.

The Contractor’s QA Plan and the QASP should be complementary programs that help ensure successful Contractor performance.

1.5 Revisions to the QASP

The QASP is a tool for use in Government administration of the contract and remains subject to revision at any time by the Government throughout the contract performance period. Revisions to this surveillance plan are the responsibility of the Contracting Officer (CO) or designee. The

Government may make changes to the QASP, via a bilateral modification to the contract.

2 ROLES AND RESPONSIBILITIES

The purpose of the QASP is to ensure that the Government receives satisfactory services from the Contractor and to ensure that the Contractor meets its contractual obligation to DOE. Roles and responsibilities of Contractor and Government stakeholders are below.

2.1 Contractor Responsibility

The Contractor is responsible for delivering services in accordance with the contract. The

Contractor is responsible for implementing its QA plan (C.4.5), which is required in the contract, as a deliverable in Section J, Attachment B. The QA plan describes the Contractor’s methods for ensuring all products and services it provides under the contract meet established performance standards and Acceptable Quality Level (AQL) s. The Contractor is responsible for producing, maintaining, and providing for audit quality assurance/control documents, reports, and all records associated with the investigation and resolution of performance issues Government identifies.

2.2 Government Responsibility

This section of the QASP briefly defines the duties and responsibilities of key Government personnel involved in contract administration and quality assurance. The key personnel who will be responsible for QASP input are the Contracting Officer (CO) and the Contracting Officer’s

Representative (COR).

2.2.1 Contracting Officer (CO)

The CO has overall responsibility for ensuring performance of all necessary actions for effective contracting, ensuring compliance with terms and conditions of the contract, and safeguarding the interests of the US Government.

CO has the authority to administer the contract but may delegate many of the day-to-day contract administration duties to the COR.

CO is the ONLY US Government official with authority to:

– Negotiate and issue contract modifications

– Resolve Contractor claims and disputes

– Issue cure notices (notification that unless Contractor corrects unacceptable performance, Government may terminate the contract for default in accordance with FAR 49.607)

– Issue show-cause letters (following a cure notice, requesting facts bearing on the case)

– Terminate the contract

– Conduct contract close-out functions.

CO is responsible for monitoring contract compliance, contract administration and cost control.

CO is responsible for resolving any differences between the observations documented by the COR and the Contractor.

CO will designate one COR as the Government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the Contractor’s performance, and representatives must be identified and designated by the CO.

2.2.2 The Contracting Officer’s Representative (COR)

The COR is a federal employee the CO designates by name and/or position to act as a liaison between the Government and the Contractor on all issues pertinent to the daily operation of the contract. The COR represents the CO and, therefore, is the Contractor's initial point-of-contact with the Government.

COR executes his/her duties in accordance within the scope and limitations in their written appointment letter.

COR does NOT have authority to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Contractor shall refer any changes that may affect contract price, terms, or conditions to the CO for action.

COR will assist the CO in preparing and negotiating contract modifications.

COR will inform the Contractor of problems and recommend to the CO that adverse contractual actions are appropriate (e.g., cure notice) if the Contractor fails to correct the problem.

COR is responsible for technical administration of the project and ensures proper

Government surveillance of the Contractor’s performance.

COR will have responsibility for completing QA monitoring forms used to document inspection and evaluation of the Contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract or under the inspection of supplies clause for any fixed price supplies relating to the contract.

COR will verify acceptance of services and validate invoices for payment.

3 PERFORMANCE DESCRIPTION

The PWS and PRS, Attachment 1 to this document, outline requisite performance standards and/or quality levels. If the Contractor meets requisite performance levels, the Contractor will be paid the firm fixed price amounts specified in paragraph (b) of Section B.3 of the contract for basic transportation services per scheduled contract intervals and the firm fixed unit price amounts specified in paragraph (c) of Section B.3 of the contract for additional transportation services per scheduled task order intervals. Failure to meet the performance level or maintain contract ordered services will result in deductions from the fixed price amounts specified in paragraph (b) of Section B.3 of the contract or the firm fixed unit price amounts specified in paragraph (c) of Section B.3 of the contract.

The Government will monitor performance of the Contractor through various surveillance methods within Section 4: Methodologies to Monitor Performance and Quality Assurance. The

Government will evaluate performance data to assess the Contractor performance against contract requirements.

3.1 Performance Standards and Acceptable Quality Levels (AQL)

The PRS provides a performance standard and an AQL for select activities in the PWS. A performance standard describes a required element of Contractor performance. An AQL defines the level of performance that is deemed satisfactory.

The contract requires the Contractor to perform all work as specified. “Defects” are any inaccuracies or omissions in services by the Contractor. The Contractor is responsible for all identified defects, and DOE may require the Contractor to re-perform the work at no increase to the fixed price.

AQLs take into account that in some instances an allowable level of deficiency (deviation) is possible while overall performance continues to meet DOE’s desired level of service. AQLs define the level or number of performance deficiencies tolerable under this contract. They take into account the difference between an occasional defect and a gross number of defects. AQLs can be expressed as a percentage of or as an absolute number (e.g., three per month). There may be instances where 100 percent compliance is necessary, and no deviation is acceptable (e.g., safety elements).

AQLs included in Attachment 1, PRS Table, for Contractor performance are structured to allow the Contractor to manage how it performs work while providing negative incentives for performance shortfalls. If the quality level does not meet or exceed the AQL in the PRS, the

Government will consider the Contractor’s performance unsatisfactory. Failure to consistently provide adequate quality services can result in termination for default.

A contract requirement can consist of several subtasks. The Government may determine that a contract requirement is partially complete if the Contractor satisfactorily completes some, but not all, of the work requirements. In those cases, deductions may still be taken from the Contractor’s invoice. In addition to all of the rights the Government may have, the Government may make deductions for work that is partially complete.

3.2 Non-performance

Non-performance occurs when the Contractor’s performance does not meet the AQL for a given requirement. Requirements may contain multiple performance elements; therefore, deficiencies may occur in one or more aspects of performance (e.g., timeliness, accuracy, completeness) or subject areas of effort.

When surveillance indicates that the Contractor’s service output is not in compliance with contract requirements, the COR must determine whether the Contractor or Government caused the deficiency. If the cause of the defect rests with the Government, corrective action must be taken through Government channels. If the cause of the defect is due to action or inaction by the

Contractor, the Contractor is responsible for correction of the problem at no increase to the fixed price.

The CO may deduct all amounts (per the PRS or other provisions of this contract) associated with such non-performed work from the Contractor’s invoice. The CO may afford the

Contractor an opportunity (subject to CO discretion) to accomplish non-performed work within a reasonable period.

4 METHODOLOGIES TO MONITOR PERFORMANCE AND QUALITY

ASSURANCE

Surveillance methods within the QA process are tools the Government uses to monitor

Contractor services. The best means of determining whether the Contractor has met all contract requirements is to inspect the Contractor’s service and analyze the results. Further, documented inspection results are an effective tool in contract administration. Inspections either confirm the

Contractor’s successful achievement of all performance requirements or highlight areas where defects exist and improvements are necessary. In an effort to minimize the performance management burden, the Government will use simplified surveillance methods to evaluate

Contractor performance when appropriate. The primary methods of surveillance are: file reviews, periodic inspections, random observations, DOE surveillance, DOE audits, customer feedback, and State DOT reviews.

The Government may reduce the number of inspections in those instances where the Contractor establishes a record of good performance. In cases of poor performance, DOE may increase the level of surveillance and focus on known problem areas. In either case, Government will document the reasons for the change in surveillance.

5 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

5.1 Determining Performance

The Government will use various monitoring methods to determine whether the Contractor has met performance standards. If the Contractor has not met performance requirements, the

Government may ask the Contractor to develop a corrective action plan in accordance with contract section C.4.5.10 to show how and by what date it intends to increase performance up to requisite levels. Failure to meet the AQL for a given performance standard may result in a deduction from the invoiced payment amount using deductions shown in Attachment 1.

5.2 Reporting

The Government will report its QA surveillance using the annual CBFO QA audit report and the monitoring forms in Attachment 2. The audit report and forms, when complete, will document the Government’s assessment of Contractor performance under the contract. The CO and COR will retain a copy of all completed audit/surveillance forms.

5.2.1 The Government will document all work activities it observes to include both acceptable performance and non-performance. Thorough documentation of unperformed or poorly performed work is essential for tracking Contractor performance throughout the period of performance. The COR will document deficient work by compiling facts describing the inspection methods and results. A sample documentation reporting form is provided in

Attachment 2: Sampling Guide/Quality Assurance Monitoring Forms/Inspection

Checklist. The COR shall develop documentation to substantiate non-conformance with the contract and shall further decide whether to elevate the problem to the CO for corrective action.

5.2.2 The COR will prepare a written report (typically quarterly) for the CO which summarizes overall results of the quality assurance surveillances. This written report, which includes the Contractor’s submitted monthly reports and the completed quality assurance monitoring forms (Attachment 2), will become part of the QA documentation and will enable the Government to demonstrate whether the Contractor is meeting stated objectives and/or performance standards, including cost/technical/scheduling objectives.

5.3 Reviews and Resolution

5.3.1 Upon completion of inspections, the COR will perform an analysis of the Contractor’s performance. An independent oversight group with subject matter knowledge in the respective field may also perform the analysis (Currently utilize the Carlsbad Technical

Assistance Contractor (CTAC)). The purpose of the analysis is to ensure that DOE is receiving high-quality services from the Contractor. The COR will review the results of the Contractor rating, and characterize the Contractor’s overall performance. Analysis of all types of contract monitoring will result in one of the following outcomes: satisfactory performance, marginal performance, or unsatisfactory performance.

5.3.2 Satisfactory Performance:

The Contractor’s performance is satisfactory when it meets AQLs and deficiencies are correctable without adverse impact to mission accomplishment or activities. Any deficiencies are identified and corrected immediately (within the timeframe specified by

DOE) by the Contractor.

5.3.3 Marginal Performance:

The Contractor’s performance is marginal when assessment of tasks and sub-tasks reflect a potentially serious problem for which the Contractor has not yet identified corrective actions, or its proposed corrective actions appear only marginally effective or were not fully implemented.

5.3.4 Unsatisfactory Performance:

The Contractor’s performance is unsatisfactory when performance for any service does not meet the AQL. The following responses are available to the COR and CO regarding that task/subtask:

CO and/or COR meet with the Contractor to discuss discrepancies, trends, complaints, and intended corrective measures;

COR increases the level of surveillance until the Contractor demonstrates acceptable performance over a period of time;

COR issues a contract discrepancy report for each service that does not meet its AQL;

Should deficiencies be significant and affect multiple requirements, CO action such as a ‘Cure’ notice may be appropriate.

CO may deduct all amounts (per PRS or other provisions of this contract) associated with such non-performed work from Contractor’s invoice. CO may afford Contractor an opportunity (subject to CO discretion) to accomplish non-performed work within a reasonable period.

CO may employ Government personnel or other means (e.g., reducing the price under this contract to fund another Contractor) to perform the services.

5.3.5 Remedial Action:

The Federal Acquisition Regulation (FAR) allows for remedies in the event that the

Contractor fails to perform the requisite services. The FAR regulations cited in the contract include the following:

FAR

Reference Title

52.246-2 Inspection of Supplies - Fixed-Price (AUG 1996)

52.246-4 Inspection of Services - Fixed-Price (AUG 1996)

52.246-5 Inspection of Services - Cost-Reimbursement (APR 1984)

52.246-14 Inspection of Transportation (APR 1984)

52.246-16 Responsibility for Supplies (APR 1984)

The Government may require the Contractor to correct services that did not meet contractual requirements. If the Contractor fails to perform requisite corrective actions in a timely manner (as defined by the DOE), the Government may (i) reduce the fixed price from any amounts paid or due under the contract; or (ii) terminate the contract for default.

5.3.6 Should the Government elect to afford the Contractor an opportunity to perform re-work, the CO may, at its sole discretion, elect not to take further action if: (1) the Contractor is working in good faith with the Government to correct the problem(s) in the future; and

(2) the Contractor does not have a repetitive trend of non-performance and unsatisfactory work for the same requirements.

5.3.7 The CO must coordinate and communicate with the Contractor to resolve issues and concerns regarding marginal or unacceptable performance. The CO will give the

Contractor written or verbal notice (followed up with a written notice) of deficiencies prior to deducting for non-performance or unsatisfactory work.

6 PERFORMANCE REQUIREMENTS SUMMARY

The Performance Requirements Summary (PRS) table summarizes specific work scope that the

Contractor performs under this contract. The PRS associates each performance requirement with each contract requirement and includes:

6.1 Requisite Service.

Column 1 of the PRS identifies requisite services for evaluation.

6.2 Performance Standard.

Column 2 of the PRS identifies the performance standard for each requisite service. The column also provides a narrative summary of the expected service level for each requirement.

6.3 Acceptable Quality Level (AQL).

Column 3 of the PRS identifies the AQL for each performance standard. AQL is the quality of performance which, when not met, indicates that the Contractor's quality of performance/services is unsatisfactory. AQL when expressed as a percentage represents the percentage of inspected items that must be acceptable to meet the AQL. It does not represent the percentage of items that the Government inspects.

6.4 Methods of Surveillance.

Column 4 of the PRS identifies methods of surveillance for each requisite service. The surveillance method describes how Government will evaluate the AQL (e.g., reviews, periodic inspections, random observations, surveillances, customer feedback, or audits)

6.5 Deductions.

Column 5 of the PRS identifies the deduction for each requisite service. The deduction represents a monetary reduction for not meeting the AQL, either as a percentage of the line item cost or flat deduction.

In accordance with FAR 52.246-2, Inspection of Supplies – Fixed Price, the Government has the right either to reject or to require correction of nonconforming supplies. In addition, in accordance with FAR 52.246-4, Inspection of Services – Fixed Price, the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

1. Requisite

Services

(Tasks)

2. Performance

Standards

3. Acceptable

Quality

Levels

4. Methods of

Surveillance

5. Deduction

PWS C.3.1.6

Driver

Inspections

Contractor shall stop to conduct routine safety inspections of the tractor, trailer, and packaging/packages.

100%; Zero instances of failure to conduct requisite safety inspections.

Review of logbooks, TRANSCOM entries, DOE

Audit.

Maximum of $500 per incident of non-performance.

PWS C.3.1.8

Transit Time and Direct

Routes

Contractor shall transport loaded shipments on designated transportation routes.

Zero instances of unauthorized route deviations while transporting loaded shipments.

WIPP Central

Monitoring

Room (CMR) and

TRANSCOM

Control Center

(TCC)

monitoring.

Maximum of $500 per unauthorized route deviation in addition to driver penalties listed in

PWS C.3.5.1.6.

PWS C.3.1.9

Continuous

Surveillance

Service/Security

Contractor shall provide Continuous

Surveillance Service on all loaded TRU waste shipments.

100%; Zero instances of an unattended tractor and/or trailer.

Field reports from Law

Enforcement

Officials, random surveillance.

Maximum of $500 dollars per incident of non-performance in addition to driver penalties listed in

PWS C.3.5.1.6.

PWS C.3.2

Terminal

Services

Contractor shall operate and maintain a terminal and maintenance facility within the

Greater Carlsbad, New Mexico area

(10 mile perimeter of Carlsbad).

100%;

Contractor must continuously provide all terminal services per

C.3.2.

Observation, periodic inspection, DOE audit.

Maximum of

$20,000 dollars per invoice period for non-compliance

Contract

Section

B.3 and PWS

C.3.3

Contractor shall provide and maintain the contract ordered

100%;

Contractor must continuously

Observation, periodic inspection, DOE audit.

Deduction will be calculated from the applicable ordering period

Services

(Tasks)

2. Performance

Standards

3. Acceptable

Quality

Levels

4. Methods of

Surveillance

5. Deduction

Basic and if applicable

Additional

Tractor Services

Basic and if applicable additional number of dedicated tractors provide all ordered services per

B.3, C.3.3.

FFP/FFUP for the specified months in contract section

B.3(c). The calculation will reflect the amount for the time period of non-compliance

(pro-rated within each invoicing period).

Contract

Section B.3 and

PWS C.3.4

Maintenance

Services

Contractor shall provide the contract ordered Basic and if applicable additional number of trailer maintenance services.

100%;

Contractor must continuously provide all ordered services per

B.3, C.3.4.

Observation, periodic records inspection, DOE audit.

Deduction will be calculated from the applicable ordering period

FFP/FFUP for the specified months in contract section

B.3(c). The calculation will reflect the amount for the time period of non-compliance

(pro-rated within each invoicing period).

Contract

Section

C.3.4.1.9

Hours of

“downtime” for equipment shall not exceed 1%

99%;

Contractor must make the tractor and/or trailer

(equipment) available to make and/or complete a shipment in a month.

DOE review of monthly summary reports

A basis for the issuance of a cure notice and/or termination for default and/or any other action the

Department determines to be necessary

Contract

Section B.3 and

PWS C.3.5

Contractor shall provide the contract ordered Basic and if

100%;

Contractor must

Observation, periodic records inspection, Deduction will be calculated from the applicable

Services

(Tasks)

2. Performance

Standards

3. Acceptable

Quality

Levels

4. Methods of

Surveillance

5. Deduction

Driver Services applicable additional number of drivers services that meet all applicable DOT and

CBFO driver requirements.

continuously provide all ordered services per

B.3, C.3.5.

CBFO Qualified

Drivers List, DOE audit.

ordering period

FFUP for the 12 month ordering period, specified in contract section

B.3(c). The calculation will reflect the amount for the time period of non-compliance

(pro-rated within each invoicing period). (i.e. if the

Contractor is not able to fill one driver position for one month (in a

12-month period), payment to the

Contractor will be reduced by 1/12 of the specified

FFP/FFUP in

Section B.3(c), under the

Additional Driver

Services (for the entire team).

PWS C.4.1

Transportation

Management

Plan

Contractor shall submit a transportation management plan detailing operational process to fulfill

PWS requirements.

100%; Plan is in accordance with PWS and

Section J –

Attachment B.

Documentation review, DOE audit.

$500 for each documented instance when a report is submitted after the scheduled due date, or is not technically accurate and complete;

however, CO has discretion to administer the corrective

Services

(Tasks)

2. Performance

Standards

3. Acceptable

Quality

Levels

4. Methods of

Surveillance

5. Deduction measure.

PWS C.4.3

Transition Plan

Contractor shall submit a Transition plan from award date to assumption of contract responsibilities.

100%; Plan is in accordance with PWS and

Section J –

Attachment B

Documentation review, DOE audit.

$500 for each documented instance when a report is submitted after the scheduled due date, or is not technically accurate and complete;

however, CO has discretion to administer the corrective measure.

PWS C.4.4

Security Plan

Contractor shall submit a security plan that meets

CBFO and DOT requirements covering transportation and support facilities.

100%; Plan is in accordance with PWS and

Section J, Attachment B.

Documentation review, DOE audit.

$500 for each documented instance when a report is submitted after the scheduled due date, or is not technically accurate and complete;

however, CO has discretion to administer the corrective measure.

PWS C.4.5

Quality

Assurance Plan

Contractor shall submit a Quality

Assurance plan that complies with the

CBFO QA Program

Document and DOT requirement.

100%; Plan is in accordance with PWS and

Section J, Attachment B.

Documentation review, DOE audit.

$500 for each documented instance when a report is submitted after the scheduled due date, or is not technically accurate and complete;

however, CO has

Services

(Tasks)

2. Performance

Standards

3. Acceptable

Quality

Levels

4. Methods of

Surveillance

5. Deduction discretion to administer the corrective measure.

PWS C.4.6

ISMS

Contractor shall submit an ISMS graded approach description that meets CBFO, DOE

P 450.4A and

DEAR Clause 48-

CFR 970.5223-1

requirements.

100%; Plan is in accordance with PWS and

Section J, Attachment B

Documentation review, DOE audit.

$500 for each documented instance when a report is submitted after the scheduled due date, or is not technically accurate and complete;

however, CO has discretion to administer the corrective measure.

PWS C.3.1.7,

C.3.4.1.5 &

FAR 52.245-1

Reporting

Contractor shall submit monthly reports for

State/Tribal Agency

Inspections and

Equipment

Downtime.

Contractor shall submit annual reports for

State/Tribal

Inspections and

Government

Furnished Property.

100%;

Reports are in accordance with PWS and

Section J, Attachment B

Observation, documentation review and surveillance.

$500 for each documented instance when a report is submitted after the scheduled due date, or is not technically accurate and complete;

however, CO has discretion to administer the corrective measure.

ATTACHMENT 2: SAMPLING GUIDE/QUALITY ASSURANCE MONITORING

FORMS/INSPECTION CHECKLIST

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD:

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

NOTE: S = Satisfactory Performance M = Marginal Performance U = Unsatisfactory

Performance N/A = Not Applicable

Performance: Satisfactory (S), Marginal (M), Unsatisfactory (U), Not Applicable (N/A)

PRS Requirements Timeliness Quality of Work Notes

Overall Rating Of Inspection (S, M, U, or N/A)

Narrative of Performance during Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

CONTRACTOR SIGNATURE: ________________________ DATE: _________________

WIPP Transportation Services 2017 — Final RFP Section L Solicitation# DE-SOL-0009438, Am. 000001

L-i

PART IV — REPRESENTATIONS AND INSTRUCTIONS

SECTION L

INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

TABLE OF CONTENTS

L.1 RESERVED

L.2 RESERVED

L.3 FAR 52.216-1 TYPE OF CONTRACT (APR 1984)

L.4 DOE-L-2017 EXPENSES RELATED TO OFFEROR SUBMISSIONS (OCT 2015) . 1

L.5 DOE-L-2022 ALTERNATE BID/PROPOSAL INFORMATION – NONE (OCT

2015)

L.6 DOE-L-2024, NOTICE OF INTENT – USE OF NON-FEDERAL EVALUATORS

AND ADVISORS (OCT 2015)

L.7 DOE-L-2025 INTENTION TO BID/PROPOSE (OCT 2015)

L.8 FAR 52.252-1, SOLICITATION PROVISIONS INCORPORATED BY

REFERENCE (FEB 1998)

L.9 OFFER ACCEPTANCE PERIOD

L.10 DOE-L-2001 PROPOSAL PREPARATION INSTRUCTIONS – GENERAL (OCT

2015)

L.11 DOE-L-2002 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME I –

OFFER AND OTHER DOCUMENTS – ALTERNATE III AND ALTERNATE IV

(OCT 2015)

L.12 DOE-L-2003 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME II –

TECHNICAL AND MANAGEMENT PROPOSAL – GENERAL (OCT 2015)

L.13 DOE-L-2004 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME II –

TECHNICAL AND MANAGEMENT APPROACH (OCT 2015)

L-ii

L.14 DOE-L-2005 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME II - KEY

PERSONNEL (OCT 2015)

L.15 DOE-L-2009 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME II –

RELEVANT EXPERIENCE (OCT 2015)

L.16 DOE-L-2010 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME II – PAST

PERFORMANCE (OCT 2015)

L.17 PROPOSAL PREPARATION INSTRUCTIONS, VOLUME III – COST OR PRICE

PROPOSAL

L.18 DOE-L-2014 DATE, TIME, AND PLACE OFFERS ARE DUE (OCT 2015)

L.19 DOE-L-2016 NUMBER OF AWARDS (OCT 2015)

L.20 CONTACTS REGARDING FUTURE EMPLOYMENT

L.21 SMALL BUSINESS SIZE STANDARD AND SET-ASIDE INFORMATION

L.22 DOE-L-2021 GUIDANCE FOR PROSPECTIVE OFFERORS - IMPACT OF

TEAMING ARRANGEMENTS ON SMALL BUSINESS STATUS (OCT 2015)

L.23 DOE-L-2026 SERVICE OF PROTEST (OCT 2015)/ FAR 52.233-2, SERVICE OF

PROTEST (SEP 2006)/ AS MODIFIED BY DEAR 952.233-2 SERVICE OF

PROTEST (MAY 2010)

L.24 DOE-L-2027 NOTICE OF PROTEST FILE AVAILABILITY (OCT 2015)

L.25 DOE-L-2028 AGENCY PROTEST REVIEW (OCT 2015)

L.26 LIST OF SECTION L ATTACHMENTS

ATTACHMENT L-1 PERFORMANCE GUARANTEE AGREEMENT

ATTACHMENT L-2 KEY PERSONNEL STANDARD RESUME FORMAT

ATTACHMENT L-3 PAST PERFORMANCE AND EXPERIENCE REFERENCE

INFORMATION FORM

ATTACHMENT L-4 PAST PERFORMANCE COVER LETTER AND

QUESTIONNAIRE

L-iii

ATTACHMENT L-5 LIST OF…