Attachment_10_-_QASP_and_APLs.pdf

Solicitation No: SP4520-16-R-0002 Attachment 10

Quality Assurance Surveillance Plan (QASP) for DLA Disposition Services Performance-Based Hazardous Waste Disposal Contracts

The purpose of this document is to provide guidance on administering subject contracts such that the best possible quality in performance can be assured through appropriate surveillance, and addressing of any performance failures as appropriate. The Acceptable Performance Level (APL) itself states the surveillance methods and reductions for failures. However, certain additional explanation and detail is provided herein as necessary:

I. Compliant Removal

1. “Days” in the timeframe column usually means calendar days unless the contract uses business days.

2. Accuracy shall be evaluated during a 12-month time period. “Accurate” as in shipping documentation, means the number of orders with accurate shipping documentation during any consecutive 12-month time period. If any significant error occurs in the shipping documentation of an order, the entire order is considered inaccurate for evaluation purposes. No more than 10 inaccurate order submittals in a twelve month period is considered acceptable. At the end of every month, a new 12-month period shall be established for the purposes of evaluating accuracy.

3. The following should normally be considered significant errors:

a. Any error that results in misidentification of a regulated waste, including incorrectly identifying a regulated waste as non-regulated or vice versa.

b. Any errors in quantity of wastes being shipped (regulated or non-regulated).

c. Any errors impacting destination/location of wastes (i.e., wrong facility identified).

d. Typographical errors that don’t affect identification, quantity, or waste destination/location are normally not considered significant in and of themselves, however if they cumulatively require undue Government effort to rectify under a given order, they are considered significant.

4. “CSRs” are the DRMS Form 1729 Collection Summary Reports completed by the Contracting Officer Representative (COR) for each order removed under the contract.

They will be reviewed primarily to determine compliance with the removal phase of the total service being provided. CORs must annotate any deficiencies in Blocks 1 through 16 with an explanation as appropriate in the Remarks section on Page 2 of the form.

Other methods of surveillance in the removal phase include such means as emails and other feedback from the COR and/or generators to determine contract compliance.

II. Compliant Disposal/Recycling

1. Use of the terms “days” is the same as explained above.

2. The primary method of surveillance for evaluating compliance with required timeframes is the Overage Report. This report is distributed on a monthly basis for review/action, and indicates which line items are overdue under the contract. For evaluation purposes, 225 calendar days will be the cut-off for determining disposal for all items except wastes being incinerated, which have a disposal timeframe of 315 calendar days. Subsequent time for actual contractor input of Phase II tracking entries into BOSS shall not exceed 45 calendar days beyond these timeframes.

3. DRMS Form 1878 will be used to determine accuracy of documents and inputs by the contractor for disposal in the tracking of Government waste and contract compliance.

4. For task orders, accuracy is based on the number of line items, e.g. if a task order contains 10 line items and 2 line items are improperly disposed of, or evidences a different disposal input error, that equals 2 inaccurate line items for disposal. The Government reserves the right to determine whether these deficiencies are major or minor non-conformances, as follows:

a. High-Risk Category (Major Nonconformance):

National/Domestic Security-type Items: Items for which “demilitarization via service contract” is allowed or preferred and Certificates of Destruction (CDs) may be contractually required; i.e. Chemical Defense Equipment (CDE), Submarine Tiles, poisonous gases, reactives, oxidizers, DEA Watchlist Items, etc., which could be used as weapons of terror.

Increased Regulatory Scrutiny-type Items: Items for which the customer is required by regulation to do any or all of the following:

- Receive a Certificate of Destruction (CD); i.e. PCB Items

- Provide the final disposal method on their annual report

- Pay annual waste fees, based on final management methods (known states:

Georgia, California, other states may have or add this requirement)

b. Low-Risk Category (Minor Nonconformance): Any item that is not in the high risk category will be considered a low risk; however, if minor deficiencies are repetitive on a consistent basis such that significant Government resources are required to correct them, then the deficiencies can be considered a Major Nonconformance (High-Risk).

III. Compliant Special Services

1. Use of the terms “days” and “accurate” is the same as explained above.

2. The primary method of surveillance is CSRs as explained above, as well as the other feedback sources indicated on the APL Matrix (see Section V).

IV. Reduction for Failed APL

1. As indicated in the APL Matrix below, the reduction for failure to meet APLs varies between the performance areas.

2. If valid failure to meet an APL is identified prior to payment and a fee is applicable per the APL matrix it shall be taken against that particular task order. If the failure is identified after payment and a fee is warranted, it may be applied against an open task order line item. Administrative note: The fee shall be returned to the affected generator(s) by applying it to the funded line items of the affected generator(s).

3. In addition to the disincentive reductions stated in Column G and past performance annotation remedies available to the Contracting Officer under the APL Matrix, the Government may take actions such as partial or full terminations under FAR 52.249-8, inspections under FAR 52.246-4, warranties under FAR 52.246-20, cessation of Phase I payments (if the contractor’s amount of lines with Phase II documentation in overage status exceeds five percent of total lines against the contract within the current contract period), not exercising options, and ending a contract early without these measures (as long as it is IDIQ and has met its minimum Government obligation for the period and a plan for a timely replacement contract is secured).

V. APL Matrix: See Attachment

Acceptable Performance Levels (APLs)

A B C D E F G H Deliverable Phase Standard Time Frame Clause Acceptable

Performance Level

Reduction for Failure

Method of Surveillanc e

1 Compliant Removal

Pre- Removal

Submittal of shipping documentation

1-5 days depending on removal time

I.B.2.(a)(2) No more than 5 returnable submittals during a 12 month period of time

A disincentive fee of 3% shall be applied to each task order returned for corrections after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed criteria in column F.

Collection Summary Reports.

Customer and COR input.

1.1 Pre-

Removal

Notification 1-2 days I.B.2.(a)(3) No more than 5 late notifications during a twelve month period of time

A disincentive fee of 3% shall be applied to each task order with late notification after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed criteria in Column F.

Collection Summary Reports.

Customer and COR input.

Performance Level

Reduction for Failure

Method of Surveillanc e

1.2 Removal Safe, compliant, timely removal and transportation

1-15 days as required per task order

I.B.2.(b) and I.C.7.

No more than 5 late removals during a twelve month period of time

A disincentive fee of 3% shall be applied to each late task order after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed criteria in Column F.

Collection Summary Reports.

Customer and COR input.

1.3 Post-

Removal

Compliant transportation, interim storage and shipment to initial qualified

TSDF

Return of manifest or shipping documentatio n

I.B.2.(c)(1) ii.

No more than 5 non-compliant transportation or storage and ultimate shipment to an initial TSDF during a twelve month period of time

A disincentive fee of 10% shall be applied to each non-compliant transportation or storage and shipment to an initial TSDF storage task order after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

Collection Summary Reports.

Customer and COR input.

Performance Level

Reduction for Failure

Method of Surveillanc e

1.4 Post-

Removal

Timely delivery to qualified TSDF

Return manifest timely to eliminate potential exception report.

I.B.2.(c)(1)i. No more than two (2) exceptions reports received per generator during a 12 month period of time

A disincentive fee of 10% shall be applied to each task order with a late return manifest after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

Collection Summary Reports.

Customer and COR input.

2 Compliant Disposal and/or Recycling

Disposal (or recycling)

On time, proper disposal or recycling IAW hazardous waste regulations and contract requirement

Compliant Disposal within one year of the date the waste is received at the TSDF

I.B.3.(a)(4)ii No more than 3 late disposals during a 12 month period of time

A disincentive fee of 10% shall be applied to each line item disposed of late after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

CO review, tracking and

BOSS

Performance Level

Reduction for Failure

Method of Surveillanc e

3. Compliant Special Services

Delivery of expedited removal or performance service

Timely, compliance, accurate service(s)

As stated in contract for service specified

I.B.4(a)(3) No more than 5 late performances during a 12 month period of time

A disincentive fee of 5% shall be applied to each line item not picked up in a timely manner after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

Customer, COR and CO review and input

3.1 Waste

analysis (6400 Series

CLINS)

Accurate and timely provision

As stated in contract for service specified

I.B.2.3(a)(3) No more than 5 late or inaccurate analysis during a 12 month period of time

A disincentive fee of 3% shall be applied to each late line item for analysis being performed on after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

Customer, COR and CO input

Performance Level

Reduction for Failure

Method of Surveillanc e

3.2 Delivery of

certificates of disposal and/or recycling.

Timely provision As stated in contract for service specified

I.B.2(c)(1) and I.B.3(a) and I.B.3(b)

No more than 5 late certificates during a 12 month period of time

A disincentive fee of 3% shall be applied to each line item with a late certificate after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

Customer, COR and CO review and input

3.3 Provision of

Storage Containers

Timely placement, removal, replacement

As stated in contract for service specified

I.C.4(c)(1) No more than 5 untimely placement of storage containers during a twelve month period of time

A disincentive fee of 5% shall be applied for line item related to placement and removal of storage containers after the contractor exceeds the criteria stated in Column F until such time as performance again does not exceed the criteria in Column F.

Customer, COR and CO review and input

Quality Assurance Surveillance Plan (QASP) for