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Review of Contractual Agreement Requirements Associated with DOECAP

This review outlines DOECAP's contractual agreement requirements, audit schedules, and the program's expansion. It emphasizes the importance of aligning audit scopes with contract obligations to ensure compliance.

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Review of Contractual Agreement Requirements Associated with DOECAP

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  1. Review of Contractual AgreementRequirements Associated with DOECAP George E. Detsis Manager, Analytical Services Program Nile Luedtke DOECAP Operations Team Lead Low Level/Mixed Low Level Waste Corporate Board Meeting Nashville, Tennessee - December 10, 2009

  2. Outline • DOECAP Overview • Contractual Agreement Background • Preliminary Contractual Agreement Requirements Review • Path Forward / FY10 TSDF Audit Schedule

  3. DOECAP Overview • Audited facilities hold multiple DOE contracts • 40 Annual qualification audits (30 analytical laboratories/10 TSDFs) • TSDF audits led by DOE Federal employees • Voluntary auditor pool – multiple DOE sites • TSDF audits comprise 7 audit disciplines • Annual Report / Annual ASP Workshop

  4. Why HSS Performs“Consolidated” Audits • To support Field Missions • To provide valuable information to DOE field managers relative to waste treatment/disposal options for commercial waste vendors • To minimize Departmental risks and liabilities • To help assure accountability, tracking, and proper disposal of DOE waste • To assist in keeping the pipelines open

  5. Contractual Agreement Requirements • Observed differing sets of contractual requirements and expectations • Value in periodic contractual requirements review • Assure audit scopes are consistent with contract requirements and not outside DOE expectations or requirements • Program has expanded to non-radiological TSDFs • DOE risks/liabilities also exist for non-radiological TSDFs • NQA-1, Part 1, Basic Requirements apply

  6. TSDF Findingsby Audit Discipline

  7. TSDF Contracts Review • Program historically reviewed TSDF contract information in 2004-2005 in relation to existing audit checklists • At least one facility expressed concern that the extent of the current audit scope exceeded the bounds of their contract obligations • The Program is starting to incorporate non-radiological TSDF operations in the audit process

  8. DOECAP Course of Action • Collect contract and SOW information from DOECAP POCs and contractor POCs and perform an internal review and comparison • Distribute DOECAP audit checklists to a focused group of DOECAP POCs and contractor POCs, requesting their review of contracts and SOWs against the audit checklists, and provide feedback • Distribute the checklists to the TSDFs themselves, requesting them to review versus their contracts, and provide feedback

  9. Initial Inquiry to the DOECAP Community Received Substantial Responses From: • Pacific Northwest National Laboratory • Sandia National Laboratory • Savannah River Site (SRNS) • Idaho National Laboratory • Kansas City Plant • Jefferson National • Pantex Plant

  10. On-Site Assessments • “will conduct a compliance assessment of each facility” … • “will either approve or disapprove individual facilities based on the assessments” … “reserves the right to inspect the Contractors' facilities” • “All Contractor facilities shall be audited annually by the DOE Consolidated Audit Program (DOECAP).” • “the buyer reserves the right to conduct on-site inspections of the Seller’s facilities” … “contingent upon the Seller successfully passing an environmental site survey audit” • “shall be evaluated/audited periodically (nominally on an annual basis) for compliance on its integrated Quality Assurance program based on established guidelines and requirements. These evaluations/audits shall be accomplished as a part of the U.S. DOE’s Consolidated Audit Program.”

  11. TSDFs Required To • “adhere to all applicable local, state, and federal regulations governing treatment, storage, and disposal of hazardous waste, PCB waste and hazardous waste/PCB waste” • “All treatment at the Subcontractor’s facility shall be done in accordance with applicable federal, state, and local regulations.” (RCRA, TSCA, FIFRA, CERCLA) • “conduct operations in an environmentally safe and sound manner in compliance with but not limited to regulatory requirements and amendments promulgated under the: CWA; CAA; RCRA; SARA; CERCLA; TSCA; OSHA, particularly 29 CFR 1910.120 (Hazardous Waste Operations and Emergency Response); and Hazardous Materials Transportation Act (HMTA)

  12. Including But Not Limited To U.S. Department of Labor regulations ; 29 CFR • Part 1910 Occupational Safety and Health Standards Environmental Protection Agency regulations ; 40 CFR • Part 260 Hazardous Waste Management System • Part 261 Identification and Listing of Hazardous Waste • Etc. Approved State Hazardous Waste Management Programs; Hazardous Waste Management Regulations (SCHWMR) R.61-79.124, R.61- 79.260-66, 68, 70, 73 Department Of Energy Directives; • DOE O 435.1 Radioactive Waste Management • DOE O 460.2 Departmental Materials Transportation and Packaging • DOE O 5400.1 General Environmental Protection Program • Etc.

  13. Quality Assurance Requirements • “For work performed by the Subcontractor at its facilities, the Subcontractor shall have a DOECAP approved quality assurance program or other Quality Assurance Program (QAP) as part of its overall waste certification program. If the Subcontractor has other than a DOECAP approved QAP, the QAP shall implement the requirements of ASME NQA-1-2000.” • “The Supplier shall maintain and implement a quality management system that has been evaluated and accepted by the DOECAP specifically for TSD Facilities.” • “The Subcontractor shall have a QA program (Reference NQA-1) in place and shall provide the Company with a copy of such.”

  14. Treatment & Storage • “Ensure all material is treated/disposed within 90 days from the date the waste was shipped” • “Treatment shall occur within 12 months of waste being received at the treatment facility.” • “shall be notified, immediately by phone and follow up in writing, of any waste not treated/destroyed within one year of receipt for RCRA waste or within one year of the generation date for PCB waste” • “The Subcontract shall notify in writing at least sixty (60) days prior to exceeding any storage limit.”

  15. Sampling & Analyses • “All sampling, sample handling, analysis, data management, QA/QC procedures shall be in accordance with the EPA document, “Test Methods for Evaluation of Solid Waste. Physical/Chemical Methods,” SW-846 unless applicable state law or permit provisions impose different requirements that are inconsistent with SW-846.” • “Laboratories that the Subcontractor intends to use for analytical services must be audited by the Department of Energy Consolidated Audit Program (DOECAP).”

  16. Path ForwardAssistance from EM - M/LLW • Support in obtaining representative TSDF contract and SOW information • Support to identify DOE and contractor points-of-contact • Support to identify DOE and contractor auditors and lead auditors • Support in obtaining relevant and pertinent site operations information concerning the TSDFs

  17. Path ForwardTSDFs Audit Schedule FY10 • Diversified Scientific Services, Kingston, TN Nov 2009 • Materials and Energy Corp, Oak Ridge, TN Jan 2010 • Energy Solutions, LLC, Oak Ridge, TN Feb 2010 • Impact Services, Inc., Oak Ridge, TN Feb 2010 • Perma-Fix of Florida, Gainesville, FL Mar 2010 • Clean Harbors, Deer Park, TX (non-rad) Mar 2010 • Energy Solutions of Utah, Clive, UT Apr 2010 • Clean Harbors, Aragonite, UT (non-rad) Apr 2010 • Perma-Fix Northwest, Richland, WA May 2010 • Clean Harbors, El Dorado, AR (non-rad) Jun 2010

  18. DOECAP Operations Team George Detsis – DOE HSS Headquarters Jorge Ferrer - DOE Oak Ridge Federal Analytical Services Program Manager Federal DOECAP Manager Phone: (301) 903-1488 Phone: (865) 576-6638 E-mail: George.Detsis@hq.doe.gov E-mail: FerrerJA@oro.doe.gov Richard Martin – DOE Oak Ridge Nile Luedtke – Pro2Serve, Inc. Federal Deputy DOECAP Manager DOECAP Operations Team Leader E-mail: martinrw@oro.doe.gov Email: luedtkena@oro.doe.gov Joe Pardue - Pro2Serve, Inc. Todd Hardt - Pro2Serve, Inc. DOECAP Technical Operations Coord. DOECAP Qualification Coord. E-mail: parduegjjr@oro.doe.gov E-mail:  hardttl@oro.doe.gov Susan Aderholdt - Pro2Serve, Inc. Rhonda Jobe - Pro2Serve, Inc. DOECAP Corrective Actions Coord. DOECAP Document Coord. E-mail:  aderholdtsl@oro.doe.gov E-mail:  joberd@oro.doe.gov

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