United States EPA 540-K-93-005
Environmental Protection Publication 9230.1-09C
Agency PB93-963354
April 1994
Office of Solid Waste and Emergency Response
vvEPA Superfund Technical
Assistance Grant (TAG)
Handbook:
Procurement—Using TAG
Funds
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EPA CONTACTS
For more information about the Technical Assistance Grant
(TAG) Program, contact:
Regional TAG Coordinator:
Community Involvement Coordinator:
National TAG Coordinator
U.S. Environmental Protection Agency (5204G)
401 M Street, SW
Washington, DC 20460
(703) 603-8889
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CONTENTS
BASIC REQUIREMENTS 1
Identifying Potential Contractors 2
Procurement Procedures 5
Determining Acceptable Costs 6
Developing the Contract 7
Recordkeeping 9
DOsANDDONTs 11
COMMONLY ASKED QUESTIONS 13
CHECKLISTS 17
STEP-BY-STEP INSTRUCTIONS AND SAMPLE FORMS 21
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BASIC REQUIREMENTS FOR USING TAG FUNDS
The term "procurement" refers to the expenditure of funds by your
group. There are certain procedures that you must follow when spend-
ing grant funds. While the bulk of Technical Assistance Grant (TAG)
funds usually is used to hire technical advisors, TAG funds also may be
used to hire grant administrators and to obtain supplies, equipment, and
other approved items. For the purposes of this booklet, the term "con-
tractor" refers to any people that your group pays for services or goods.
Federal regulations governing the selection of technical advisors and
other products or services are designed to ensure that your group con-
ducts all selection activities in a manner that ensures maximum open and
free competition. This section paraphrases key provisions of the regula-
tions, or procurement guidelines, which outline sets of procedures that
your group should follow. Your Regional TAG Coordinator can pro-
vide a copy of the text of the regulations.
As you will read later in this booklet, procurement procedures vary, de-
pending on the dollar amount of the contract being awarded. However,
you have to do the following in all cases:
• Determine that the proposed costs for services or goods are reasonable.
• Make sure that candidates are not on the master list of suspended or
debarred contractors. (This list, which is published four times per
year in the , is available from your Regional TAG
Coordinator.)
• Review potential contractors' financial and business relationships to
ensure that no conflict of interest exists. (A full discussion of con-
flicts of interest is presented on page 4.)
• Make positive efforts to seek out and utilize small and minority-
owned businesses.
• Maintain records of your group's selection activities, including your
efforts to use small and minority-owned businesses.
Although EPA may provide advice „ ... . . ,
, ?, ./ i . You will spend most of
and guidance on the selection process -.-«*»* -•
j 9 . . . . your TAG funds on:
and is required to review contracts
worth over $1,000, EPA is not a party
to TAG contracts. Your group will be
responsible for ensuring that your con-
tractors fulfill all the terms of your con-
tracts and comply with applicable state
and federal regulations. Contact your
Regional TAG Coordinator if you have
any questions.
1
Hiring technical advisors.
Hiring grant administrators.
Obtaining supplies, equip-
ment, and other approved
items.
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IDENTIFYING POTENTIAL CONTRACTORS ^^^^^^^^
The following discussion explains required and suggested qualifications
of applicants, suggests possible sources of contractors, and notes the im-
portance of avoiding conflicts of interest.
Areas of technical
expertise might include:
chemistry
engineering
toxicology
epidemiology
hydrology
soil science
limnology
meteorology
Qualifications
—Technical Advisors:
Before selecting a technical advisor,
you should determine the types of ex-
pertise you are likely to need to inter-
pret information about the Superfund
site in your community. Groups'
needs are likely to vary depending on
site characteristics and the specific con-
cerns of the group. Also, you may
want different types of information at
different points in the Superfund
cleanup process.
As a result, your group may seek indi-
viduals with several areas of expertise
to evaluate site information over the
life of the project. To obtain the skills needed, your group may select
more than one technical advisor or a single individual with knowledge
of several subjects.
Any technical advisor you select must have the following qualifications:
• A demonstrated knowledge of hazardous or toxic waste issues.
• Academic training in a relevant field.
• The ability to translate technical information into terms understand-
able by the public.
• The technical qualifications, financial resources, and experience to
successfully carry out the required tasks.
• A satisfactory performance record for completing work.
• Adequate accounting or auditing procedures to control funds
properly.
• A demonstrated compliance or willingness to comply with civil
rights and equal opportunity laws, and other related statutory
requirements outlined in 40 CFR Part 30.
Your technical advisor(s) also should have demonstrated writing skills
and experience working on hazardous or toxic waste problems,
making technical presentations, and working with community groups.
If your community has particular needs, foreign language, you may
wish to specify this as a required skill.
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—Grant Administrators:
Some groups choose to hire a grant administrator to help with the tasks
involved in managing a TAG. These may range from doing bookkeep-
ing to completing and filing reports with EPA. (The publication
has a more complete list.)
Where to Look
There are many places to look for po-
Grant administrators
should have qualifications
that include:
Basic accounting skills.
Good organizational
skills.
tential contractors. The process of
identifying possible candidates can be
time consuming, so you should begin
as early as possible in the grant pro-
cess. Many of the organizations listed
below are good sources of low-cost,
high-quality assistance or may be able
to identify candidates who fit the par-
ticular needs of your group:
• College and university departments of science, engineering, and
public health.
• Local hospitals and medical facilities.
• Local or state health departments.
• Local chapters of professional or technical societies.
• Consulting firms and other businesses that specialize in scientific,
technical, engineering, and environmental services.
Your Regional TAG Coordinator also may be able to provide additional
assistance on where to look for contractors.
Using Small Businesses and Those Owned by Minorities and Women
As a recipient of TAG funds, your group must make positive efforts to
use contractors representing small (SBEs), minority-owned (MBEs), and
women-owned business enterprises (WBEs). Your Regional TAG Coor-
dinator may be able to suggest contacts who can help you locate SBE,
MBE, and WBE contractor candidates.
A "small business" is defined as "not dominant in its field of operation"
and has annual revenues (over the last three years) of under $3.5 million.
For firms in business less than three years, see Part 13 of the
(CFR), section 121.402.
A minority-owned business is one that is at least one of the following:
• Certified as socially and economically disadvantaged by the Small
Business Administration (SBA).
• Certified as a minority business enterprise by a state or federal agency.
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• An independent business concern that is at least 51 percent owned
and controlled by minority group members.
For these purposes, a minority group member is defined as an individual
who is a citizen of the United States and one of the following:
• African American.
• Hispanic American (with origins from Puerto Rico, Mexico, Cuba,
South or Central America).
• Native American (American Indian, Eskimo, Aleut, native
Hawaiian).
• Asian-Pacific American (with origins from Japan, China, the Philip-
pines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territories of
the Pacific, Northern Marianas, Laos, Cambodia, Taiwan, or the
Indian subcontinent).
A woman-owned business is one that is at least one of the following:
• Certified as such by a state or federal agency.
• An independent business concern which is at least 51 percent owned
by a woman or women who also control and operate it.
To ensure that you use small businesses in rural areas whenever
possible, you must comply with the following requirements:
• Place qualified small businesses in rural areas on your mailing list
for publicizing work that needs to be done.
• Ask small businesses in rural areas to
submit proposals whenever they are
possible sources of the services required.
• Divide total project requirements,
when economically feasible, into smaller
tasks to permit maximum participation
by small businesses in rural areas.
• Establish delivery schedules that
encourage small businesses in rural
areas to participate.
• Use the services of the SBA and Minority Business Development
Agency of the U.S. Department of Commerce, as appropriate.
• Require the technical advisor to take the above steps as well if he /
she subcontracts with other professionals to provide some of the
services your group needs.
Conflict of Interest Issues
Groups must be confident of the objectivity, as well as the expertise, of
potential contractors. In choosing your contractor(s), you need to be
aware of potential conflicting loyalties or obligations they might have.
Your Regional TAG
Coordinator or SBA
contact can help you
determine whether a
candidate works for a
small business.
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For example, a contractor who has worked for the Potentially Respon-
sible Party (PRP) at a site might have a conflict between his/her loyal-
ties to that past employer (the PRP) and his/her current employer (the
group with a TAG). Someone who is working for an organization re-
lated to the contamination at the site or working with the government or
another firm in cleaning up the site is not eligible to receive TAG funding.
EPA's policy is to prevent personal or organizational conflicts of inter-
est, or the appearance of such conflicts, when awarding contracts. (If a
candidate identifies a potential conflict of interest, contact your Regional
TAG Coordinator.) If a candidate has a significant conflict of interest
problem that cannot be resolved, you must eliminate him/her from
consideration.
In addition, you cannot solicit or accept gratuities, favors, or any-
thing of monetary value from potential contractors. Individual mem-
bers of your group cannot have financial or other types of interest in
your contractor's firm. If you are in doubt on this issue, contact your
Regional TAG Coordinator.
PROCUREMENT PROCEDURES
There are two basic approaches for selecting a contractor in the TAG
Program—the competitive procurement method and the noncompeti-
tive procurement method.
Most procurements
made with TAG
funds are
competitive.
Competitive Procurement
The requirements for competitive pro-
curement vary according to the value of
the purchase or contract award. In
general:
• For contracts valued at $1,000 or
less, you must determine only that
the price is reasonable. No oral or
written solicitations of bids are necessary. Most product purchases,
such as office supplies, will fall in this category.
• For contracts valued at more than $1,000 but less than $25,000, your
group must solicit quotes from two or more qualified sources
(provide documentation of this in your files).
• For contracts valued at at least $25,000 but not more than $50,000,
the group must solicit written bids from three or more sources.
After receiving the bids, your group must evaluate them, decide on
the winning bid, and inform all bidders of the decision.
• For contracts valued at over $50,000, your group must follow the
procurement rules outlined in 40 CFR Part 33.
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You must ensure adequate competition when selecting your contrac-
tor^). Before contacting an adequate number of prospective candidates
(as outlined above), you must identify precisely what you expect from
them. You must give them a written description of your requirements
and the criteria that you will be using to evaluate the bids—this is called
the "solicitation," and is described more thoroughly on page 22. You
then will need to carefully compare the relative merits of the bids that
are submitted before making a selection. In general, you can determine
if the costs quoted by candidates are reasonable by comparing their cost
estimates with your own independent estimate of what the work should
cost. (Your TAG Coordinator can help you perform this comparison.) If
you choose to award a contract to anyone other than the candidate who
quotes the lowest price, you must supply a written justification for the
selection in your files, explaining why the proposed costs are acceptable.
Noncompetitive Procurement
As the phrase "noncompetitive procurement" suggests, this method does
not involve competition in the procurement process. Instead, selection is
based on a justification of why an individual is the only viable source of
the services you need. The noncompetitive procurement method is al-
lowed for TAG purposes when there is only one qualified candidate, or
if a solicitation effort yields only one bidder. As a general rule, however,
you should use the competitive procurement method to ensure adequate
competition and reasonable costs—even if you already had a volunteer
contractor before receiving your TAG. You must get the Award
Official's prior written approval before awarding a noncompetitive con-
tract or using this method to purchase goods worth over $1,000.
DETERMINING ACCEPTABLE COSTS ^^^^—^^^^^
You will have to analyze the costs proposed by potential contractors to
ensure that they are acceptable under federal regulations pertaining to
the TAG Program. To be acceptable, costs must be:
• Allowable: falling within the types of activities approved by EPA in
the grant agreement.
• Allocable: incurred specifically to achieve one or more of your
project objectives.
• Reasonable: generally recognized as ordinary and necessary for the
operation of the grant or the
performance of your project.
Acceptable costs also must be as-
sociated with eligible activities.
(See the publication
Contractor rates should
be comparable to those
charged in your area by
similar professionals.
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for a discussion of eligible activities and page 27 of this booklet for de-
tailed guidelines on analyzing costs.) For example, you may expect tech-
nical advisors' hourly rates to fall between $70 and $120 per hour. Grant
administrators' rates should fall between $8 and $12 per hour for a book-
keeper and between $20 and $30 for a full administrator. If you are inter-
ested in a particular candidate, but have questions about his/her pro-
posed costs, you should contact your Regional TAG Coordinator for help
and then negotiate with the applicant until your requirements and fed-
eral regulations are met.
DEVELOPING THE CONTRACT
The contract is a tool you can use to monitor performance. As a first step
in developing a contract, your group may want to contact your Regional
TAG Coordinator or Regional Project Manager for a list of upcoming ac-
tivities at the Superfund site in your community. This will help you
identify the specific tasks you are likely to want a contractor to perform.
Knowing these tasks will help you refine the Statement of Work in your
application and use it as the basis of your contract. A sample contract
starts on page 34.
Before awarding any contract valued at over $1,000, you must inform
EPA of the proposed contract and you must provide EPA with the op-
portunity to review your selection process and the contract. The pur-
pose of this review is to ensure that
your group will get the full benefit of
the contractor's expertise and that the
contract is in compliance with all appli-
cable federal regulations. EPA will usu-
ally complete this review within 30 days.
Remember to inform
EPA of any proposed
contract.
Types of Contracts
Typically, you will use either a "labor-hour" contract or a "fixed-price"
contract.
• Under a "labor-hour" contract, you agree to pay the contractor by
the hour for his/her time. You would not know the exact amount of
funds to be spent over the budget period at the time the contract is
signed. Your group would need to establish a method of payment
and a maximum range for spending in the initial contract.
• Under a "fixed-price" contract, the contractor makes an upfront
commitment to do certain set of tasks for an agreed-upon price.
A fixed-price contract may provide you with the best sense of how grant
funds will be used. However, since specific tasks and the required level
of effort may not be clearly defined at the time that you award the con-
tract, you may prefer the flexibility of a labor-hour contract.
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EPA pays you back ("reimburses" you) after you have paid for supplies
or for contractor bills. Or, since you only are required to have been
billed for the goods and services to be reimbursed by EPA, you may pre-
fer to wait until you receive the reimbursement check before you actually
pay the contractor. Your contractor should bill you on a quarterly basis
(or monthly if costs are greater than $500) for costs incurred for services
authorized by the grant agreement. Your group then should submit to
EPA a "Request for Reimbursement." The procedure is described in de-
tail in the publication
Required Elements
All contracts with technical advisors must describe, at a minimum:
• The nature, scope, and extent of work to be performed.
• The time frame for performance.
• The total cost of the contract.
• Payment provisions.
• Certain required contract clauses (shown in the Sample Contract
beginning on page 34).
Note: Before you sign the contract, you must check to make sure that
your candidate does not appear on EPA's master list of suspended or de-
barred contractors. If the contract is for $25,000 or more, the contractor
must certify that he/she has not been debarred (see pages \ and 32).
Changing a Contract
If, after work is underway, it appears likely that costs will exceed the
ceiling in the contract, or if the scope of work changes, you and your
contractor(s) must negotiate a "change order." If funds are added, you
will need to conduct a cost analysis. The "Step-by-Step Instructions and
Sample Forms" section of this booklet includes procedures for conduct-
ing a cost analysis. If the change order will cause you to exceed your
budget for the budget period, you must ask for and obtain an amend-
ment to the grant before EPA will agree to cover the additional costs (see
the publication
). Contact your Regional TAG Coordinator for in-
structions on completing a change order.
Renewing a Contract
Once a TAG is awarded, EPA
will obligate funds for one
budget period, which lasts up
to three years. To ensure that
you have funds available to
pay your contractor, you
It's a good idea to include
an option to extend the
contract in your agreement.
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should award contracts only for the length of the budget period in your
grant. Since your group may get funding for additional budget periods
and want to continue working with a contractor familiar with the group
and the site, it is a good idea to include an option to extend the contract
for additional one- to three-year contract periods.
Terminating a Contract
Terminating a contract means ending it before its scheduled completion
date. Either you or your technical advisor(s) can terminate the
contract(s)—in whole or in part—if the other party fails to fulfill obliga-
tions under the contract(s) through no fault of the terminating party. Al-
though your contract may require you to pay a penalty for doing so, you
may also terminate a contract in whole or in part for your convenience.
Contact your Regional TAG Coordinator for details on the procedures to
follow.
RECORDKEEPING ^^^^^^^^^-^^^^^^^^^
You must keep written records of each step taken by your group to select
your technical advisor(s) and any other contractors and maintain them in
a central file. For example, you will need to document your cost
analysis and cost negotiations. These records must be available for
EPA review or audit upon request.
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PROCUREMENT DOs AND DON'Ts
DOs
DON'Ts
Do take the time to determine
the type(s) of expertise your
contractor(s) should have before
you seek technical assistance.
Do start identifying possible
contractors early in the TAG
process.
Do develop a solicitation that
describes the services you need,
the timetable for critical tasks, a
delivery schedule, evaluation
criteria, project hours, and
deadline and location for
submitting proposals.
Do make a sincere effort to use
small (including small businesses
in rural areas), minority-owned,
and women-owned businesses.
Remember to document this
effort in your files.
Do include in your contract all
the required clauses specified in
the Sample Contract (see page
34).
Do be sure to give your EPA
Regional Office an opportunity
to review the contract before
you sign it.
Do keep detailed records of the
procurement process.
Do safeguard confidential
business information (such as
rates and fees) submitted by
contractors during the
procurement process.
Don't choose a technical advisor
who has a significant conflict of
interest that cannot be resolved.
Don't select a contractor who is
on the master list of suspended
or debarred contractors.
Don't divide a contract award
into smaller parts just to avoid
the procurement requirements
for a certain contract value.
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COMMONLY ASKED QUESTIONS ABOUT
PROCURING CONTRACTORS
May We Select More Than One Technical Advisor?
Yes. If you require technical expertise in more than one discipline
(such as engineering, hydrology, and epidemiology), you may award
separate contracts to more than one unrelated individual or firm.
For example, you might award a $20,000 contract to a technical advi-
sor with engineering expertise, $10,000 to a hydrologist, and $10,000
to an epidemiologist.
You are not allowed to divide a contract into smaller amounts solely to
fall within the dollar limit for any of the competitive selection method
categories. However, if you decide that obtaining services from several
sources better suits your needs than awarding one large contract and
you can demonstrate sound business reasons for using this approach,
you may find it simpler to award separate contracts. An example of a
reasonable justification for awarding two or more smaller contracts
might be that you need a greater variety of expertise than a single firm or
individual can provide.
Where Can We Find Potential Technical Advisors?
Most public libraries have reference books such as
, which lists the names and addresses of professional
journals, trade magazines, and newspapers. In addition, you may send
public notices or written notifications to interested persons, firms, pro-
fessional organizations, or local newspapers.
Good reference sources for locating interested organizations and indi-
viduals include the (for listings of trade and
professional groups),
, your Chamber of Commerce, and the telephone book. Notices
may also be sent to colleges, universities, and environmental groups. In
addition, see the following question.
How Can We Locate Small, Minority-Owned, And Women-Owned
Businesses?
To identify potential candidates associated with SBEs, MBEs, and WBEs,
you should use resources such as your state's minority business office,
the SB A, the Federal Minority Business Development Agency, and EPA's
Office of Small and Disadvantaged Business Utilization (703-305-7777).
Minority Business Development Centers are operated by the U.S. De-
partment of Commerce, the SBA Small Business Development Centers,
and SBA itself. These people can help you identify minority firms.
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(Your Regional TAG Coordinator can provide information on local of-
fices of these organizations.)
Additionally, you are encouraged to send a public notice soliciting pro-
posals to small and minority business associations, professional societies,
and media targeted to these groups. You are required to report to EPA
on your use of minority businesses (discussed in the publication
What Types Of Information Must Potential Contractors Provide To
Address Conflict Of Interest Concerns?
You must require each potential technical advisor on any contract to pro-
vide with his/her bid or proposal:
• Information on his/her financial and business relationships with
PRPs at the site, their companies, subsidiaries, affiliates, subcontrac-
tors, current clients, and attorneys and agents.
• Certification that, to the best of his/her knowledge and belief, he/
she has disclosed such information or no such information exists.
• A statement that he/she shall disclose immediately any such infor-
mation discovered after submission of his/her bid or proposal or
after the contract award.
Who Is Excluded From Consideration As A Technical Advisor?
You must exclude from consideration as a potential advisor any contrac-
tors that helped develop or draft your solicitation or contract for your
TAG project.
In addition, in an effort to avoid any conflict of interest problems, EPA
contractors and subcontractors may not apply for positions as technical
advisors to the groups at the same NPL site for which they are doing or
have done work for the federal or state government or any other entity,
since they then would be reviewing their own work.
How Can A Grant Administrator Help Our Group?
A grant administrator is useful in performing a variety of program tasks
that the members of your group may not have the expertise to accom-
plish. These tasks may include recordkeeping and the preparation of
contracts, reports, and other documents.
Can A Member Of The Group Become The Grant Administrator?
Yes. The grant administrator should, of course, have the skills appropriate
to the tasks that the group requires. As long as your group follows the
procurement guidelines in selecting the grant administrator, participation
in the group in general and even in the preparation of the TAG
application does not disqualify any candidate. To avoid a conflict of
interest, however, the grant administrator cannot be involved in the
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selection process for this contract, including participation in the
preparation of the solicitation.
Is There A Particular Procedure For Evaluating Technical Advisors'
Proposals?
There is no required procedure. You may use whatever approach you
wish. One approach to ensuring a fair review of proposals is to appoint
three to five members of your group to a "selection panel." (By involv-
ing an odd number of people, you can avoid arriving at a deadlock.)
Panel members independently evaluate the proposals according to the
selection criteria outlined in the solicitation, and then discuss their evalu-
ations with each other. If there is a large difference in panel members'
ratings, they discuss how they arrived at their ratings and re-evaluate
their ratings. These discussions continue until they can arrive at a
consensus.
Are There Types Of Activities That Members And Employees Of
Groups Must Avoid During The Selection Process?
Yes. Your group officers, your technical advisor(s), and any group em-
ployee must avoid any action that might result in, or create the appear-
ance of, improper behavior (such as using their official positions for pri-
vate gain or giving preferential treatment to someone). An official or
employee of your group may not help select your technical advisor(s) if
any of the following persons or organizations has a financial interest in
the contract with the technical advisor(s):
• The official or employee.
• A member of the official's or employee's immediate family.
• A partner of the official or employee.
• An organization (other than a public agency) in which the official or
employee serves as an officer, director, trustee, partner, or employee.
• Any person or organization with whom the official or employee is
negotiating or has any arrangement concerning potential employment.
What Types Of Selection Records Do We Need To Keep In Our Files?
You must have a complete written record of the following on file:
• The basis for your screening and selection of the technical advisor(s).
• A written justification of the selection method used by your group.
• A written justification of any specification or requirement that does
not encourage maximum free and open competition.
• A written justification of the type of contract used (for example,
labor-hour or fixed-price).
• Actual proposals submitted by all potential technical advisors.
• The basis of the award cost, including any cost analysis and docu-
mentation of the issues negotiated and results of the negotiations.
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• The reasons for your rejection of any proposals.
In addition, potential contractors must submit to you their cost or pric-
ing data in support of their proposal and provide you with supportive
documentation. They may use the form entitled "Proposed Costs for
Technical Assistance" (in the pull-out "Blank Documents" section of
this booklet) or any similar form. Your group must keep this informa-
tion on file so that your EPA Regional Office can review the procure-
ment process before the contract is awarded.
Can A Grant Administrator Give Direction To The Technical
Advisor?
No. It would be inappropriate for one contractor to give technical direc-
tion to another contractor. A typical contract specifies the person(s)
from whom a contractor may receive direction. In most cases, the tech-
nical advisor (and grant administrator, if applicable) receives direction
from the TAG Project Manager, acting on behalf of the TAG group.
Does The Grant Administrator Have Signature Authority?
No. As a contractor, the grant administrator can manage, but cannot
oversee, the contract. The TAG Project Manager is designated as the
person with signature authority.
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CHECKLISTS FOR PROCURING A CONTRACTOR
COMPETITIVE SELECTION METHOD
(Appropriate for purchases and contracts of $1,000 or less)
Q Identify your specific needs in a technical advisor, grant adminis-
trator, other service, or product.
Q Identify potential contractors.
Q Discuss with each candidate the kinds of services you expect to
need.
Q Discuss with the candidates any potential conflicts of interest and
eliminate any candidate with actual and significant conflicts of in-
terest that cannot be resolved.
Check with your Regional TAG Coordinator to be sure candi-
dates are not on the master list of suspended or debarred
contractors.
Determine that the proposed costs are reasonable.
Negotiate with the candidates, if you wish, and select the best
candidate.
Document for the files your reasons for selecting one candidate over
the others. If he/she did not submit the lowest quote, explain why
the successful candidate's proposed costs are acceptable.
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CHECKLISTS, cont.
COMPETITIVE SELECTION METHOD
(Appropriate for purchases and contracts over $1,000 and up to $50,000)
Q Identify your specific needs in a contractor.
Q Solicit oral or written quotes.
• If the contract is worth more than $1,000 but less than $25,000,
solicit quotes from two or more qualified sources.
• If the contract is worth from $25,000 to $50,000, solicit written
proposals from three or more qualified sources.
Q Evaluate all proposals.
• Obtain all cost data from applicants on the form entitled "Pro-
posed Costs for Technical Assistance" or its equivalent and
perform a cost analysis.
• Require all potential advisors to provide a conflict of interest or
disclosure statement.
• Eliminate any candidates who are listed on the master list of
suspended or debarred contractors or who have actual and sig-
nificant conflicts of interest that cannot be resolved.
• Negotiate with technical advisor candidates and select your
technical advisor(s).
• Prepare a written summary for the file of all negotiations.
• Document for the files the reasons for selecting the successful
proposal and the reasons for rejecting others.
Q Prepare the contract.
Q Provide EPA an opportunity to review your selection process and
the contract.
Q Have the technical advisor complete a Certification Regarding De-
barment, Suspension, and Other Responsibility Matters (EPA
Form 5700-49) if the contract is for $25,000 or more.
Q Sign the contract.
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CHECKLISTS, cont.
NONCOMPETITIVE PROCUREMENT METHOD
(Appropriate when there is only one qualified candidate)
Q Identify your specific needs in a contractor.
Q Contact your Regional TAG Coordinator to discuss the possibility
of using this method.
Q If EPA indicates this method may be appropriate, prepare and
submit to EPA a request to use the noncompetitive procurement
method, outlining the reasons for selecting it.
Q If EPA approves the request in writing, discuss with the potential
contractor the kinds of services you need and EPA's requirements.
Q Ask the candidate to give you an oral or written quote for per-
forming the services you need.
Q Discuss with the candidate any potential conflicts of interest and
eliminate the candidate if actual and significant conflicts of inter-
est cannot be resolved.
Q Check with your EPA Regional Office to be sure the candidate is
not on the master list of suspended or debarred contractors.
Q Negotiate with the candidate if you wish.
Q Document for the files why the candidate's proposed costs are
acceptable.
Q Prepare the contract.
Q Provide EPA an opportunity to review your selection process and
the contract.
Q Have the contractor complete a Certification Regarding Debar-
ment, Suspension, and Other Responsibility Matters (EPA Form
5700-49) if the contract is for $25,000 or more.
Q Sign the contract.
19
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STEP-BY-STEP INSTRUCTIONS AND SAMPLE
FORMS FOR PROCURING CONTRACTORS
The following section provides step-by-step instructions for selecting
your contractor(s). Because two types of selection methods exist, there
are two sets of instructions in this section. Instructions for using the
competitive selection method begin on the next page. With the excep-
tion of the cost analysis, you are not required to use these particular pro-
cedures, but they provide a reliable approach for meeting the require-
ment of maximum competition. In the unlikely event that there is only
one qualified candidate, you may qualify to use the noncompetitive se-
lection method outlined on page 29.
The sample completed forms (beginning on page 30) illustrate the
types of products you will need to generate as part of the selection
process. The following sample forms and documents are included:
• Solicitation.
• Proposed Costs for Technical Assistance.
• Certification Regarding Debarment, Suspension, and Other Respon-
sibility Matters (EPA Form 5700-49).
• Sample Contract.
You will find blank copies of the "Proposed Costs" and "Certification"
forms in the pull-out "Blank Documents" section of this booklet.
21
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COMPETITIVE SELECTION METHOD i
Each step in the procurement process is outlined in general terms below,
followed by specific requirements corresponding to the dollar value of
the contract or purchase. Your group may not divide a contract into
several smaller contracts just to avoid the dollar value that triggers a
more complex set of requirements.
STEP 1. Identify Your Specific Needs
To ensure that your contractor provides the information needed, and to
make the best use of your TAG, your group should develop a written de-
scription of the areas of expertise and skills that the successful candidate
would have.
STEP 2. Identify Potential Technical Advisors
There are many possible sources of technical advisors with the skills
you need. These include colleges, universities, and professional societ-
ies. (You might look under "Environmental" and "Engineering" in the
phone book or a university directory.) Your Regional TAG Coordinator
may be able to suggest organizations that can help you find small,
minority-owned, and women-owned businesses. Remember to docu-
ment your efforts.
STEP 3. Prepare a Solicitation
Your group should solicit proposals from potential advisors using a so-
licitation describing the services required. Potential candidates would
submit proposals identifying in general terms the technical approaches
they would use to accomplish the tasks described in the solicitation.
You can negotiate with potential advisors to determine specific services
to be provided. If you will use initial proposals as the basis for selec-
tion, make this clear in the solicitation. Your solicitation should include:
• A complete description of the services required, including the
purpose, objectives, and scope of work.
• A schedule for performing tasks that are time critical (as related to
the cleanup timetable at the site).
• All proposal evaluation criteria and the relative importance of each.
• Total projected hours for the project.
• The deadline and location for submitting proposals.
• The qualifications listed on page 2.
Under EPA regulations, potential technical advisors cannot be involved
in drafting these specifications.
22
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The solicitation that follows provides one possible scoring system for
evaluating proposals. The scoring system you use should reflect the type
of technical assistance relevant to the site and should be prioritized and
weighted accordingly. Your scoring system must be outlined in the so-
licitation and you must maintain scoring sheets or other evaluation forms
in your project files. The sample solicitation is written for a technical advi-
sor position, but could be tailored for any type of service provider.
23
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SOLICITATION
The Woodtown Landfill Coalition is soliciting proposals for a techni-
cal advisor to provide assistance in the review and analysis of reme-
dial activities undertaken by the U.S. Environmental Protection
Agency (EPA) at the Woodtown Landfill Superfund site. Members
of the Coalition include approximately 105 affected individuals in
the Smithtown-Woodtown areas of Litchfield County, Connecticut.
The technical advisor will assist Coalition members in interpreting
documents generated throughout the Superfund process at the
Woodtown Landfill site. The advisor also will help members review
site data and data-gathering techniques. Technical assistance will
ensure that Coalition members are thoroughly informed about all as-
pects of site cleanup activities, which will enable them to participate
more effectively in EPA's decision-making process.
The scope of work will require one or more technical advisors to per-
form the following tasks during an initial three-year contractual pe-
riod (with options for additional years), beginning just prior to the
start of the Remedial Investigation (RI):
1. Review of technical documents generated during the remedial
investigation/feasibility study (RI/FS), remedial design (RD), and
remedial action (RA). These documents will include the RI work
plan, sampling plan, quality assurance/quality control plan, RI
report, risk assessment, health assessment, draft FS, record of
decision, pre-final and final engineering design, and final inspection
report.
2. Attendance at RI/FS meetings.
3. Preparation of summary memos and reports.
4. Review of the Coalition's written comments to be submitted during
the public comment period on the draft FS.
5. Presentations to Coalition members and others.
The Coalition will use a phased approach in contracting for this
work. Contract No. 1 involves work related to the RI/FS.
Those wishing to be considered should submit a proposal that in-
cludes a general description of the candidates' approach for conduct-
ing this work, a resume, and a detailed cost estimate. The technical
advisor must have verifiable credentials and must provide the Coali-
tion with a list of previous clients and information on any past, cur-
rent, or anticipated business or financial relationships with any po-
tentially responsible party at the site, its parent companies, subsid-
iaries, affiliates, subcontractors, and current clients. The successful
candidate will have:
24
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• Technical qualifications in the areas of health and risk assessment.
• Expertise to perform the scope of work, including expertise in the
health sciences, toxicology, hydrogeology, and engineering, or
explain how they will obtain this expertise.
• Experience with clients who do not possess extensive technical
backgrounds.
• Adequate financial resources and accounting procedures in place to
manage the tasks required and account for expenditures.
• Demonstrated knowledge of CERCLA and other relevant statutes.
Each proposal received will be evaluated on the following criteria,
which are weighted based on the Coalition's priorities:
• 20% Past relevant experience.
• 10% Knowledge of EPA procedures and reporting requirements.
• 20% Price.
• 25% Relevant expertise ( , health sciences, engineering), both
academic and demonstrated.
• 25% Ability to provide written and oral translations of technical
documents and data in terms understandable to lay persons.
The Coalition will evaluate proposals by assigning a score (on a scale
of 1 - 5) to each criterion. The weighted scores will be added for a to-
tal score. The highest possible total score is 500. The goal of the se-
lection criteria is to obtain the best proposal at a reasonable cost.
The group has the option to renew the contract after the initial three-
year period for additional one- to three-year contract periods as long
as the cleanup continues. Contract renewal will be based on satisfac-
tion with the technical advisor's previous performance and availabil-
ity of funds. A total of approximately 635 hours of work is estimated
for the technical advisor during the entire site cleanup; the distribu-
tion of these hours is dependent upon the pace at which site cleanup
proceeds.
One labor-hour contract will be awarded to the best qualified appli-
cant within a competitive price range. The Coalition will negotiate
to obtain the best final offer. Candidates will be informed of the
Coalition's decision to reject or accept a proposal. The deadline for
submitting proposals to the Coalition is 5 p.m., July 10,1993. Quali-
fied firms or individuals are encouraged to respond to this solicita-
tion. All submissions should be sent to:
Pat Jones, Executive Director
Woodtown Landfill Coalition
Main Street
Woodtown, CT 06798
25
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COMPETITIVE SELECTION METHOD, cont.
STEP 4. Publicize Your Need for Technical Assistance
You will need to publicize your request for technical assistance and the
availability of your solicitation. You must obtain as many proposals as
you can. You can do this by publishing a notice in a local newspaper
and calling potential candidates. You also should send the notice to
small, minority-, and women-owned business contacts, and you must
send it to small businesses in rural areas of your community. Remember
to document these efforts.
STEP 5. Send out Solicitation and Other Information
You must make the solicitation available to candidates upon request.
You must provide candidates a copy of the form entitled "Certification
Regarding Debarment, Suspension, and Other Responsibility Matters" if
the contract is valued at over $25,000, and obtain their completed form.
STEP 6. Obtain Quotes for the Cost of Services Required
After locating several candidates, contact and discuss with each the kind
of services you expect to need. Obtain from each a description of his/her
expertise and experience and a quote for the total cost of services. Make
sure to document the quote information, even if oral, in your files. The ad-
visor must meet the requirements described on page 2.
The requirements for this step vary according to the value of the award:
• More than $1,000 but not more than $25,000: You need to obtain
two quotes (written or oral) from qualified candidates.
• More than $25,000 but not more than $50,000: You must supply the
candidates with a Statement of Work and the criteria that will be
used in evaluating the bids. You must get three written quotes.
• Over $50,000: Refer to 40 CFR, Part 33.
STEP 7. Evaluate the Proposals
You should develop your own estimates for costs associated with each of
the services to be performed, and determine a total project budget.
You must evaluate all proposals using the criteria stated in your solicita-
tion (see page 25). This includes determining if the applicants have the
ability and resources to provide the required assistance. Applicants may
display their estimated costs on the form entitled "Proposed Costs for Tech-
nical Assistance" (see page 30) or in any similar format.
If the contract is valued at over $25,000, you must conduct a cost analysis
to determine that the proposed costs are reasonable. To do this, use your
own cost estimates and the information submitted by the applicants to
review the cost of each component of the proposed budgets.
26
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The Cost Analysis
The cost analysis has two general steps: first, determining whether a
contractor's costs are allowable, allocable, and reasonable; and second, de-
termining an appropriate amount of profit for the technical advisor. Each
of these steps is discussed below. Feel free to ask your Regional TAG Co-
ordinator for help in conducting your cost analysis.
I. Assessing Costs
Review the direct labor costs and examine the number of hours, experi-
ence level, and hourly rates of staff assigned to perform the various tasks
of your project to make sure that they are necessary and reasonable.
The indirect costs (overhead expenses such as fringe benefits and office
rental) may be displayed as one or several figures. Usually, this figure is a
rate or fraction that is multiplied by the direct labor costs for your project.
Contact your Regional TAG Coordinator if you have questions about
whether these costs are allowable.
In reviewing the travel and per diem (daily food and lodging) costs, re-
member that hotel and meal costs can only be charged when trips require
an overnight stay. Furthermore, the meal and lodging expenses can only
be charged at the rate the government pays its own employees, which the
Regional TAG Coordinator can help you determine.
TAGs typically require little or no equipment, materials, or supplies. If
any equipment costing over $5,000 is listed, contact your Regional
TAG Coordinator.
If the technical advisor selects another contractor to assist him/her with
your project, this cost should be indicated in a subcontract costs category.
Note that any subcontractors working on subcontracts over $25,000 must
provide the technical advisor with the "Certification Regarding Debar-
ment, Suspension, and Other Responsibility Matters" (EPA Form 5700-49).
II. Determining Profit
In general, the more risk the technical advisor assumes in performing your
project, the higher the rate of profit that is acceptable. (Under "fixed-
price" contracts involving complex tasks, the technical advisor would as-
sume considerably more risk than under the "cost reimbursement" type of
contract usually used in the TAG Program.) In setting an amount, the
profit must be shown as a dollar figure and not as a percentage of total
costs.
Be sure to keep a written record of your cost analysis on file for your own
reference and for audit purposes.
27
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COMPETITIVE SELECTION METHOD, cont.
STEP 8. Negotiate with Applicants
Under competitive selection, the first step is to narrow down the pool of
applicants under consideration to those with the best proposals. You
may make a choice at this point, or you may negotiate the details of costs
and services to be delivered to identify the best offer.
If you conduct negotiations with several applicants, you must provide an
equal opportunity for all applicants with similar cost estimates to revise
their proposals based on your negotiations. Earlier scores should not be
used in evaluating the revised proposals. While negotiations are taking
place, the identity of other applicants and information from their propos-
als must be kept confidential.
STEP 9. Select Your Technical Advisor(s)
You may want to discuss the terms and conditions with the candidates to
be sure that they meet your needs and TAG Program requirements.
When you are satisfied, select the best qualified candidate based on the
proposal that best meets your established criteria. Once you select the
technical advisor(s), you must promptly notify in writing all unsuccess-
ful candidates.
STEP 10. Document Your Selection Criteria
Document in your files why you chose one candidate over another. If
the successful candidate did not submit the lowest quote, explain why
you selected him/her and why the proposed costs were reasonable.
STEP 11. Prepare the Contract
Remember to include the required clauses contained in the sample con-
tract and provide EPA the opportunity to review the selection process
and the contract.
STEP 12. Award the Contract
Notify both the successful and unsuccessful candidates of the award.
Remember to carefully document the process you used to award the con-
tract. Your documentation must explain the procedures you used to se-
lect a contractor, the reason for any conditions that limited maximum
free and open competition, and reasons why you selected a particular
contractor. It must also include written justification for rejecting any or
all proposals. In addition, you must conduct a written analysis of the
cost of the contract and include that analysis in your records.
28
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NONCOMPETITIVE PROCUREMENT METHOD
(Where there is only one qualified candidate)
This situation will be rare and most often will occur when you have at-
tempted to use the competitive procurement method, with only one re-
sponse. (In this case, Step 1 will have been completed.)
STEP 1. Identify Your Specific Needs
Your group should develop a written description of the specific areas of
expertise and skills that the successful candidate should have.
STEP 2. Contact the Regional TAG Coordinator
Because this method of selecting a technical advisor is to be used only in
unusual circumstances, you should not use it until you have discussed it
with your Regional TAG Coordinator.
STEP 3. Submit a Request to Use Noncompetitive Procurement
If EPA agrees that this method may be appropriate, prepare and submit
to your EPA Regional Office a memorandum explaining why your group
wishes to use the noncompetitive selection method. You will need to
justify to EPA why the candidate you have identified is the only viable
source of the services you need.
STEP 4. Ask the Candidate for a Quote
After the EPA Award Official has approved in writing your request to
use the noncompetitive selection method, contact and discuss with your
candidate the particular services you need. Obtain a written quote for
the total cost of services that the advisor will provide.
STEP 5. Evaluate the Quote and Negotiate with the Candidate
You should negotiate with the candidate to obtain terms and conditions
that meet your needs and TAG Program requirements. Make certain
that the proposed costs are reasonable for the services being performed
by the candidate by comparing the quote with your own or other profes-
sional estimates of what the services should cost.
STEP 6. Document Why You Chose this Candidate
Document in your files why this was the only acceptable candidate.
STEP 7. Award the Contract
Be sure to include the required clauses included in the sample contract
(see page 34). Provide your EPA Regional Office with an opportunity to
review your selection process and the contract before awarding the con-
tract. If the award is for $25,000 or more, the candidate must complete
the "Certification Regarding Debarment, Suspension, and Other Respon-
sibility Matters" before you sign a contract.
29
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PROPOSED COSTS FOR TECHNICAL ASSISTANCE
The "Proposed Costs for Technical Assistance" form is not a required
form. Candidates responding to a solicitation may use any format in
presenting their costs and charges. If you wish, you may copy the blank
version of this form, provided in the "Blank Documents" section of this
booklet, and include it with the solicitation and any other information
that you send to prospective contractors.
30
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PROPOSED COSTS FOR TECHNICAL ASSISTANCE
PART A: IDENTIFYING DATA
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31
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CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND
OTHER RESPONSIBILITY MATTERS ^^^^^—^^^^^«
The candidate contractor(s) and their proposed subcontractor(s) must
submit this form for contracts involving $25,000 or more.
Instructions for Contractors and Their Subcontractors
32
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EPAProjwrt Cantffil
uruiwt Start* Linvirtinrnirttfll Protection Ag«ncy
Certification Regarding
Debarment, Suspension, and Other Responsibility Matters
The prospective participant cerlffles to the best of Its knowledge and belief that B and Its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared Ineligible, or voluntarily
excluded (mm covered t ransactiona by any Federal department or ayency;
(b) Have not within a three year period preceding this proposal been convicted of or had a civil judgement
rsndered against them for commission of fraud or a criminal offense In connection vurtti obtaining,
attempting to obtain, DC performing a public (Federal, State, or local) transaction or contract under a
public transaction: dotation of Faderal or State antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making false statements, or receding
stolen property;
(c) Are not presMitly indicted for or otherwise criminally or civilly chanjed by a government arttlty (Federal,
Slale, or local) wttri commission at any of the offenses enumerated in paragraph (1)(b) of this
certification: and
(d) Have not within a three-yeer period preceding this application/proposal had one or mora oublis
transactluns (Federal, State, or local) terminated fit Cause a- default.
I understand that a false statement on this certification may to grounds for rejection of this proposal or
termination of the award. In addition, under 1B USC Sec, 1001, a false statement may result In a fine of up
to $10,000 or ImprlsonmentforuptoSyears.or&otlr
Typed Nam* & li*l» ol Auttiorlzed Rspregtntatiw*
Jan Carter, Technical
Signature of Authonzed Reprewnutivn Da<*
10/25/94
CU 1 am unable to certify to the abo»e statements. My nxplanatian is attached.
EPA Perm 3700J4 (11-81)
33
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SAMPLE CONTRACT
Note: Before awarding any contract, you must inform EPA of any pro-
posed contracts between you and your contractor(s) and you must pro-
vide EPA with the opportunity to review your selection process and the
contract.
All contracts with technical advisors must describe, at a minimum:
• The nature, scope, and extent of work to be performed.
• The timeframe for performance.
• The total cost of the contract.
• Payment provisions.
• Required contract clauses. The text of these required clauses is
included in this sample contract. You may use different language as
long as it conveys exactly the same messages as these clauses. Your
Regional TAG Coordinator can help if you are unsure.
The sample contract that follows is an example of a "labor-hour" con-
tract, under which the group agrees to pay the technical advisor by the
hour for his/her time. The contract spells out the maximum range of
payment for hourly and direct costs, as well as a schedule and method of
payment.
34
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Technical Advisor Contract
This contract is entered into this 20th day of July, 1994, by and between the
Woodtown Landfill Coalition and [Contractor] of [Business Address] (hereafter
referred to as "contractor").
I. SCOPE OF CONTRACT
The contractor agrees to perform the following services:
A. Purpose:
The Woodtown Landfill Coalition is entering into this contract with [contractor],
who will provide the services of technical advisor and assist in the review and
analysis of remedial activities at the Woodtown Landfill Superfund site. Mem-
bers of the Coalition include approximately 105 citizens in the Smithtown-
Woodtown areas of Litchfield County, Connecticut. The technical advisor will
assist Coalition members in interpreting documents generated throughout the
Superfund process at the Woodtown Landfill site. The advisor also will help
members review site data and data-gathering techniques. Through this
technical assistance, the contractor will ensure that Coalition members are
thoroughly informed about all aspects of site cleanup activities, which will
enable them to participate more effectively in EPA's decision-making process.
B. Contractual Period and General Statement of Duties:
This contract will cover an initial three-year period. This contract may be
renewed, at the option of the Woodtown Landfill Coalition, after the initial
contract period for additional one- to three-year contract periods as long as the
cleanup continues, but it is not to exceed ten years. If the Woodtown Landfill
Coalition desires to exercise its option to extend the contract, it shall provide
written notice to the contractor no later than 90 days prior to the expiration of the
present term.
The contractor will perform the following tasks during the initial contractual
period, beginning just prior to the start of the remedial investigation (Rl) at the
Woodtown Landfill Superfund site:
1. Review of technical documents generated during the Rl. These documents
will include the Rl work plan, sampling plan, quality assurance/quality
control plan, Rl report, and risk assessment.
2. Attendance at EPA's Rl kickoff meeting.
3. Preparation of summary memoranda and reports.
4. Preparation of questions and review of Coalition comments/questions for
the public meeting on the Rl kickoff.
5. Presentations to Coalition members and others.
35
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C. Specific Contractor Tasks:
Remedial Investigation
Time allocation: 134 hours, including one trip
a. The contractor's first task will be to reviewthe Rl work plan, sampling plan,
and quality assurance and quality control plan. The Coalition wants to
ensure that adequate sampling is carried out and gauge the need for testing
in areas not included in the Rl work plan. No environmental measurements
are to be taken by the contractor. Special attention shall be given to how
EPA plans to investigate the migration of contamination from the Woodtown
Landfill site into the Rolling River. From the evaluation, the contractor shall
prepare a memorandum for the Coalition's leadership so that this informa-
tion can be relayed to the membership via the newsletter. EPA will place
the memorandum and newsletter in the information repository for the site.
b. The contractor shall attend a proposed meeting scheduled for the start of
the Rl in Woodtown, Connecticut, between EPA staff and residents. The
contractor shall prepare questions and review Coalition questions to be
asked of EPA regarding sampling plans, particularly in regard to the Rolling
River.
c. Upon completion of the Rl report, the contractor shall help the Coalition
review the results. The contractor also shall review the risk assessment
(when available). The contractor shall prepare memoranda on both these
documents as well as an overall Rl evaluation report. The contractor shall
make the information available to the Coalition membership, via the
newsletter, and to EPA, which may place memoranda, reports, and news-
letters in the information repository.
d. The contractorwill analyze the health assessmentthoroughly to ensure that
public health is being considered adequately and will prepare a summary
report on the potential health risks posed by the site and how EPA proposes
to address these risks. The contractor shall make the information available
to the Coalition membership via the newsletter.
e. The contractorwill complete a detailed analysis of the proposed remedies
in the draft feasibility study and then brief the Coalition on its contents.
Additionally, the contractorwill prepare a written reportto aid the Coalition's
preparation of public comments. This report will provide the contractor's
recommendations regarding the proposed cleanup measures. The con-
tractor will attend the public meeting to be held in Woodtown during the
public comment period. The contractor's primary responsibility will be to
serve as a resource to the Coalition's spokespersons at the meeting,
interpreting technical information and asking clarifying questions.
36
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D. Progress Reports:
The contractor shall submit the following reports:
1. Progress reports: The contractor shall submit monthly progress reports
to the Woodtown Landfill Coalition. These reports shall be submitted within
fifteen (15) days of the end of each calendar month. These reports shall,
at a minimum, contain the following information summarizing the activities
undertaken to date by the contractor:
a. Hours worked, categorized by the Scope of Work tasks;
b. Dollars spent by task and total dollars spent for the reporting period;
c. A description of activities;
d. A copy of any written materials prepared during the reporting period;
and
e. An identification of any outstanding Coalition concerns about the site
that have not been addressed.
2. Final Report: Within 60 days of the end of the contract, the contractor shall
prepare and submit to the Woodtown Landfill Coalition, for its review and
approval, a final report that shall detail all activities undertaken under the
contract and evaluate their effectiveness in meeting the purpose of the
contract. The Woodtown Landfill Coalition shall review the final report and
may require revisions. Upon receipt of the Woodtown Landfill Coalition
revisions, the contractor shall incorporate any revisions necessary and
resubmitthe final report within 15 days.
E. Technical Direction and Acceptance:
The Woodtown Landfill Coalition appoints Pat Jones, Executive Director, as the
overall manager for this contract. She is the only person authorized by the
Woodtown Landfill Coalition to amend this contract, negotiate changes, receive
reports, and accept any other deliverables. The contractor must not incur costs
at the direction of anyone else; otherwise the Woodtown Landfill Coalition shall
not be liable for these costs.
II. PAYMENT
A. The Woodtown Landfill Coalition shall compensate the contractor for the
services outlined in this contract at a rate of seventy-six dollars per labor
hour ($76 per labor hour), which shall include overhead, general and
administrative costs, and any allowed fee or profit.
B. Reimbursement for Other Direct Costs, not to exceed six hundred and forty
dollars ($640), shall be at the following rates:
1. Telephone expenses at cost
2. Postage at cost
37
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3. Stationery
4. Secretarial
5. Copying, printing
6. Other expenses (graphics, for example)
7. Lodging and Per Diem expense
(charged at the government rate)
8. Other travel expenses
at cost
at cost
at cost
at cost
up to $100 per day
at cost
Travel rates shall be limited to approved federal reimbursement rates.
(These rates can be found in 41 CFR 301-304.)
C. Overall maximum payment for the contract, including any reimbursement
authorized in (A) and (B) above, shall not exceed:
Seventeen Thousand Dollars
(amount in words)
($17.000)
(amount in numbers)
Payment shall be made on a basis in accordance with provision III (A) of this
contract.
D. In no event shall the contractor be reimbursed for holidays, sick days, or
time other than that actually spent providing the services.
III. METHOD OF PAYMENT
A. Standard Invoice System:
Monthly, the contractor shall submit time sheets and corresponding in-
voices to: Pat Jones, Executive Director, Woodtown Landfill Coalition,
for services performed during the calendar month that ended. Time
sheets must indicate the hours charged on a daily basis (even if zero)
and indicate travel expenses corresponding to the days the charges were
incurred. Invoices must clearly show the total hours charged for the
month, rate and total cost, and specify the total charge for that month for
each of the "Other Direct Cost" categories specified in provision II (B) of
this contract. If the invoices are approved, Woodtown Landfill Coalition
agrees to make responsible efforts to process payments promptly in ac-
cordance with the provisions of 40 CFR Part 33.
The Woodtown Landfill Coalition is limited under the Technical Assis-
tance Grant (TAG) Program to reimbursement on a quarterly basis for to-
tal costs under $500 and on a monthly basis if costs exceed $500. Thus,
contractor payment is also subject to this payment schedule.
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B. Final Invoice
The Woodtown Landfill Coalition retains the right to withhold up to 10%
of the total contract value pending closeout of this contract. Final pay-
ment shall be made in accordance with Article V.9.
IV. FUNDING AND FISCAL APPROPRIATIONS
Obligations for expenditures by EPA for TAGs will be approved for entire budget
periods. The obligation of the Woodtown Landfill Coalition to renew this contract
may be subject to the availability of EPA appropriations.
V. GENERAL CLAUSES
1. Supersession
The Woodtown Landfill Coalition and the contractor agree that this and
other appropriate clauses in 40 CFR 33.1030 apply to that work eligible
for EPA assistance to be performed under this contract and that these
clauses supersede any conflicting provisions of this contract.
2. Privity of Contract
This contract is expected to be funded in part with funds from the U.S.
EPA. Neither the United States nor any of its departments, agencies, or
employees is, or will be, a party to this contract or any lower tier con-
tract. This contract is subject to regulations contained in 40 CFR Part 33
in effect on the date of the assistance award for this project.
3. Termination
(a) This contract may be terminated in whole or in part, in writing, by either
party in the event of substantial failure by the other party to fulfill its obli-
gations under this contract through no fault of the terminating party, pro-
vided that no termination may be effected unless the other party is given
(1) not less than ten (10) calendar days' written notice (delivered by cer-
tified mail, return receipt requested) of intent to terminate, and (2) an op-
portunity for consultation with the terminating party prior to termination.
(b) This contract may be terminated in whole or in part, in writing, by the
Woodtown Landfill Coalition for its convenience, provided that the con-
tractor is given (1) not less than ten (10) calendar days' written notice
(delivered by certified mail, return receipt requested) of intent to termi-
nate, and (2) an opportunity for consultation with the terminating party
prior to termination.
(c) If termination for default is effected by the Woodtown Landfill Coalition,
an equitable adjustment in the price provided for in this contract shall be
made, but (1) no amount shall be allowed for anticipated profit on unper-
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formed services or other work, and (2) any payment due to the contrac-
tor at the time of termination may be adjusted to cover any additional
costs to the Woodtown Landfill Coalition because of the contractor's de-
fault. If termination for default is effected by the contractor, or if termina-
tion for convenience is effected by the Woodtown Landfill Coalition, the
equitable adjustment shall include a reasonable profit for services or
other work performed.
The equitable adjustment for any termination shall provide for payment
to the contractor for services rendered and expenses incurred prior to
the termination, in addition to termination settlement costs reasonably in-
curred by the contractor relating to commitments which had become firm
prior to the termination.
(d) Upon receipt of a termination action under paragraphs (a) or (b) above,
the contractor shall (1) promptly discontinue all affected work (unless the
notice directs otherwise), and (2) deliver or otherwise make available to
the Woodtown Landfill Coalition all data, drawings, specifications, re-
ports, estimates, summaries, and other information and materials as
may have been accumulated by the contractor in performing this con-
tract, whether completed or in process.
(e) Upon termination under paragraphs (a) or (b) above, the Woodtown
Landfill Coalition may take over the work and may award another party a
contract to complete the work under this contract.
(f) If, after termination for failure of the contractor to fulfill contractual obliga-
tions, it is determined that the contractor had not failed to fulfill contrac-
tual obligations, the termination shall be deemed to have been for the
convenience of the recipient. In such event, adjustment of the contract
price shall be made as provided in paragraph (c) of this clause.
^^^^ m
4. Remedies
Unless otherwise provided in this contract, all claims, counter-claims,
disputes, and other matters in question between the Woodtown Landfill
Coalition and the contractor arising out of, or relating to, this contract or
the breach of it will be decided by arbitration if the parties mutually
agree, or in a court of competent jurisdiction within the state in which
the Woodtown Landfill Coalition is located.
5. Audit - Access to Records
(a) The contractor shall maintain books, records, documents, and other
evidence directly pertinent to performance on EPA funded work under
this contract in accordance with generally accepted accounting prin-
ciples and practices consistently applied and 40 CFR Part 30 in effect
on the date of execution of this contract.
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The contractor also shall maintain the financial information and data
used in the preparation or support of the cost submission required under
40 CFR 33.290 for any negotiated contract or change order and a copy
of the cost summary submitted to the recipient. The U.S. Environmental
Protection Agency, the Comptroller General of the United States, the
U.S. Department of Labor, the Woodtown Landfill Coalition, and (the
state) or any of their authorized representatives shall have access to all
such books, records, documents, and other evidence for the purpose of
inspection, audit, and copying during normal business hours. The con-
tractor will provide proper facilities for such access and inspection.
(b) If this is a formally advertised, competitively awarded, fixed-price con-
tract, the contractor agrees to make paragraphs (a) through (f) of this
clause applicable to all negotiated change orders and contract amend-
ments affecting the contract price. In the case of all other types of prime
contracts, the contractor agrees to make paragraphs (a) through (f) ap-
plicable to all contracts it awards in excess of $25,000, at any tier, and to
make paragraphs (a) through (f) of this clause applicable to all change
orders directly related to project performance.
(c) Audits conducted under this provision shall be in accordance with gener-
ally accepted auditing standards and with established procedures and
guidelines of the reviewing or audit agency(ies).
(d) The contractor agrees to disclose all information and reports resulting
from access to records under paragraphs (a) and (b) of this clause to
any of the agencies referred to in paragraph (a).
(e) Access to records is not limited to the required retention periods. The
authorized representatives designated in paragraph (a) of this clause
shall have access to records and at a reasonable time for as long as the
records are maintained.
(f) This right of access clause applies to financial records pertaining to all
contracts (except formally advertised, competitively awarded, fixed-price
contracts) and all contract change orders regardless of the type of con-
tract, and all contract amendments regardless of the type of contract. In
addition, this right of access applies to all records pertaining to all con-
tracts, contract change orders, and contract amendments:
(1) To the extent the records pertain directly to contract performance.
(2) If there is any indication that fraud, gross abuse, or corrupt practices
may be involved.
(3) If the contract is terminated for default or for convenience.
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6. Covenant Against Contingent Fees
The contractor assures that no person or selling agency has been em-
ployed or retained to solicit or secure this contract upon an agreement or
understanding for a commission, percentage, brokerage or contingent
fee excepting bona fide employees or bona fide established commercial
or selling agencies maintained by the contractor for the purpose of se-
curing business. For breach or violation of this assurance, the
Woodtown Landfill Coalition shall have the right to annul this agreement
without liability, or at its discretion, to deduct from the contract price or
consideration, or otherwise recover the full amount of such commission,
percentage, or brokerage or contingent fee.
7. Gratuities
(a) If the Woodtown Landfill Coalition finds after a notice and hearing that
the contractor or any of the contractor's agents or representatives of-
fered or gave gratuities (in the form of entertainment, gifts or otherwise)
to any official, employee, or agent of the Woodtown Landfill Coalition,
the state, or EPA in an attempt to secure a contract or favorable treat-
ment in awarding, amending, or making any determinations related to
the performance of this contract, the Woodtown Landfill Coalition may,
by written notice to the contractor, terminate this contract. The
Woodtown Landfill Coalition also may pursue other rights and remedies
that the law or this contract provides. However, the existence of the
facts on which the Woodtown Landfill Coalition bases such findings shall
be an issue and may be reviewed in proceedings under the Remedies
clause of this contract.
(b) In the event this contract is terminated as provided in paragraph (a), the
Woodtown Landfill Coalition may pursue the same remedies against the
contractor as it could pursue in the event of a breach of the contract by
the contractor, and as a penalty, in addition to any other damages to
which it may be entitled by law, be entitled to exemplary damages in an
amount (as determined by the Woodtown Landfill Coalition) which shall
be not less than three nor more than ten times the costs the contractor
incurs in providing any such gratuities to any such officer or employee.
8. Responsibility of the Contractor
(a) The contractor is responsible for the professional quality, technical accu-
racy, timely completion, and coordination of all reports or other services
furnished by the contractor under his/her contract. The contractor shall,
without additional compensation, correct or revise any errors, omissions,
or other deficiencies in the reports and other services.
(b) The contractor shall perform the professional services necessary to
accomplish the work specified in this contract in accordance with this
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contract and applicable EPA requirements in effect on the date of execu-
tion of the assistance agreement for this project.
(c) The Woodtown Landfill Coalition's or EPA's approval of reports and in-
cidental work or materials furnished hereunder shall not in any way re-
lieve the contractor of responsibility for the technical adequacy of his/
her work. Neither the Woodtown Landfill Coalition's nor EPA's review,
approval, acceptance, or payment of any of the services shall be con-
strued as a waiver of any rights under this contract or of any cause for
action arising out of the performance of this contract.
(d) The contractor shall be, and shall remain, liable in accordance with ap-
plicable law for all damages to the Coalition or EPA caused by the
contractor's negligent performance of any of the services furnished un-
der this contract, except for errors, omissions or other deficiencies to the
extent attributable to the Coalition, Coalition-furnished data, or any third
party. The contractor shall not be responsible for any time delays in the
project caused by circumstances beyond the contractor's control.
(e) The contractor's obligations under this clause are in addition to the
contractor's other express or implied assurances under this contract or
state law and in no way diminish any other rights that the Coalition may
have against the contractor for faulty materials, equipment, or work.
9. Final Payment
Upon satisfactory completion of the work performed under this contract,
as a condition before final payment under this contract, or as a termina-
tion settlement under this contract, the contractor shall execute and de-
liver to the Woodtown Landfill Coalition a release from any future claims
against the Woodtown Landfill Coalition arising under this contract, ex-
cept claims that are specifically exempted by the contractor to be set
forth in the release. Unless otherwise provided in this contract, by state
law or otherwise expressly agreed to by the parties to this contract, final
payment under this contract or settlement upon termination of this con-
tract shall not constitute a waiver of the Woodtown Landfill Coalition's
claims against the contractor under this contract.
10. Organizational Conflict of Interest
An organizational conflict of interest exists when the nature of the pro-
posed work may result in an unfair competitive advantage to the contrac-
tor or impair the contractor's objectivity in performing the contract work.
(a) The contractor warrants, to the best of his/her knowledge and belief, that
either there are no relevant facts or circumstances that could give rise to
an organizational conflict of interest, or that the contractor has disclosed
all such relevant information.
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(b) Prior to the commencement of any work, the contractor agrees either to
notify the Woodtown Landfill Coalition that, to the best of his/her knowl-
edge and belief, no actual, apparent, or potential organizational conflict
of interest exists or to identify to the Woodtown Landfill Coalition any ac-
tual, apparent, or potential organizational conflict of interest.
(c) The contractor agrees that if an actual, apparent, or potential organiza-
tional conflict of interest is identified during performance, he/she will im-
mediately make a full disclosure in writing to the Woodtown Landfill Coa-
lition. This disclosure shall include a description of actions that the con-
tractor has taken or proposes to take after consultation with the
Woodtown Landfill Coalition to avoid, mitigate, or neutralize the actual,
apparent, or potential organizational conflict of interest. The contractor
shall continue performance until notified by the Woodtown Landfill Coali-
tion of any contrary action to be taken.
(d) The contractor expressly agrees to immediately notify the Woodtown
Landfill Coalition by telephone and by letter should he/she enter into any
other agreement or contract that would create an actual or potential con-
flict of interest or violation of the Procurement Integrity Act of 1988. The
Woodtown Landfill Coalition may terminate this Agreement for conve-
nience, in whole or in part, if it deems such termination necessary to
avoid an organizational conflict of interest. If the contractor was aware,
or should have been aware, of a potential organizational conflict after
award and did not disclose or misrepresented relevant information to the
Woodtown Landfill Coalition, the Woodtown Landfill Coalition may termi-
nate this Agreement for default or pursue such other remedies as may
be permitted by law.
(e) The contractor further agrees to insert into any such subcontract or con-
sulting agreement hereunder provisions that shall conform substantially
to the language of this Agreement.
11. Personal Conflict of Interest
(a) In addition to the requirements of Article 10, the following provisions with
regard to employee personnel performing under this contract shall apply
until the earlier of the termination date of the affected employee or the
duration of this contract.
(b) The contractor agrees to immediately notify the Woodtown Landfill Coali-
tion of any actual, apparent, or potential personal conflict of interest with
regard to any employee, subcontractor employee, or consultant working
on or having access to information concerning this contract. A personal
conflict of interest is defined as a relationship of an employee, subcon-
tractor employee, or consultant with an entity that may impair the objec-
tivity of the employee, subcontractor employee, or consultant in perform-
ing the work.
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(c) The contractor agrees to notify the Woodtown Landfill Coalition prior to
incurring costs for that employee's work where an employee may have a
personal conflict of interest. In the event that the personal conflict of in-
terest does not become known until after performance on this contract
has begun, the contractor shall immediately notify the Woodtown Landfill
Coalition of the personal conflict of interest. The contractor shall con-
tinue performance of this subcontract until notified by the Woodtown
Landfill Coalition of the appropriate action to be taken.
(d) The contractor agrees to insert into each subcontract or consulting
agreement that he/she enters language that shall conform substantially
to this agreement.
12. Independent Contractor
The services provided by the contractor are on a professional basis as
an independent contractor, determining his/her own manner of perform-
ing the work, and shall not be considered an employee of the Woodtown
Landfill Coalition within the meaning or the application of any federal,
state or local laws or regulations governing Unemployment Insurance,
Social Security benefits, Workmen's Compensation, Industrial Accident,
Labor, or Taxes. It is likewise understood that the contractor shall not be
considered an employee within the meaning or application of the
Woodtown Landfill Coalition employee fringe benefit programs for the
purposes of vacations, holidays, health benefits, or Employee Retire-
ment Plan. The contractor expressly acknowledges that he/she shall
hold the Woodtown Landfill Coalition harmless from any claims by third
parties that may be asserted against him/her and deriving in any way
from his/her travels, presence or other activities connected with this
Agreement.
13. Ineligible Activities Prohibited
The services to be provided by the contractor under this contract shall not
include any of the following activities:
Serving as a TAG technical advisor at the same site for which the con-
tractor is doing work for the federal or state government or any other entity.
Assisting an attorney in preparing a legal action or preparing for and
serving as an expert witness at any legal proceeding.
Partisan political activity, including lobbying for any issue or cause, or to
further the election or defeat of any candidate for public office.
Generation of new primary data such as well drilling and testing, includ-
ing split sampling.
Reopening final EPA decisions or conducting disputes with EPA.
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14. Preparation and Distribution of Informational Materials
The contractor shall not, without prior review and approval by the Woodtown
Landfill Coalition, disclose or release informational materials to the general
public, other governmental agencies, businesses, or other legal entities.
15. Record Retention
All records required under this contract shall be maintained by the contractor
during performance on EPA-assisted work under this contract. Such records
must clearly detail acquisitions, work progress, reports, expenditures, and
commitments indicating their relationship to established costs and schedules.
These records shall be retained for at least ten years from close-out of the
contract, unless audit, litigation, cost recovery, and/or any disputes are initiated
before the end of the ten-year retention period. Prior written approval shall be
obtained from the Woodtown Landfill Coalition before any records may be
destroyed after the record retention period.
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BLANK DOCUMENTS NEEDED FOR PROCURING
CONTRACTORS
In this section, you will find a copy of the following forms:
• Proposed Costs for Technical Assistance.
• Certification Regarding Debarment, Suspension, and other Responsi-
bility Matters (EPA Form 5700-49).
Two other documents used in the procurement process, the "Solicita-
tion" and "Contract," can be found on pages 24 and 35, respectively, of
the "Step-by-Step Instructions and Sample Forms" section. While spe-
cific elements of these documents are required, there are no forms associ-
ated with them.
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PROPOSED COSTS FOR TECHNICAL ASSISTANCE
PART A: IDENTIFYING DATA
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&EFA
EPA Pf oject Control Numb#r
United SlHtea Snvtuormantftl Protection Afltncy
WUhingtM, DC 20460
Certification Regarding
Debarment, Suspension, and Other Responsibility Matters
The prospective participant certifies to the beet cri Its knowledge and belief that It and its principals:
fa) Are not presently debarred, suspended, proposed for debarmerit, declared Ineligible, or voluntarily
excluded from covered tren$actions by any Federal department or agency;
(b) Have not within a three year period preceding this proposal been convicted of or had a cMI Judgement
rondared against them for commission at fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a
public transaction; violation of Federal or State antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving
stolen property;
(c) Are not presently Indicted for or otherwise criminally or civilly charged by a government entity {Federal,
State, or Igcaty with commission of any of the offenses enumerated In paragraph ft)fb) ot this
certification: and
(d) Have not within a three-year period preceding this application/proposal had one or more public
tran$ectbn$ {Federal, Stale, or local) terminated for cause or default
I i_rnd sett and that a false statem&nt on this certification may be grounds far rejection of th& proposal or
termination of Ihe award, In addition, under 13 USC Sec. 1001, a false skatement may result in a fine of up
to $10,000 or Imprisonment for up to 5 years, or both.
Typed Mams & "Titlf g| Auftgrired
Signaiurft at Authorised Rapftiaonlatlve Dote
I J I am unable to certify to the above statements. My explanation is attached,
EPA Farm CTtfMig
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