OSWER9242201B

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    Emergency
Response Cleanup
Services Contracts
      (ERGS)
USERS1 MANUAL
  OSWER Directive 9242.2-01 B
         EMERGENCY RESPONSE DIVISION
     OFFICE OF EMERGENCY AND REMEDIAL RESPONSE
       US. ENVIRONMENTAL PROTECTION AGENCY
           WASHINGTON, D.C. 20460

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                                       OSWER Directive 9242.2-01B
                              NOTICE
The information   in   this  document  has  been  funded,  wholly  or
in part,  by the  United  States  Environmental  Protection  Agency
under Contract  No.  68-01-7376 to  Booze,  Allen  &  Hamilton.   It
has been  subject  to the  Agency's   review  process and  has  been
approved for publication as an EPA document.

The policies  and  procedures   established  in  this document  are
intended  solely   for   the   guidance  of Government  personnel.
They  are   not   intended,  and  cannot  be  relied  upon  to  create
any rights,  substantive  or   procedural,  enforceable   by   any
party  in   litigation  with the  United  States.   The Agency  re-
serves the  right   to   act  at variance  with these policiea  and
procedures and to change them at any time without public
not ice.
                                11

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                       TABLE   OF   CONTENTS
                                                                          Page
                                                                         Number
LIST OF ACRONYMS
                                                                    IX
   I.
INTRODUCTION
                                                                           1-1
        1.  Structure of the Users' Manual
        2.  Using the Manual
                                                                   1-2
                                                                   1-4
  II.   SCOPE AND PROVISIONS OF THE CLEANUP SERVICES CONTRACTS
                                                                  II-l
        1.  Contract Background Information
            1.1 ERGS Zone Contracts
            1.2 ERGS Regional Contracts ("Mini-ERCS")
        2.  Contract Services, Resources and Requirements
            2.1 Cleanup and Response Related Services
            2.2 Program Management Activities
        3.  Miscellaneous Contract Requirements
            3.1 Liability
            3.2 Publicity and Confidentiality of Information
            3.3 Conflict of Interest
            3.4 Chain of Custody/Document Control
                                                                  II-2
                                                                  II-4
                                                                  II-5
                                                                  II-7
                                                                  II-7
                                                                  11-17
                                                                  11-22
                                                                  11-22
                                                                  11-27
                                                                  11-28
                                                                  11-29
 III,
CONTRACT MANAGEMENT:  ROLES AND RESPONSIBILITIES
                                                                         III-l
        1.  Relationship Between EPA Headquarters and Regional Offices   III-2
        2.  Contract Management Structure Within EPA Headquarters        III-5
            2.1 Zone ERGS Project Officer                                III-5
            2.2 Contracting Officer                                      III-6
        3.  Contract Management Structure Within EPA Regional Offices    III-7
            3.1 ERGS Deputy Project Officer (DPO)                        III-8
            3.2 Ordering Officers                                        III-9
            3.3 Regional Project Officer                                 111-10
                                     ill

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                                                   OSWER Directive 9242.2-01B
                                                                      (10/87)
                     TABLE   OF   CONTENTS
      4.   ERGS Contractor Management Structure
          4.1 Program Manager
          4.2 Response Manager
                                                                 Page
                                                                 Number
                                                                 III-ll
                                                                 III-ll
                                                                 111-13
IV.   PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE
      SERVICES
                                                                  IV-1
      3.
      4.

      5.
      6.
    ERGS Contractor Selection                                     IV-2
    1.1 Initial Screening                                         IV-5
    1.2 Selection Criteria Definitions                            IV-5
    1.3 Using the Selection Criteria                              IV-8
    1.4 Documentation of Contractor Selection Decisions           IV-26
    1.5 Zone Crossovers                                           IV-26
    Delivery Order Preparation and Processing                     IV-27
    2.1 Oral Delivery Orders                                      IV-27
    2.2 Delivery Order Completion and Processing Instructions     IV-29
    Delivery Order Modifications                                  IV-36
    Notice of Failure to Perform or to Make Progress in           IV-36
    Performance ("Cure Notice")
    Notices Regarding Work Stoppages ("Stop Work Orders")         IV-41
    Project Site Files                                            IV-44
 V.
PROJECT MONITORING AND FINANCIAL MANAGEMENT
V-l
      1.   Daily Project Tracking
          1.1 Defining Contractor Activity
          1.2 Monitoring Contractor Progress
          1.3 Reviewing Project Status
      2.   Monthly Invoice Certification
          2.1 Distributing the Invoice Package
          2.2 Verifying Invoice Charges
          2.3 Documenting Questionable Charges
                                                                   V-4
                                                                   V-4
                                                                   V-5
                                                                   V-10
                                                                   V-l 2
                                                                   V-12
                                                                   V-13
                                                                   V-13
                                   IV

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                                                    OSWER Directive 9242.2-01B
                                                                       (10/87)
                      TABLE   OF   CONTENTS
           2.4 Cartifying the Invoice
           2.5 Submitting the Invoice  for Processing
       3.   OSC and Contractor Reporting Requirements
           3.1 OSC Reporting Responsibilities Under ERGS
           3.2 ERCS Contractor Reporting Requirements
                                                                  Page
                                                                 Number
                                                                   V-13
                                                                   V-15
                                                                   V-15
                                                                   V-16
                                                                   V-16
 VI.
AWARD FEE PERFORMANCE EVALUATION PLAN
                                                                         VI-1
       1.   The Award Fee Process                                         VI-2
       2.   Preparation of Performance Event Reports                      VI-7
           2.1 Organization,  Roles and Responsibilities                  VI-7
           2.2 Preparation of Award Fee Performance Event                VI-9
               Reports
       3.   Preparation of the Summary Evaluation Package              •   VI-14
           3.1 Project Officer (Evaluation Coordinator)                  VI-14
           3.2 The Summary of Performance Evaluation Reports             VI-15
       4.   Performance Evaluation Review and Award Fee Recommendation    VI-17
           4.1 The PEB                                                   VI-17
           4.2 Award Fee Computation                                     VI-19
VII.   INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM
       CONTRACTORS AND FEDERAL, STATE,  AND LOCAL AGENCIES
                                                                 VII-1
       1.   Superfund Contractors                                        VII-2
           1.1 Technical Assistance Team (TAT)  Contractors              VII-4
           1.2 Underground Storage Tanks (UST)  Program                  VII-4
           1.3 Remedial Planning (REM)  and Field Investigation          VII-5
               Team (FIT) Contractors
           1.4 Technical Enforcement Support (TES)  Contractors          VII-7
           1.5 Contract Laboratory Program (CLP)                        VII-3
           1.6 Response Engineering and Analytical  Contract (REAC)      VII-9

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                       TABLE   OF   CONTENTS
        2.  Other Federal Agencies
            2.1 U.S. Coast Guard (USCG)
            2.2 Other Federal Agencies
        3.  State and Local Government Agencies
 Page
Number
VII-9
VII-9
VII-11
VII-11
APPENDIX A -    ERCS ZONE CONTRACTS STATEMENT OF WORK
  A-l
APPENDIX B -    RESPONSE TIME LIMITS (ERCS ZONE CONTRACTS)
  B-l
APPENDIX C -    DESCRIPTION OF ALLOWABLE AND UNALLOWABLE CONTRACTOR
                CHARGES
  C-l
APPENDIX D -    RCRA CONTACTS - COMPLIANCE STATUS OF RCRA DISPOSAL
                FACILITIES
  D-l
GLOSSARY
BIBLIOGRAPHY
                                      VI

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                                                    OSWER Directive 9242.2-01B
                                                                        (10/87)
                       INDEX   OF   EXHIBITS
  1-1   Contract  Management  Components  and Users'  Manual  Organization

 II-l   ERGS Contracting Network at  a Glance

 II-2   Representative  Cleanup Activities  at  ERGS  Responses

 II-3   ERGS Zone Contractor Professional  and Technical  Personnel
        Requirements

 II-4   Protective Equipment Types,  by  Levels

III-l   ERGS Contract Management Structure

 IV-1   Initiation of Contractor Response  Services

 IV-2   ERGS Contractor Evaluation Form

 IV-3   ERGS Contractor Selection:  An  Illustrated Example

 IV-4   ERGS Contracts  Delivery Order Elements

 IV-5   Delivery Order  for Emergency Response Cleanup Services

 IV-6   Amendment of Solicitation/Modification of Contract (SF 30)

 IV-7   Notice of Failure to Perform or to Make Progress in Performance
        ("Cure Notice")

 IV-8   Notice Regarding Work Stoppage  ("Stop Work Order")

 IV-9   Removal Site File Structure

 IV-10  Documents for Removal Actions

  V-l   Project Monitoring and Financial Management

  V-2a  Contractor Personnel Report

  V-2b  Contractor-Owned Equipment/Materials Report

  V-2c  Subcontractor Report

  V-2d  Instructions for Completing EPA Form 1900-55
 Page
Number

  1-3

 II-3

 II-9

 11-12


 11-23

III-3

 IV-3

 IV-9

 IV-14

 IV-30

 IV-31

 IV-37

 IV-39


 IV-42

 IV-45

 IV-48

   V-3

   V-6

   V-7

   V-8

   V-9
                                      Vll

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                                                    OSWER Directive 9242.2-01B
                                                                       (10/87)
                       INDEX   OF   EXHIBITS
  V-3  Documenting Questionable Charges - Sample Memorandum

  V-4  ERGS Contractor Performance Summary

  V-5  Required Contractor Reports

  V-6  The CERCLA Off-Site Disposal Report

 VI-1  The Award Fee Process

 VI-2  CPAF Contract Individual Performance Event

 VI-3  ERCS Performance Evaluation Criteria

 VI-4  Summary of Performance Event Reports

 VI-5  ERCS Performance Evaluation Board

VII-1  ERCS Contractor Interactions with Superfund Contractors
       and Other Agencies
 Page
Number

  V-14

  V-17

  V-19

  V-21

 VI-3

 VI-10

 VI-12

 VI-16

 VI-18

 VII-3
                                    Vlll

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
BOA
CEAT
CERCLA
CLP
CPAF
CWA
DPO
ERD
ERGS
FIT
HSCD
HSED
LUST
MSHA
NCP
ME 1C
MIOSH
MPL
CERR
OSC
OSHA
OUST
OWPE
PCMD
PO
POLREPs
QAMS
RCRA
REM
SARA
SMO
TAT
                LIST OF ACRONYMS
Basic Ordering Agreement
Contractor Evidence Audit Team
Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 (P.L. 96-510), as Amended by the
Superfund Amendments and Reauthorization Act of 1986 (SARA)
Contract Laboratory Program
Cost-Plus-Award-Fee
Clean Water Act
Regional ERCS Deputy Project Officer
Emergency Response Division
Emergency Response Cleanup Services Contracts
Field Investigation Team Zone Contracts
Hazardous Site Control Division
Hazardoud Site Evaluation Division
Leaking Underground Storage Tank Trust Fund
Mine Safety .and Health Administration
National Contingency Plan
National Enforcement Investigations Center
National Institute of Occupational Safety and Health
National Priorities List
Office of Emergency and Remedial Response
On-Scene Coordinator
Occupational Safety and Health Administration
Office of Underground Storage Tanks
Office of Waste Programs Enforcement
Procurement and Contracts Management Division
Headquarters ERCS  Project Officer
Pollution Reports
Quality Assurance  Management Staff
Resource Conservation and  Recovery Act of  1973  (P.L.  94-580;
Remedial Planning  Contracts
Superfund Amendments and Reauthorization Act of  1986
Sample Management  Office
Technical Assistance Team
                                       IX

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                          LIST OF ACRONYMS (Continued)

TDD             Technical Direction Document
TES             Technical Enforcement Support Contracts
USCG            U.S.  Coast Guard
UST             Underground Storage Tanks

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                   OSWER  Directive  9242.2-01B
                                      (10/87)
 CHAPTER  I
INTRODUCTION

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                                                     OSWER Directive 9242.2-0IB
                                                                        (10/37)
                                   CHAPTER I
                                  INTRODUCTION
    The  U.S.  Environmental   Protection  Agency   (EPA)   has  established   a
contracting network  of  Emergency Response Cleanup Services  (ERCS)  contractors
to support  the  Superfund  removal  program.   The ERCS  contracts are  used  to
procure  services  necessary  to  respond  to  hazardous  substance  releases  or
threats of releases,  including releases at "known"  hazardous substance  sites.

    The  purpose  of  this  users'  manual  is  to  establish  a  standard  set  of
operating  and  management procedures  to assist  EPA  Headquarters and  Regional
personnel, and personnel  from  other  Federal agencies (e.g.,  U.S. Coast  Guard)
authorized to use  the  ERCS  contracts, in using the  contracts  efficiently and
effectively.   In addition, the users'  manual discusses coordinating  the  use  of
the  ERCS contracts  with  other  entities  involved with  the  Superfund  program
(e.g.,  the  Superfund remedial  program and interactions  with state and local
governments).

    In  addition  to  providing a  reference for  using  the ERCS contracts,  the
manual can be used to train  and/or inform parties who regularly  interact with
or who are interested in the ERCS program including:

         Existing  or  new  EPA  or  other  Federal  personnel  responsible  for
         management of the ERCS contracts

         EPA  personnel  from  other  parts  of  the  Superfund  program   (e.g.,
         remedial,    enforcement,   state  coordination,   community   relations,
         financial  management)

         Federal,  state  and local officials and their contractors.

The  remainder of  the introduction describes  the structure  of  the  manual and
briefly discusses instructions for its use.
                                      r-i

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
1.  STRUCTURE OF THE USERS'  MANUAL

    The users' manual places  into perspective the key relationships  among  the
basic components required to  manage  and implement a  removal  action through  use
of services (e.g.,  personnel,  equipment, and materials) provided under  each of
the ERGS contracts.  A  summary  of the contract management components required
is illustrated in  Exhibit  1-1.    The  users'  manual  has  been organized around
these components.  A brief  description  of the contents of each of  the chapters
is provided below:

    Chapter  II  —  Scope  and  Provisions  of   the  Cleanup  Services  Contracts
    describes  general   contract  background  information;    the   terms   and
    conditions of  the  contracts  and  contractor  requirements;  the  contract
    Statement of Work;  and contractor resources and responsibilities.

    Chapter  III  —  ERGS  Contract   Management:   Roles   and  Responsibilities
    highlights the  organization  and  key  management  roles,   responsibilities,
    and  interactions  of   Federal arid   contractor  personnel,  (e.g..  Project
    Officer,  Contracting   Officer,   Deputy   Pro]ect  Officers,   OSCs,   and
    contractor Program and Response Managers).

    Chapter  IV  —  Procedures   for   Initiating  Contractor  Response  Services
    discusses contractor selection criteria,  the preparation and processing of
    Delivery  Orders,  Delivery   Order  modifications,  Stop  Work  Orders,  and
    Project Site Files, and includes  detailed instructions for the  completion
    of all required forms.

    Chapter  V —  Project  Monitoring and  Financial  Management emphasizes  the
    procedures  for  monitoring   services  performed   by   the   contractor  and
    certifying   invoices   submitted   for  payment,   including  daily  project
    tracking and reporting requirements  of the OSC and contractor.

    Chapter  VI  —  Award  Fee  Performance  Evaluation Plan describes  the  award
    fee process, the  roles  and  responsibilities of OSCs,  DPOs  and Headquarters
    personnel  in  implementing the award fee   process,  and the specific  forms
    and procedures  that are to be used in evaluating contractor performance.

                                      1-2

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                                                                 OSWER  Directive 9242.2-01B
                                                                                      (10/87)
                                           EXHIBIT 1-1

                               Contract  Management Components
                                 And  Users' Manual Organization
                                             CHAPTER III
                                    ERCS CONTRACT MANAGEMENT:
                                     ROLES AND RESPONSIBILITIES
     CHAPTER IV
  PROCEDURES  FOR
INITIATING CONTRACTOR
 RESPONSE  SERVICES
                                       ROLES j
                                  Of FEDERAL 4 CONTRACTOR PERSONNEL
                                            CHAPTER II
                                     SCOPE AND PROVISIONS  OP
                                  THE CLEANUP SERVICES CONTRACTS
                                               ERCS
                                            CONTRACTOR
                                            RESOURCESt
                                           REQUIREMENTS
                                    TRAQGNQ CONTRACTOR RESOURCE
                                      UTILIZATIONANOAPPROVHG
                                       CONTRACTOR PAYMENTS
        CHAPTER VI
      ERCS AWARD FEE
PERFORMANCE EVALUATION PLAN
                                           CHAPTER  V
                                       PROJECT MONITORING
                                    AND FINANCIAL MANAGEMENT
                                             1-3

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    Chapter VII  — Interactions With  Other EPA Superfund  Program  Contractors
    and Federal, State and  Local  Agencies briefly summarizes the functions  of
    other  Superfund  contracts; the  situations in which  the ERGS  contractors
    may  interact  with other  Superfund  contractors  or  military  or  civilian
    entities;   and  basic   guidelines   to  follow   to   help  coordinate  their
    interactions.

    The  last  chapter  (Chapter  VII)  is  included  as  a  reference  for  ERGS
contracts  users for  coordinating  their  efforts  with  other  EPA  offices  or
divisions and other  agencies  involved  with the Superfund  program.   However,
the  chapter  does  not   discuss   specific  procedures   concerning  Superfund
programmatic requirements (e.g., procedures  for OSCs  to  follow in requesting
funding  authorization  from  EPA   Headquarters).   For more  detail  on  these
subjects, users  should  consult current  guidance  documents  specific  to  those
areas.    Suggested  references  available  as  of  this  printing are listed in the
bibliography.
2.  USING THE MANUAL

    The ERGS contracting network  consists  of two groups of  contractors:   four
(4)  ERGS  zone  contracts,   and  several  separate  ERGS   Regional   contracts
("Mini-ERCS").   The  types  of cleanup  services both groups  of  contractors  are
required to  provide  are essentially  identical.   However,   differences  between
the  two groups  of  ERGS  contracts  do  exist,  particularly with  respect  to
quantities  of  contractor  resources, geographical  coverage, and  response-time
requirements.   Similarities  and  differences  between  the   two  groups   of
contractors  are  highlighted  in  Chapter  II.   The  management  and  operating
procedures  described in the  following  chapters of the  manual are applicable to
the use of  contractors  from either group.   Variations in procedures used  for a
specific group are  noted appropriately.

    The information contained in  the  manual  has been organized  to permit OSCs,
DPOs, ERGS contractor personnel and other  Superfund contractors  involved with
the  removal  program (e.g.,  TAT  contractors) to  have  easy  access  to specific
                                      1-4

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
procedures pertaining  to  ERGS contract management.  Each  chapter  is separated
by a tab labeled with  the area  of contract management covered  in  the chapter.
Following the  tab is  a table of contents indicating the  pages  where detailed
discussions of specific procedures and forms can be found  in  the  chapter.   The
loose leaf format will facilitate updating and will enable users to supplement
the  text  with  notes  and  pertinent  references  appropriate  to  their  own
activities.
    The  remainder  of this  manual  describes the  procedures to  be  followed by
Federal personnel  in  using the  ERGS  contracts.  The  first topic,  "Scope  and
Provisions of the  Cleanup  Services Contract,"  highlights the services that can
be obtained through the ERGS contracts, and  contractor resources,  requirements
and responsibilities.
                                      1-5

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                      CHAPTER II
SCOPE AND PROVISIONS OF THE CLEANUP SERVICES CONTRACTS

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
                               CHAPTER II


                  SCOPE AND  PROVISIONS OF THE CLEANUP

                           SERVICES CONTRACTS


                               KEY TOPICS
Contract Background Information
ERCS Zone Contracts
 II-2
                                                                      II-4
ERCS Regional Contracts ("Mini-ERCS")
Contract Services, Resources and Requirements
Cleanup and Response Related Services
Program Management Activities
Miscellaneous Contract Requirements
Liability
Publicity and Confidentiality of Information
Conflict of Interest
 II-5
 II-7
 II-7
11-17
11-22
11-22
11-27
11-28
Chain of Custody/Document Control
11-29
                                  •T-1

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                                                     OSWER Directive 9242.2-0IB
                                                                        (10/87)
                                   CHAPTER II
                       SCOPE AND  PROVISIONS OF THE CLEANUP
                               SERVICES CONTRACTS
    The U.S.  Environmental  Protection Agency  (EPA)  and  the  U.S. Coast  Guard
(USCG) have  management  responsibility for  all Federally  funded  emergency and
removal cleanup  operations  at  oil  and hazardous  substances  releases.   To
provide  implementation  support  to  EPA  and  USCG,   the  Agency  employs  an
Emergency Response Cleanup Services  (ERCS)  contracting network which  consists
of  two groups  of  contracts:   four  (4)   ERCS zone  contracts,  and  several
separate ERCS Regional contracts.*   These  two groups of  contracts are  similar
in terms of  the  types  of services provided by each,  but  differ with  respect to
quantities of  contract  resources,   geographical  coverage,  and  response-time
requirements.  The  ERCS  contracts  replaced the Interim  Emergency  Procurement
Procedures under which removals  had been conducted in the  early  years of the
Superfund program.

    As  illustrated   in   Exhibit   II-l, .  this  chapter   describes   pertinent
oackground information,  and  the  technical  scope of  services,  resources,  and
requirements   of  the  contracts  awarded  under the  ERCS  contracting  network.
Similarities  and  differences  between the  two groups  of  ERCS contracts  are
described in  the  following section.

1.  CONTRACT  BACKGROUND INFORMATION

    The  following  sections   highlight   background  information  applicable  to
contracts  awarded under  the  ERCS contracting  network and  include  discussions
of  the  types  of   contracts,   periods   of  performance,  and  other  general
descriptive information pertaining to the contracts.
    The ERCS Regional contracts are also known as Mini-ERCS.
                                      II-2

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                                                OSWER Directive  9242.2-01B
                                                                    (10/87)
                         EXHIBIT 11-1

             ERGS Contracting Network at a Glance
                            ERGS
                       CONTRACTING
                         NETWORK
ZONE CONTRACTS
4 GEOGRAPHIC ZONES

1 - REGIONS I • III
2 - REGION IV
3-REG ION V
4 - REGIONS VI - X
      REGIONAL
    CONTRACTS
 CONTRACTS TO PROVIDE
 ADOmONAL RESPONSE
 CAPACITY AT SPECIFIC
 LOCATIONS
                      TECHNICAL SCOPE
                  • CONTAINMENT & COUNTERMEASURES
                  • CLEANUP, MfTIGATlON, DISPOSAL
                  • ANALYTICAL SERVICES
                  •SITE RESTORATION
 REQUIREMENTS/
  RESOURCES
ZONE CALL CENTERS
RESPONSE-TIME LIMITS
EMERGENCY RESPONSE
PERSONNEL EQUIPMENT,
MATERIALS
RESPONSIBILITIES
ZONE MANAGEMENT
RESPONSE MANAGEMENT
TRAINING
HEALTH & SAFETY
OUALfTY ASSURANCE
RECORDKEEPING/R SPORTING
                             II-3

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                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
1.1  ERGS Zone Contracts

     Type of Contract

          An indefinite quantity,  fixed rate, cost-plus-award-fee  (CPAF),
     Delivery  Order   contract   has   been  awarded  to  provide   emergency
     response cleanup  services  for  each  of  the  following four  zones:

          Zone 1  -  EPA Regions  I  -  III
          Zone 2  -  EPA Region  IV
          Zone 3  -  EPA Region V
          Zone 4  -  SPA Region VI  -  X.

     This type of  contract provides for the  furnishing  of an  indefinite
     quantity,  within  stated  limits,  of specific  services,  equipment  and
     materials during the contract  period.    The   delivery of  cleanup
     services  will be scheduled   by   the   placement  of   orders  to   the
     contractors.   In  order  to retain ' and  manage  the   distribution  of
     cleanup personnel,  equipment   and  materials  required,  each  contract
     also provides for a  management effort  that will  be   performed  on  a
     cost-plus-award-fee   basis.   The  management  effort   encompasses   all
     managerial,    financial,   administrative    and    clerical    functions
     necessary to  support  and  track performance  of the program.   Included
     in  the  management effort  are a  24-hour  (ZONE)  Call  Center  and  a
     Quality Assurance Program.

          Each contract provides  that  the Government  will order  a  stated
     minimum quantity  of  services,  and  that  the contractor  will  furnish
     the  minimum  and   any  additional  quantities,  not to  exceed a  stated
     maximum.   The minimum amounts represent  the  Government s  obligation
     and  are  in  addition   to estimated  costs  and  fees negotiated  for  the
     management effort associated  with   each  contract.   They are  also  in
     addition to  the amounts included in the Award Fee Pool  for each  zone
     (discussed in  Chapter  VI).
                                 II-4

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                                                OSWER Directive 9242.2-01B
                                                                    (10/87)
     Period of Performance

          The  base  period for each ERCS Zone contract  is one year from the
     effective  date,  with   options   to  extend  the   contract   for  three
     additional one-yeer  terms.

     Zone  Crossover

          An  ERCS Zone contractor may be used  to support Federal OSCs  in  a
     Zone  other  than  the contractor's  assigned  geographical  Zone.    Zone
     crossovers may occur in  situations such as the  following:

              The   contractor  has   an  actual,  potential,  or apparent
              conflict of  interest in conducting a  specific  removal  action

              The   stated  maximum quantity  of services  from  a specific
              Zone contractor has already  been ordered

              The  Government  determines  that  it  is   in its best interest
              to use  the services of  an alternate Zone contractor.

     Any use of  one contractor  by an  EPA  Region  in another  Zone  must  be
     coordinated   by  the  appropriate  ERCS  DPOs,   Project  Officer,   and
     Contracting  Officer  (See Chapter IV,  Section  1.5, for Zone crossover
     procedures).*

1.2  ERCS  Regional  Contracts  ("Mini-ERCS")

     The Agency  also  is  in  the  process of awarding several separate  ERCS
contracts  to provide  the  Regions with  additional  contractor resources  to
With the  award of  several  ZRCS Regional  contracts  to provide  additional
quantities of  contractor  resources within  a Zone, there probably  will  be
no need  for  Zone crossover.   However,  the  Zone  crossover provision  will
stay in effect  throughout  the  period of performance of the  Zone contracts
as a safeguard against response resource shortages within  Zones.

                                 II-5

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)

conduct  removal  actions.   Like  the  Zone  contracts,   the  ERGS  Regional
contracts  are  indefinite  quantity,  fixed   rate,   CPAF  Delivery  Order
contracts,  and  each  ERGS  Regional  contractor  is  responsible   for  both
response-related and program-management-related  services (e.g., contractor
response preparedness).  Moreover,  the  contract  Statements of Work for the
Zone  contracts and  Regional  contracts  are   essentially identical.   The
primary  differences  between the  two groups of  contracts are  with respect
to quantities of contractor resources, geographical  coverage,  and response
time requirements.

     Differences  or   limitations   of   the  ERGS  Regional  contracts*  as
compared to the ERGS Zone contracts include:

          Quantities  of  resources  available  provide   a  more   limited
          response capacity

          Required geographical coverage  of response services is localized
          with respect  to EPA Regions"

          Required response time limits  vary

          Underground Storage Tank (UST) cleanup  services are not covered

          Services  for  oil   spill   response   are  not   available   under
          .Mini-ERCS.

The remainder  of  the chapter  highlights contractor services, resources and
requirements  applicable  to   both   Zone   and  Regional   ERGS   contracts.
However, the  reader  should keep  in  mind  the  differences  in the  scope and
provisions of the two groups of ERGS contracts as cited above.
It  is  expected that all  ERGS  contractors  will be used  to  conduct removal
actions.  Guidance  on  the  selection  of ERGS  contractors  is  presented in
Chapter IV.
                                  II-6

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         In addition  to  the Zone  and Regional  contracts,  EPA  is  considering
    the possibility of developing  site-specific  contracts for sites that  have
    longer lead times  (i.e., at  least four months).   Specific details  on these
    contracts will be provided  when they become available.

2.  CONTRACT SERVICES, RESOURCES AND REQUIREMENTS

    The  following sections  describe  the   required  contractor  resources  for
cleanup  and  response  related  services  and  for  program-management-related
services.

    2.1  Cleanup and Response Re 1 a_ted Services

         Each ERGS contractor is required to  provide all  personnel,  equipment,
    and  materials  to  conduct  removals  in  response  to  oil  or  hazardous
    substances  releases  within  specific  time  limits and   according  to  the
    Statement  of   Work contained  in  a  Delivery Order.    (Responses  to  oil
    releases  normally will  be  conducted  under  the  USCG's  Basi-c  Ordering
    Agreement   [BOA]   contracting   system   for  implementing  responses  under
    Section 311 of  the CWA. )  Under the direction of  the OSC,  the  contractor
    must  provide  any  services  that  may be  required  to  mitigate  or eliminate
    any hazard or damage  to the environment resulting  from such releases.   The
    sections  below describe  the  technical  scope of  services  and  contractor
    resources and responsibilities each ERGS contractor is required to fulfill.

         Technical Scope  of Services

              The  ERGS contractor may  be  requested to  perform the  following
         types of activities in completing a removal action:*
    The ERGS zone contract Statement of Work is included in Appendix A.
                                       ' -7

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                                  OSWER Directive 9242.2-Q1B
                                                     (10/87)
Containment  and  Countermeasures —  The  contractor will  be
required to take  the necessary defensive actions at a spill
or  release  site  to  contain  the   pollutant  in  order  to
protect  public  health  and  welfare  and  the  environment.
Exhibit  II-2  lists  typical defensive actions  that  might  be
taken in response to a release.

Cleanup, Mitigation and Disposal —  Physical  collection and
temporary   storage   of   pollutants  may  . be   undertaken
following,  or  in  lieu   of,   treatment   action.    Example
collection methods  are  listed in Exhibit  II-2.  Actions  to
recover a  pollutant  from  affected  media include the  use  of
chemicals  for  flocculation,  coagulation,  neutralization and
separation as  well  as  other  methods listed in the  exhibit.
Following    removal    and/or    temporary   storage,    any
contaminated  material  must  be   disposed  of  in  accordance
with all  appropriate Federal, state and  local regulations.
The  OSC   must   consult  - "Procedures  -for   Planning   and
Implementing   Off-Site   Response   Actions,"   May 6,   1985
(Memorandum    from   Jack   McGraw,    Acting    Assistant
Administrator, to  Regional  Administrators,  Regions  I-X).
The OSC  has  the  option to accomplish disposal through  this
contract  or  through other  contractual  mechanisms   at  the
OSC's  discretion.   The   contractor  is   responsible   for
obtaining   all   necessary  transportation   and   disposal
permits.  EPA will appear on the manifest as the  generator.

Restoration  — The  contractor  is   required   to  repair  or
replace  material  damaged during the removal  and  to  restore
the damaged environment to as near  pre-emergency  conditions
as possible.   Examples  of such  actions include:   regrading,
soil replacement,  reseeding  or  replanting, and  restocking
fish and wildlife.
                   Il-f

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                  EXHIBIT 11-2
              REPRESENTATIVE CLEANUP ACTIVITIES AT ERGS RESPONSES
Defensive Actions to Protect Public Health and the Environment

         Sampling  and analysis  to  determine  the  source  and  spread of  the
         pollutant and disposal options

         Containing the  release  at  its  source  and  preventing further  acute
         flow of the pollutant

         Controlling the source of discharge

         Restraining the spread of the pollutant by the use of chemicals

         Placing physical barriers to deter the spread of the pollutant

         Constructing slurry trenches

         Placing diversionary booms

         Moving earth

         .Handling drums

         Containerizing pollutants

         Diverting streams

         Keeping wildlife away from polluted areas

         Controlling upstream water discharge

         Providing temporary alternative drinking water supplies

         Providing temporary relocation for residents (with FEMA support)

         Providing traffic and crowd controls

         Providing security

         Executing damage control or salvage operations

Physical Collection and Temporary Storage

         Flushing  contaminants  from 'the  area,  followed  by  collection  and
         holding
                                      "1-9

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                                                     OSWER Directive 9242.2-0IB
                                                                        (10/87)


                            EXHIBIT II-2  (continued)

         Skimming materials from the surface of water

         Washing soils;  collecting and storing recovered material

         Pumping contaminated groundwater,  with subsequent storage

         Segregating waste chemicals at uncontrolled  hazardous waste sites

Recovery of Pollutant from Affected Media

         Using  chemicals  for  flocculation,  coagulation,  neutralization  and
         separation

         Using biological treating agents

         Treating affected water and soil physically  and chemically

         Using specialized equipment,  such as mobile  carbon treatment systems

         Aerating affected media to selectively release volatile components

         Fixing and treating the polluted media in place

         Salvaging or destroying vessels

         Decontaminating or destroying contaminated equipment  and  facilities

         Arranging for disposal  or destruction technology

         Incineration on-site
                                     T T - • ")

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                                            OSWER Directive 9242.2-0IB
                                                               (10/87)
          Analytical —  Sample  collection,  storage,  transportation,
          analysis  and  disposal  are  to  be   provided  on  a  quick
          response basis  (24  hours or  less as specified by  the OSC,
          unless  the OSC decides on  a longer  time  frame).   On-site
          and off-site  analytical  activities are  required  to provide
          chemical and  physical  analyses,  including  but not  limited
          to   on-site    compatibility  testing,   pH,    flash   point,
          oxidation/reduction, organic vapor  analysis,  TOG  sulfide
          and TOG phenols.

Contractor Resources

     The  ERGS  contractor  is  required  to  provide  all  personnel,
equipment  and materials  necessary to  conduct  removals of  oil  and
hazardous  substances.   Hours  or quantities  of  personnel,  equipment
and materials will  be  ordered as required  to  implement  site-specific
removals.   Personnel,  equipment  and materials must  be  made available
to any location within the time limits established for each zone.'

          Staffing Requirements  —  A  list  of  types  01  personnel  (by
          discipline)  that  the contractor  is  required  to  provide is
          shown in Exhibit II-3.   The fixed  rates  for  different labor
          categories for  the  base  year and each  option year  of  the
          contract will  be  provided to ERGS  contracts'  users  as  the
          contracts are awarded.

          Equipment  and Material Requirements  — Rapid response  and
          non-rapid  response  equipment and  material  types which  the
          contractor must  provide  within  required time  frames  should
          be specified in the Delivery Order.

     Fixed  ordering and  oilling  rates for  equipment   and  materials
shown  in the exhibit  will  be provided as each  contract is  awarded.
These rates will  be used for projecting costs of removals.
                            11-11

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                                                 OSWER Directive 9242.2-01B
                                                                     (10/87)
                              EXHIBIT II-3
 ERGS ZONE CONTRACTOR PROFESSIONAL AND TECHNICAL PERSONNEL REQUIREMENTS
Professional

Supervisor (Response Manager)
Engineer, Chemical
Chemist, Organic
Industrial Hygienist/Safety Engineer
Hydrogeologist

Technician

Foreman (hazardous waste response)
Cleanup Technician (hazardous waste response]
Laborers
Equipment Operator
Truck Driver
Lab Technician
Welder
Electrician
Mechanic
Carpenter
Explosives Specialist
Security Guard
Field Clerk/Typist

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                                            OSWER Directive 9.242.2-01B
                                                               (10/87)
Contractor Resoonsibilities
          Required  Response  Times —  Rapid response  time  personnel,
          equipment,  and materials  must  be  made  available  by  the
          contractor  to any  zone location  within the  response  time
          limits specified in the Delivery Order.   Depending  upon the
          location,  the required response  time  varies.   Requirements
          for  personnel,  standby equipment  and  urgent  responses  are
          as follows:

               Personnel  —  The contractor  is  required  to  provide
               personnel who  can  respond to  emergencies  within  the
               specified  response time  limits.   These  personnel  may
               either be full-time  or part-time  contractor employees
               or provided through subcontracting arrangements.

               Standby   Equipment  —   From  time  to  time,   certain
               equipment may be ordered by the OSC  to  be available on
               site  while  not actually  in  use.   Such  standby periods
               normally will not  exceed  fourteen consecutive  calendar
               days.    The  contractor  agrees  to  make   available  at
               specified standby rates the  equipment  so  ordered,  with
               the  understanding  that  the maximum fourteen day period
               may  not  be extended except  by mutual written agreement
               between  the contractor and the Contracting Officer.

               Urgent  Requirements  —  In  the  event  of  a  need  for
               immediate services  in less time than that  provided by
               the  contract,   the  Government  has  the  right   to  make
               other  arrangements  for  those services  until  such  time
               as  the  ERCS  contractor can  arrive  on scene  and  take
               responsibility  for  the  cleanup.  In such  a situation,
               the  Ordering  Officer should  contact the  ERCS contrac-
               tor  by telephone to determine how fast a response can
                            ri-13

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                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
               be  made.   Regardless  of  whether   the  ERGS   contractor
               indicates  that  it  can  respond in  less  than  the  minimum
               required  time,   if  the   response   time  offered  by   the
               contractor does not  meet  the  needs  of  the Government,  the
               Ordering Officer has  the authority to contract with  another
               party to  perform  the initial  services determined necessary
               to mitigate a  threat to  the  public health  and  welfare.*
               When   ERGS   contractor   personnel   arrive    on   scene,
               arrangements  are to  be made  with the  OSC for  an  orderly
               transition of   responsibility.   The  ERGS contractor  may
               elect to  subcontract  any  or  all  of  the  remainder  of  the
               cleanup services at that  site  to  the party that  has  already
               commenced the work.

               Response  Management   —   The  Response   Manager  is   the
               contractor's  point  of  contact for  the  OSC.   The  Response
               Manager  is  responsible  for   managing  and  executing  all
               cleanup   activities    in   exact    accordance    with   the
               specifications   of  the  Delivery  Order  and  the  technical
               guidance  of  the OSC.   The  Response Manager  is  to  be  on
               scene daily  during  a   response  action,  maintaining  close
               coordination  with  the  OSC  or other  designated  official.
               The Response Manager will  conduct  on-scene surveys with  the
               OSC  to  assist   in  developing   detailed work  plans and  will
               provide administrative  support,  supervision and  management
               of  cleanup personnel,   equipment  and materials  provided  on
               scene.    The  Response  Manager  is  to  report  any  problems
               encountered  in  executing  cleanup  activities   and  take
               corrective action when performance is not  acceptable  to  the
               OSC.
Procedures for procuring contractors  in urgent situations are described in
the  EPA   publication  entitled   EPA   Superfund  Emergency   Contracting
Procedures, October 9, 1985.
                                 11-14

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                                  OSWER Directive 9242.2-01B
                                                     (10/87)
In addition,  the Response Manager must:

     Provide   the  OSC  with  a  detailed  accounting  of  all
     costs  incurred at  a  specific site  in  a  format  and
     frequency  specified  in  the  Delivery  Order  and  as
     required  in   EPA's   Removal   Cost   Management  Manual
     (revised 1987).   (EPA computer  software is  available
     to  the   Response  Manager  for  providing  a  detailed
     accounting of  all costs.  This is described  in  detail
     in  EPA's  User's Guide  for   Removal  Cost  Management
     Software. June 1985.)

     See  that  pollutant  storage,  transportation,  treatment
     and  disposal  meet  all safety and  environmental  laws
     and regulations.

Health and Safety — As identified  in  section 300.38  of the
National  Oil and  Hazardous  Substance  Contingency  Plan (40
CFR  300)  and section  126  of  the  Superfund  Amendments  and
Reauthorization Act, the  OSC,  contractor and/or responsible
party must ensure on-site worker health  and  safety during a
response  action.   A formal  site analysis  must be performed
prior   to   site   entry.     Based   upon   this  preliminary
evaluation,  a  site-specific safety and  health plan must be
developed,  distributed  and posted.   According  to  OSHA's
"Hazardous Waste  Operations and  Emergency Response Interim
Rule"  (December 1986),  the safety plan  must address  the
following:

     Names of key personnel and health and safety personnel

     Task/operation safety and health risk analysis

     Employee training

-    Personal protective equipment  to be used

                   11-15

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                                  OSWER Directive 9242.2-01B
                                                     (10/87)
     Frequency  and   types   of   air  monitoring,   medical
     surveillance  and sampling techniques

     Site control  measures

-    Decontamination procedures

-    Site standard operating procedures

     Emergency response contingency plan

     Confined space entry procedures.

Similar  safety  precautions  will  be  taken when  handling or
disposing of hazardous wastes as  regulated under  RCRA.   The
plan will  be modified  or updated as needed.  The  OSC  must
require  all  individuals entering  the  site to  sign a  form
which indicates that  they have read and understand the  site
safety plan.

The ERCS contractor will conduct on-site operations  under
the  guidelines  of  a  company  health  and  safety  program
which,  at a  minimum,  complies with  all  Federal,  state  and
local statutes, regulations  and  ordinances regarding health
and  safety.  Standards  that  exceed  those mandated by  the
Federal  Government  may  be  required  by  the  contractor.
However, additional costs associated with  adherence to  such
standards will be  borne by the contractor.

All response actions are subject to OSHA inspections.

Quality  Assurance   —   In   addition  to  the  contractor's
Quality   Assurance   (QA)    Program   Plan   detailing   the
contractor's  commitment  to  ensuring  that  all environmental
monitoring data are of known quality, the  OSC  may request a

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
               QA  project  plan  be  prepared  for  an  individual  removal
               action.   The plan  will include the  following:   QA  program
               organization   and    responsibility,   sampling   procedures,
               sample preservation procedures, sample  custody,  calibration
               procedures, analytical procedures, internal  quality  control
               checks and frequency, documentation,  and other  factors  that
               may affect the  known quality of environmental data.

2.2  Program Management Activities

     Each  ERGS  contractor   is   required  to  establish  an  organization
consisting  of  a  Program Manager  and as-needed  Response  Managers.   The
Program  Manager  will  maintain  a  network  of  cleanup  personnel,  equipment
and  materials  and  supervise  contractor  Response   Managers.    Contract
management is described  in  Chapter III of  this manual.   The resources and
responsibilities  required  by   the  ERGS   zone   contracts   for  program
management are discussed below.

     Zone Contractor Resources

          The  contractor's  Program  Manager is  the  point  of  contact for
     coordination with the EPA Headquarters Project Officer (PO), Regional
     Deputy  Project  Officers  (DPOs) and Contracting  Officer.   The  Program
     Manager  receives,  manages  and  implements  all  Delivery Orders.   The
     coordination   between   EPA  officials   and  the   contractor's  Zone
     management organization  and  specific  responsibilities  of  the  Program
     Manager are discussed in Chapter III.

          The  contractor  must  provide   all   necessary  administrative,
     clerical  and  supervisory  personnel   to  ensure  that  responses  are
     conducted in accordance with Delivery Order specifications.

     Contractor Responsibilities

          The  ERGS  contractors  are  required  to  provide the  following
     management related services:

                                 11-17

-------
                                                    OSWER Directive  9242.2-0IB
                                                                        (10/87)
                   Providing Immediate  Access to  Emergency  Response  Cleanup
                   Services*  —  The   ERGS  contractor  is  responsible   for
                   operating a  24-hour,  7-day-a-week  call  center  to  provide
                   EPA with access  to emergency  response  cleanup services at
                   all times.

                   Maintaining   Response  Capability   —   The  ERCS  contract
                   requires  that the  contractor  provide, either  from  its  own
                   staff  or  subcontractors,  personnel who  are  on alert  to
                   respond   to  any   emergency  response  requirement  within
                   certain   specified  time   limits.    The   contractor   must
                   maintain  an  equipment  and materials inventory and adequate
                   staffing  to  ensure  that  response time  requirements  can be
                   met.

                   Training  Contractor  Personnel  —  The  ERCS  contractor is
                   responsible  for providing  contractor personnel  trained in
                   the skills  required for  responding  to  oil  and hazardous
                   substances  releases  (e.g., personal  safety  equipment   and
                   proper    decontamination   procedures).     All    contractor
                   personnel must be  fully trained  by the  contractor before
                   performing any services  on  scene.

                   Accepting and  Implementing   Delivery  Orders  — Delivery
                   Orders  for   cleanup  services   are   to  be  issued  to   the
                   contractor  Program Manager (or  designee).   In the event of
                   an emergency, an  oral order may be  issued by the Ordering
                   Officer.    However, the  order must  be  confirmed within 48
                   hours   by  a   written   Delivery  Order.    Procedures    for
                   initiating  contractor  response  services   are  described in
                   detail  in Chapter  IV.

                   Subcontracting  of  transportation and disposal of  oil  and
                   hazardous substances  —  The contractor is  required to
*   Required only for ERCS  Zone  contracts.
                                     11-18

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                                  OSWER Directive 9242.2-01B
                                                     (10/87)
subcontract  all   transportation   of   oil  and   hazardous
substances  removed  from  the  site  of  the  cleanup  to  an
appropriate disposal  facility  unless otherwise  directed by
the  OSC,  and  to  subcontract  the  storage  and  ultimate
disposal  of the  materials.   If  the   contractor also  has
transportation equipment and disposal facilities  within the
same  company,  such  equipment  and facilities  will  not  be
eligible  for   use.   This  requirement  may  not  be  waived
except by  prior written approval of the Contracting Officer
or as described below-

     The    contractor    may   be    allowed    to    perform
     transportation   when   the   estimated    amount    of
     transportation cost  is  under  $25,000  and the  OSC can
     obtain prior  concurrence  from  the Contracting Officer
     that the situation on the site  clearly demonstrates it
     is  in the  Government's  best interest from  a  timing,
     cost,  or  other  basis  to  allow  the  contractor  to
     provide transportation.

     The   contractor   may   also  be   allowed   to  perform
     transportation when  the  total  cost  of  transportation
     is  less  than 525,000  and such services  are priced at
     rates  established   in  the  contract  and   upon   OSC
     approval.     Contracting  Officer   approval    is   not
     necessary in this situation.

     Should the  estimated cost  of  transportation services
     be  less   than  35,000,  the  OSC is  authorized to  order
     transportation   services   to  be   performed   by   the
     contractor   without   approval  from   the  Contracting
     Officer.

     Competition   is   to   be    obtained   to   the  maximum
     practicable  extent.  The  ultimate  methods selected for
     transportation and  disposal are subject  to  the verbal

                  11-19

-------
                                  OSWER Directive 9242.2-01B
                                                     (10/87)
     consent  of  the  OSC.    The  contractor  is  required  to
     obtain   at    least    three    cost    estimates    for
     transportation  of  hazardous  waste   materials  to  an
     ultimate disposal facility.  Cost  estimates  are  to  be
     obtained in  order  to ensure  that cost  effectiveness
     and expediency are considered.   Should the low bid not
     be chosen,  the selection criteria  used to  decide who
     is  to  transport  the  waste  materials  must  also  be
     documented.     This   includes   the    name    of   the
     individual(s)  making  the  decision,  their  title,  their
     organization  and  the  basis for  selection.    The same
     selection  process  also  applies  to   the   choice  of
     disposal facility.

     Copies  of   the  above   documentation  and   selection
     decision must  be  submitted  to the   OSC  within  five
     working days of the  selection  decision and attached to
     EPA  Form  1900-55   (Contractor  Cost   Report).    The
     rationale for  making  the  selection  decision  must  be
     fully explained.

     The  costs  of   transportation/disposal   may   not  be
     invoiced if  the  OSC  has  not  received  the  supporting
     documentation.

     If  the  above  selection  process   must  take  place
     off-site, a  verbal summary of the above  requirements
     may be  given  for  inclusion on  the  1900-55;  however,
     documentation  must  be  forwarded  to  the  OSC  within
     24 hours.

Cost control  and  recordkeeping  —  During  removal  actions,
the  ERCS  contractor  Program  Manager  and  Response Manager
will coordinate with the  OSCs  to  implement  procedures for
managing the  site  operations  and effectively monitoring the
costs.   This  management system  must  ensure the  efficient
                  11-20

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                                  OSWER Directive 9242.2-01B
                                                     (10/87)
use of  public monies  and  enable all  removal  costs to  be
measured against site  budget,  action memo, contractual, and
statutory  ceilings.    The  system  used  by  the  contractor
should  be  compatible  with  the  procedures for  monitoring
project  performance  and financial  management   described  in
Chapter V.

Quality  Assurance  Requirements  (QA) —  The ERGS contractor
is required  to institute a  quality assurance  program  that
will  ensure  that  environmental  monitoring  data of  known
quality  are  provided.   The  OSC  may request  the contractor
to  develop,   implement  and  manage  a  quality  assurance
project  plan  for  each  separate cleanup   action,  ensuring
that  all quality assurance  requirements,  including  zone or
Region-specific requirements,  are met.   "Interim Guidelines
and Specifications  for  Preparing Quality  Assurance  Project
Plans"    (QAMS-005/80)   contains  detailed  information  on
EPA's  quality assurance  program and  can  be  obtained  from
the Office of Monitoring Systems and Quality Assurance.

Property  Administration — The  contractor  is   required  to
initiate  a  property  administration  program that will ensure
compliance  with  the contractual  requirements  specified in
EPA's   "Guidance  for  Control  of  Government  Property  by
Contractors,"  dated  November   1,   1981.    The   property
administration   procedures   developed   by  the  contractor
should  be  forwarded  in writing  for review and approval to
the  EPA Property  Administrator.   EPA Form 1730-1,  "Report
of    Nonexpendable   Government    Property   Acquired    by
Contractor,"   should   be  completed  by  the  contractor  to
report  all ourchases of  Government  property.   A copy should
be  submitted  to  the  Property  Administrator  and to   EPA's
Financial     Management     Division,     when    requesting
reimbursement  for acquisition of  equipment.   Further, any
transfer of Government  property to EPA Officials  must be
documented  and reported  to  the  EPA Property  Administrator
                   11-21

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                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
                   utilizing EPA  Form 1700-7,  "Property  Receipt and  Transfer
                   Document."    The  contractor  must  also  submit   a   Property
                   Administration Program  Plan  that  includes  the  following:
                   property    administration    program    organization    and
                   responsibility   and   property   administration   procedures
                   addressing  acquisition,  receiving,  identification,  records,
                   movement, storage,  protection, loss  or damage,  utilization,
                   maintenance,  inventory,  disposal  and contract closure.

                   Personnel Protection  —  The OSC is  responsible  for  assuring
                   the safety of  all  individuals on site  at  all   times.   The
                   required level of  protection  as  specified by the OSC  is  to
                   be followed  by the contractor.   Exhibit  II-4 specifies  the
                   definitions   of  each   level  of   protection.   The   OSC's
                   determination  of  the  required   level   of   protection  is
                   considered   final.   Where  the  contractor  is  required  to
                   develop  a specific site  safety  plan as part of a  Delivery
                   Order,  the plan  13 to  be  submitted to  the  OSC for  review
                   and approval prior to commencing  work.  Where a site safety
                   plan is  provided  by  the  Government,  the contractor  agrees
                   to follow the  plan unless objections are made  known  to  the
                   OSC.    The  contractor  may  operate  at  a  higher  level  of
                   protection  than  that specified  by the  OSC,  but must  bear
                   any extra costs associated with the additional protection.

3.  MISnTT.r.ANEOUS CONTRACT REQUIREMENTS

    Special  provisions  in  the  contract  cover  publicity,  confidentiality  of
information, conflict of  interest,  and  contractor liability.  These provisions
are discussed below.

    3.1  Liability

         Liquidated Damages

              The  contractor may be  liable   for liquidated  damages   for  each
         hour of  delay under a particular  Delivery  Order until  such time as

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                  Exhibit II-4
                      PROTECTIVE  EQUIPMENT TYPES, BY  LEVELS
LEVEL A PERSONAL PROTECTIVE EQUIPMENT

    Pressure-demand, self-contained breathing apparatus (MSHA/NIOSH approved)

    Fully encapsulating chemical-resistant suit

    Coveralls*

    Underwear, long cotton underwear*

    Gloves (outer), chemical-resistant

    Gloves (inner), chemical-resistant

    Boots, chemical-resistant,  steel  toe and shank.   (Depending  on suit boot,
    worn over or under suit boot)

    Hard hat* (under suit)

    Disposable  protective   suit,   gloves,   and   boots*   (Worn   over   fully
    encapsulating suit)

    2-way radio communications

LEVEL B PERSONAL PROTECTIVE EQUIPMENT

    Pressure-demand, self-contained breathing apparatus (MSHA/NIOSH approved)

-   Chemical-resistant clothing  (overalls and  long  sleeved  jacket; coveralls;
    hooded,    one-    or     two-piece    chemical-splash    suit;    disposable
    chemical-resistant coveralls)

    Coveralls*

    Gloves (outer) chemical-resistant

    Gloves (inner) chemical-resistant

    Boots (outer)  chemical-resistant, steel toe and shank

    Boots (outer)  chemical-resistant (disposable)*

    Hard hat (face shield)*

    2-way radio communications (intrinsically safe)



*   Optional

                                     11-23

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)


                            EXHIBIT II-4 (Continued)

LEVEL C PERSONAL PROTECTIVE EQUIPMENT

    Full-face, air purifying respirator canister equipped (MSHA/NIOSH approved)

-   Chemical-resistant   clothing    (one-piece   coverall;   hooded,   two-piece
    chemical  splash  suit;  chemical-resistant  hood  and   apron;   disposable
    chemical-resistant coveralls)

    Coveralls*

-   Gloves (outer), chemical-resistant

    Gloves (inner), chemical-resistant

    Boots, steel toe and shank,  chemical-resistant

    Boots (outer), chemical-resistant (disposable)*

    Hard hat (face shield)*

    Escape mask

    2-way radio communications (intrinsically safe)

LEVEL D PERSONAL PROTECTIVE EQUIPMENT

    Coveralls

    Gloves*

    Boots/shoes, safety or chemical-resistant steel toe and shank

    Boots (outer), chemical-resistant, disposable*

    Safety glasses or chemical splash goggles*

    Hard Hat (face shield)*

    Escape mask
    Optional

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     the  Government   may   reasonably  obtain   performance  of   similar
     services.   If  the  contractor  fails  to  arrive  at  the  site  in  the
     required time, the  OSC/Ordering Officer has the  authority  to issue a
     "Notice  of  Failure  to Perform or to  Make Progress  in  Performance"
     ("Cure Notice")*, which is  a preliminary notice  of  default.   Such a
     "cure  notice"  can  also  be  used  in  cases  where  the  contractor's
     performance and  progress  have  not  been  satisfactory.   The  Delivery
     Order may  be  terminated  for default, or the Government may elect to
     use the ERGS contractor, regardless of delays.  If the  Delivery Order
     is  not  terminated,  the  contractor must  continue performance  and be
     liable to the Government  for liquidated damages.   The  Delivery Order
     shall not be  terminated  for default nor the contractor be held liable
     for  liquidated  damages for  delays  due to  causes beyond the control
     and  without  the fault  or  negligence  of  the  contractor,  pursuant to
     the provisions in the contract for "Excusable Delays."

     Insurance Requirements

          The  contractor  must  maintain  insurance  as  required  by  the
     Federal Acquisition Regulations  and detailed  in the  contract, as well
     as any additional  insurance that the  Contracting Officer may require
     with respect to the performance of the contract.

          At a  minimum,  the contractor  must maintain  the  following types
     of insurance:

               Workmen's compensation and  occupational  disease  insurance
               in amounts to satisfy state  law;
A  detailed  discussion  of "cure  notices"  is  provided  in  Section  4  of
Chapter IV.   OSCs  should  consult  this  Section for a  description  of  the
specific procedures to  be followed in preparing  "cure notices" and  their
responsibilities   in   making   certain   that   proper  communication   and
documentation requirements are met.
                                 11-25

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                                            OSWER  Directive  9242.2-01B
                                                               (10/87)
          Employer's  liability  insurance  in  the minimum  amount  of
          3100,000 per occurrence;

          Comprehensive  general   liability   insurance   for   bodily
          injury,   death  or  loss  of  or damage  to  property of  third
          persons  in the  minimum amount of  $1,000,000  per  occurrence;

          Vessel  collision  liability  and  protection  and   indemnity
          liability   insurance,   when   vessels   are   used  in   the
          performance  of  the  contract,  in  such  amounts  as   the
          Contracting Officer may require or approve.

In  addition,   the   contractor  is  required  to make  diligent  efforts
throughout  contract   performance   to  obtain   adequate   pollution
liability  insurance.   With  the written approval  of the Contracting
Officer, the  contractor  may maintain  a self-insurance program.   The
contractor shall  be reimbursed the  reasonable cost of  insurance  for
the  portion  allocable  to  the  contract   (including   reserves   for
self-insurance).

     The Government  will hold  harmless  and indemnify  the  contractor
against  any  liability  (including   the  expenses  of  litigation  or
settlement)   for    negligence   arising   out  of   the   contractor's
performance under  this contract in  carrying out  response  activities.
Such indemnification  shall  apply  only to liability not compensated by
insurance or otherwise and shall apply only  to liability  that  results
from a  release  of  any hazardous substance or pollutant or contaminant
if  such  release   arises  out  of  the  response   activities  of  this
contract.   Further,  any  liability   within  the deductible  amounts  of
the  contractor's  insurance will  not be covered  under this  contract
clause.

     With  the  prior written approval of the Contracting  Officer,  the
contractor may include in any subcontract under  the  contract  the same
provisions, whereby the Contractor may indemnify the subcontractor.
                            ri-26

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                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
          The contractor is  required to:

               Promptly notify  the  Contracting  Officer  of  any  claim  or
               action  against  the  contractor  or  any subcontractor  which
               reasonably may be expected to involve  indemnification

               Furnish evidence  or proof of  any claim  in  the manner  and
               form required by the Government

               Immediately furnish  the  Government copies of all  pertinent
               papers  received  by  the  contractor.    The Government  may
               direct, control  or  assist the settlement or defense of  any
               such claim or action.  The contractor must comply with  the
               Government's   directions,   and  execute  any   authorizations
               required in regard to such settlement  or defense.

3.2  Publicity and Confidentiality of Information

     The contractor must  acknowledge EPA support whenever the work  funded
in whole  or in part  by  the  contract is publicized.  The ERGS  contractor
must be cognizant  of  site-specific community relations plans  developed  by
EPA Regional personnel,  by  other contractors (e.g.,  REM,  FIT or  TAT)  or by
states  under a  Cooperative  Agreement   with EPA.   Although  the  cleanup
contractor will not be  required to prepare community  relations  plans,  it
must abide by the  provisions of such plans during removal actions.

     The OSC's  principal responsibility  is  to protect  public health  and
the  environment  until  the  removal  is  completed.   During  removals,  the
OSC's  primary  community  relations  responsibility  is  to  inform  the
community about the  response  actions  and their effects  on  the  community.
Any  data  that  are  generated  or  obtained  by  the   contractor   during
performance  of  a  removal   are  considered  confidential and not   to  be
disclosed to  anyone other than  Environmental  Protection Agency  employees
without the prior  written approval of the OSC.
                                 11-27

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
3.3  Conflict of Interest

     The ERGS contractor  is  required to provide to the Government  (within
thirty  [30] days after  award of the contract)  a list  of all  known sites at
which there may be an  actual,  potential,  or apparent conflict  of interest
in performing cleanup  services.   In the event  that additional  sites become
known  after  submission  of  that  list,  the  contractor  must  immediately
notify the Government of any such additions.

     Further, prior  to  accepting any  Delivery Order  to conduct  cleanup
services at any site,  the contractor must  immediately  notify  or reaffirm
to  the Ordering Officer any  actual, potential,  or  apparent  conflict  of
interest   the   firm   or  any   of   its  employees  may  have   (including
subcontractors and their employees  who  will  be performing  any portion of
the cleanup services)  by working at that site.  If it  is determined  that
any such  actual,  potential  or  apparent conflict  of  interest  does  exist,
the Government  reserves  the right  to cancel  or  terminate the  Delivery
Order   and  use  the   services   of  another  contractor  or   make  other
arrangements for the  cleanup services.

     EPA also considers  it  a potential conflict of  interest for the  same
contractor to perform both  the  Technical  Assistance Team   (TAT) Scope  of
Work and that of the ERGS at the  same  site.   In addition,   the contractor
is required to  have  all offerers on  any subcontract  funded  under the ERGS
contracts to provide  with its bid or proposal:

          Information on  its status  as  a  potential  responsible party  at
          the site

          Certification  that  it  has  disclosed  such  information,   if  it
          exists

          A  statement   that   it  shall  immediately  disclose   any  such
           information  discovered after submission of its bid  or proposal,
          or after  award.
                                 11-28

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
The contractor should  evaluate  this  information and notify the Contracting
Officer if an apparent conflict of interest exists.

3.4  Chain of Custody/Document Control

     All work  conducted by  the  ERCS contractor must  follow  established
chain-of-custody  and  document  control  procedures.   Detailed  information
pertaining  to  procedures  for  each  of  the  areas   is  available  in  NEIC
Policies  and Procedures,  U.S.  Environmental  Protection  Agency,  National
Enforcement  Investigations  Center  (NEIC),  Denver,  Colorado,  May  1978
(Revised  February  1983),   EPA-330/9/78-001-R.    Copies  of  this  document
should be obtained by  all  Regional  offices and be distributed  to  the ERCS
contractors' offices as well.   The document will serve as the official EPA
guidance for ensuring that  the procedures are followed.

     The OSCs and  other Ordering  Officers, together with  a  representative
from  the  Regional  enforcement office,  will  be  responsible  for  ensuring
that the contractor adheres to both the chain-of-custody and document
control  procedures.    Periodically,  adherence  to the  provisions  will  be
evaluated by an  evidence  audit.   The evidence audit  may be  conducted  by
Regional or  Headquarters personnel,  or by a Contractor Evidence Audit Team
(CEAT) from the NEIC.  Evidence audits may examine procedures  at  the site,
in   the   contractor  offices,  laboratories,   or   Regional   offices,  or
combinations thereof.

     The intent  is  for cost  recovery  in all cases  in which  CERCLA funds
are  expended.  Therefore,  the observation, documentation, and presentation
of critical facts and response costs are important to ensure that:

          Potential  evidence  concerning the  site and  responsible  parties
          is noted  and documented before  response activity  or the passage
          of time obscures  or eliminates it

          Physical evidence essential  at trial is collected  and  preserved
          appropriately
                                 11-29

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                                                 OSWER Directive 9242.2-0IB
                                                                    (10/37)
          Sufficient evidence of total costs and claims paid from  the  Fund
          is  maintained   and  available   to   support  recovery   by   the
          Government.

The filing of a cost  recovery action should always be presumed, hence the
need for diligent collection of relevant documentation.
                                 11-30

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                                      OSWER Directive 9242.2-01B
                                                         (10/87)
                   CHAPTER III
CONTRACT MANAGEMENT:  ROLES AND RESPONSIBILITIES

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
                             CHAPTER  III


           CONTRACT MANAGEMENT:  ROLES AND RESPONSIBILITIES


                              KEY TOPICS




                                                                 Page


Relationship Between EPA Headquarters and Regional Offices       III-2


Contract Management Structure Within EPA Headquarters            III-5


Zone ERGS Project Officer                                        III-5


Contracting Officer                                              III-6


Contract Management Structure Within EPA Regional Offices        III-7


ERGS Deputy Project Officer (DPO)                                III-8


Ordering Officers                                                III-9


Regional Project Officer                                         111-10


ERCS Contractor Management Structure                             III-ll


Program Manager                                                  III-ll


Response Manager                                                 111-13
                                 III-l

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                 CHAPTER  III
               CONTRACT MANAGEMENT:   ROLES AND RESPONSIBILITIES
    This chapter focuses on  the  management structure of the  ERCS  contracts.
The  roles  and  responsibilities  of EPA  Headquarters  and Regional  personnel
defined  in  the following  sections  provide  the  framework  for   effective
implementation  of  the  ERCS  contracts.   The individual responsibilities  of
key Agency  and contractor personnel  involved with  contract  management  are
also specified.  An  overview of  the  ERCS  contract  management  structure  is
shown in Exhibit III-l.

1.  RELATIONSHIP BETWEEN EPA HEADQUARTERS AND REGIONAL OFFICES

    Contract   resources  are   allocated   on   either   a    Zone-wide*   or
Region-specific basis  and must  be managed effectively  to  ensure  that  the
initiation of  site-specific  projects   is  consistent  with  Superfund  program
goals  and  objectives.   Two  levels of management  must  be  provided  by  the
Agency to successfully  plan, execute  and control the  work  performed  by  the
ERCS  Zone   contractors.   These  two components  of  EPA contract  management
consist of:   (1) overall contract management and  program  direction,  centered
in  EPA Headquarters;  and (2) technical  oversight  and project  management,
which is the  responsibility  of  each  EPA Regional  office  and other  Federal
agencies designated as ERCS  contracts  users (e.g., USCG).

    The  following  discussion  will focus  on  the  relationship  between  EPA
Headquarters and  Regional  offices and   summarize  the  responsibilities  of
each.    The  contract   management   structure  within  EPA  Headquarters  and
Regional offices,  and the roles  and responsibilities of key  Agency contract
management personnel  are discussed in  subsequent sections.
*   Only pertains to four ERCS Zone contracts.  The additional  ERCS Regional
    contracts (Mini-ERCS) are not awarded on a zone-wide basis.
                                     III-2

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                                                    OSWER Directive  9242.2-01B
                                                                         (10/87)
                              EXHIBIT 111-1

                   ERGS Contract Management Structure
                               ERCS
                           PROJECT OFFICER
  CONTRACTING
    OFFICER
                          DEPUTY/REGIONAL
                          PROJECT OFFICERS
 OTHER FEDERAL
ORDERING OFFICERS
                            EPA OSC«/
                        ORDERING OFFICERS
   ERCS ZONE
    PROGRAM
   MANAGERS
ERCS RESPONSE
  MANAGERS
                               ^—   FEDERAL GOVERNMENT INTERACTION

                               111111111   CONTRACTOR/GOVERNMENT INTERACTION

                                        HEADQUARTERS/CORPORATE MANAGEMENT
                                       REGIONAL MANAGEMENT
                                 III-3

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)

    Within EPA  Headquarters,  the  Emergency  Response Division  (ERD)  and the
Procurement  and  Contracts  Management  Division  (PCMD)  are  charged  with
overall contract management  responsibility  for the ERGS contracts.   ERD will
oversee total  resource use and  technical direction  of the  ERGS  contracts,
work directly with  the contractor Program Managers and other ERGS contractor
corporate staff, and  coordinate  implementation of the  contracts  through the
EPA   Regional   offices.    PCMD   will  be   responsible  for   all   contract
administration activities,  ensuring  that contracting  is done  as  authorized
by  law  and  regulation and  that  OSCs  have  been  delegated  authority  as
Ordering Officers and properly trained.

    EPA Headquarters  management  also  must coordinate EPA efforts with those
of other Federal agencies  supporting  the Superfund program, such as the U.S.
Coast Guard and  any other Federal agency or  military  entity using  the  ERGS
contracts.

    The Regional contract management  responsibilities  of  each  EPA Regional
office complement Headquarters'  overall  contract management  structure.   The
EPA  Regional  offices  will provide  site- or  project-specific  management  by
directly overseeing the ERGS Zone contractor's  performance  during  the course
of a  removal  action.   However,  on the  Regional (Mini-ERCS) contracts,  the
Regional office  is  responsible   for  overall   contract  management  including
oversight of  total  resource  use  and  technical direction  of  the  Regional
contracts.

    In addition  to  managing  and providing technical  direction for  removal
projects,  contract  management responsibilities  of  the  EPA  Regional offices
include:

         Initiation of response services
         Technical  and financial  progress monitoring
         Project-specific invoice certification.

The  following  sections describe  in  greater  detail  the organization,  roles
and   responsibilities   of   contract  management   officials   within   EPA
                                     III-4

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
Headquarters and  Regional  offices, as  well as the management  structure  and
responsibilities of the ERGS contractors.

2.  COMTRftCT MANAGEMENT STRUCTURE WITHIN EPA HEADQUARTERS

    As described  in the previous  section, EPA  Headquarters is  responsible
for  ensuring national  program consistency and  providing oversight  of  each
ERGS  contractor's  execution of  the  requirements specified  by  the  contract
Statement of Work.   This includes coordinating and  implementing  the program
through  the  EPA Regional  offices  and  any other  Federal, offices  delegated
authority  to use  the  ERGS contracts.  A description of  the key  roles  and
responsibilities of  each component of  EPA Headquarters  contract  management
structure is presented below.

    2.1  Zone ERGS Project Officer

         The Zone ERGS  Project Officer  is  the  EPA  official  with overall
    responsibility   for   managing  and  directing,  activities   under   the
    contracts.   As  such,  the Zone ERGS Project Officer  will coordinate with
    the  Zone Program  Manager,  Contracting Officer,  and with  the  Regions
    through the ERGS Deputy Project Officers.

         In  addition  to  these  ongoing   responsibilities,  the  Zone  ERGS
    Project  Officer  is  responsible for monitoring the management  portion of
    each zone contract.   The Zone ERGS Project Officer  will certify monthly
    invoices for  the management portion.   This encompasses  all  managerial,
    financial,    administrative,  and   clerical   costs   for   the   contract.
    Allowable costs  for  the management portion are  described in  the Federal
    Acquisition Regulation  Subpart 31.   Changes to the management portion of
    each contract  will  be  on a  cost  basis.   The  labor rates charged to the
    contract should not exceed the  rates  proposed  by the  contractor.   All
    rates  established  for  the  management  portion  of  the  contract  are
    provisional  rates  that  constitute  ceilings  for  that  particular  rate.
    Final  costs will be  determined  by actual  costs as  determined by the
    Contracting Officer, based  upon an audit of costs incurred.
                                     III-5

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                                                 OSWER Directive 9242.2-0IB
                                                                    (10/87)
     The  Zone  ERGS  Project  Officer  will  also  conduct  Regional  ERGS
contracts  management  reviews  once  every  two years  for  the purpose  of
assessing  EPA  Regional  office compliance  with  the  contract  management
procedures  and  requirements  specified  in  the  ERGS  Contracts  Users'
Manual and the Removal Cost Management Manual.  These  management reviews
should cover four areas:

          Delivery Order preparation and project initiation

          Project monitoring and cost verification

          Invoice processing

          ERGS contractor evaluation.

     The  central  feature  of  the  management  reviews  will  be  visits  to
each  EPA Regional  office.   Contract  management documentation such  .as
Delivery  Orders,  Contractor  Cost  Reports  (EPA  Form 1900-55),  project
logs, invoices, and contractor performance  summaries should  be reviewed
for  completeness,  appropriateness,  and level  of  detail.   Procedures
followed by the  DPOs  and OSCs in managing  the  ERGS  contracts  should  be
examined through personal interviews.

     At  the conclusion of  each site visit,  the  ERGS  Project Officer will
be   responsible   for   preparing   a   draft  report   of    findings   and
recommendations.   This  draft  report  will  be submitted  to  the Regional
DPO for  comment.  Upon  receipt of the DPO's  comments,  the  ERGS Project
Officer  will  finalize the  draft  report  and  then submit  it to  the  EPA
Regional Division Director  for a  formal response to  the  recommendations
in the report.

2.2  Contracting Officer

     The Contracting Officer  has  the authority  to enter into, administer
and modify the ERGS contracts.  While  limited contracting  authority will
be  delegated  under   the   ERGS   contracts   to   Ordering  Officers  (see

                                III-6

-------
                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
section 3.2  in this  chapter),  the  Contracting  Officer  will  retain  sole
responsibility for most contract administration functions,  including:

              Executing  all  modifications  to  Delivery  Orders,   such  as
              ceiling increases and changes in scheduled completion dates

              "Definitizing"  each  Delivery Order:   setting  forth  the  final
              cost of  each Delivery  Order after a  review of  a  summary  of
              contractor costs claimed

              Resolving disputes relating  to  the terms and conditions of the
              contract or individual Delivery Orders, including any payments

              Conducting   audits   of   contractor   records   relating   to
              performance  under   the   ERCS   contract  for  the  purpose  of
              evaluating  the   accuracy  and  completeness   of  information
              recorded on invoices.

While   Headquarters   management   roles   focus   on • overall   guidance  and
administration of the ERCS Zone contracts, management  duties  at the Regional
level center  largely  on the more technical aspects of contractor performance
and  the  site-specific  direction of  contractor  resource use  and  monitoring.
Of  course,  this   is  true  only for the  Zone   contracts;  for the Regional
contracts, the Regions focus on overall guidance and administration,  as well
as day-to-day  management  of sites.  The Zone ERCS  contract  management roles
and  responsibilities of the EPA Regional offices are discussed next.

3.  CONTRACT MANAGEMENT STRUCTURE WITHIN EPA REGIONAL OFFICES

    The  EPA  Regional offices  are  charged with  the day-to-day  oversight  of
the  ERCS  Zone  contractors'  work on  site.  They  ensure that program policies,
procedures, goals, and objectives are met by the contractors  with  respect to
specific  assignments.   Regional contract management responsibilities include
the  technical  direction  and  management  oversight  of  removal  projects,
progress  monitoring, invoice certification, and  performance evaluation.
                                     III-7

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    The Regional  management  structure for  administration of  the  ERGS  zone
contracts is comprised of two major management positions:

         ERGS Deputy Project  Officer
         Ordering Officer.

For the ERGS  Regional  contracts,  administration is  the  responsibility of  a
Project Officer.   The  functions of  these Regional  management  positions  are
discussed below.

    3.1  ERGS Deputy Project  Officer (DPO)

         The  ERGS  DPO's  primary responsibility  is  to oversee  and  organize
    required  interactions  between  EPA Regional personnel and  the  contractor
    to ensure that correct  management procedures are followed.  The  ERGS  DPO
    may  work  with  the   Project   Officer  or  Contracting   Officer  at  EPA
    Headquarters,  or  with  the contractor's   Response  Managers  or  Program
    Manager.   Key  contract   management   responsibilities  of   the  ERGS  DPO
    include:

              Ensuring that  correct  management procedures  are followed  and
              resolving issues pertaining to the management  procedures

              Overseeing  contract  use at sites  by  OSCs or  other  designated
              Federal   officials,   including  reviewing  Statements  of  Work
              developed for Delivery Orders

              Receiving,   reviewing,  and  distributing   monthly   contractor
              invoices and  progress  reports   to  OSCs  and  other  designated
              Federal  officials

              Reviewing contractor  deliverables and completion reports

              Reviewing the Contractor Performance  Summary  Reports submitted
              by OSCs
                                    III-8

-------
                                                 OSWER Directive 9242.2-0IB
                                                                    (10/87)
          Reviewing   and  concurring   with   OSC-initiated  award   fee
          Performance Event Reports (PERs)

          Responding to  the  findings  and recommendations  resulting  from
          Regional  ERGS  contracts  management  reviews  conducted by  the
          ERGS Project Officer.

In addition to assuming  the  responsibilities described  in  this  section,
the  ERGS   DPO  may   also  function  as  an  Ordering   Officer,   whose
responsibilities  are described below.

3.2  Ordering Officers

     Certain  individuals will  be  delegated  authority  to place  orders
against the ERGS  contracts and  will be named as Ordering Officers in the
administrative recitals of each ERGS contract.  Ordering  Officers  may be
any'  designated EPA  official,   including 'EPA  OSCs,  ERGS  DPOs,  and  EPA
Remedial Project Managers  (primarily  involved with oversight of  the  REM
and  FIT  contracts).   Other  designated  Federal  officials  (e.g.,  USCG
OSCs) must issue  Delivery Orders through the EPA Contracting Officer.

     The primary role  of the Ordering Officer is  to  initiate orders  for
ERGS  contractor   services   and  resources.    The  Ordering  Officer  is
responsible for preparing  the  Delivery Order, including  the  development
of the  Statement  of Work and the estimated project ceiling amount within
the action memo.   In the  event  that the Ordering Officer  is  not  the  OSC
who  has  been or  will  be  assigned  responsibility   for   directing  the
removal project,   the  Ordering  Officer should coordinate  the  preparation
of the  Delivery  Order with  the designated OSC.   In  most instances,  the
Ordering Officer  and OSC will be the same person.

     Once  the Delivery  Order has been  issued,  the  OSC  has management
responsibility for directing and monitoring the  activities performed by
                                 III-9

-------
                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
the ERCS  contractor  during  the removal action.  OSC  response  management
responsibilities include:

          Review  and  certification   of   contractor  progress   against
          technical  objectives,   budget   and  schedule   (e.g.,   review
          Contractor Cost  Report [EPA Form 1900-55])

          Documentation of  cost management and  related information  for
          each site

          Review   and   certification  of   invoices   submitted   by   the
          contractor for removal projects  (see Chapter V,  Section 2  for
          details on how to  do this)

          Evaluation of  the contractor's  performance at  the  completion
          of each Delivery Order and completion of  the award fee PER.

3.3  Regional Project Officer

     The  Regional   Project  Officer   has  overall   responsibility   for
managing  and  directing   all  activities   under  the   Regional   ERCS
contracts.   The   position   is  comparable   in  terms  of  duties   and
responsibilites  to  that  of  the   Headquarters  Zone  Project  Officer.
Specific duties include:

          General   oversight   of    contract    management,   operations,
          direction and coordination

          Together  with  the  Contracting  Officer,   assessment  of  the
          adequacy, amount and distribution of contract resources

          Review of  contractor monthly financial  and  technical  progress
          reports

          Evaluation of  contractor  performance for  the  Regional  award
          fee evaluation process.

                                111-10

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    The roles  and  responsibilities discussed  thus  far  have  focused on  the
functions    of   EPA   and   other   Federal   personnel.    The   management
responsibilities of the ERCS contractor are discussed in the next section.

4.  ERCS CONTRACTOR MANAGEMENT STRUCTURE

    The ERCS contractor  is  required to provide all personnel,  materials  and
equipment  as specified  in Delivery Orders to conduct  removal  projects.   The
contractor  will  provide  such  services  by  establishing  an  organization
consisting of a  Program  Manager and Response Managers.  The  Program Manager
works primarily  in  a  management mode by maintaining and supporting a network
of cleanup personnel,  equipment,  and materials  and by  supervising  Response
Managers.   Response Managers  manage and supervise cleanup  personnel  and  the
on-scene  use  of equipment  and  materials  to  ensure  that  responses  are
conducted   in  exact  accordance  with  the  instructions  of  OSCs  or  other
designated  Federal  officials.    The   functions  of  each  of   these   ERCS
contractor management positions are described in the following sections.

    4.1  Program Manager

        The contractor  must  designate  a Program Manager and provide support
    staff, facilities,  and  administrative  capabilities  as needed to ensure
    the  efficient  use  of  resources  for  removal  projects.   The  Program
    Manager  interacts  with the  EPA Project  Officer  and  ERCS  DPO,  and  is
    responsible  for   receiving   all   Delivery  Orders  and  managing  their
    implementation  under  the  ERCS  contract.   The  Program  Manager  also
    communicates with  the Contracting Officer to resolve  issues or  disputes
    relating  to  administration  of  the  contract  terms  or  a  particular
    Delivery  Order.   Other   management  responsibilities  of  the  Program
    Manage r i nc1ude:

              Maintaining close communication  and coordination  with  the  EPA
              Project  Officer,  ERCS  DPO  and  Contracting  Officer,  which
              includes   reporting   any   and  all  problems   encountered   in
              performing   Delivery  Orders   and  in   implementing   special
              controls specified by EPA

                                    III-ll

-------
                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
          Retaining and  managing  the distribution of  cleanup  personnel,
          equipment,  and  materials  so that  all  items are  available  at
          any location within acceptable  time limits

          Receiving and  implementing Delivery Orders  issued by  Ordering
          Officers

          Designating  a  Response  Manager  for   each  separate   cleanup
          action  to  work directly  with  the OSC  or  other  designated
          Federal official on scene

          Providing overall  supervisory  and administrative  support  to
          all Response Managers

          Developing  a  quality assurance project  plan  consistent  with
          EPA Region-specific  requirements for each  removal  project  in
          which environmental measurements will be made

          Providing  and  maintaining  a  24-hour  call  center • to  provide
          Ordering Officers with immediate access  to  cleanup services

          Developing  program health  and  safety  plans  to  protect  all
          cleanup personnel

          Submitting  monthly project  reports and  invoices,  as  well  as
          any  special  reports  requested  by  the  Project  Officer,  ERGS
          DPO, or OSC.

While  the   Program   Manager  provides   contractor   oversight   for   the
contract, the Response  Managers,  whose duties are described in  the  next
section,   are  the  contractor  representatives  responsible  for  managing
day-to-day  removal  project  activity  as  directed  by  OCSs   or  other
designated Federal officials.
                                :n-i2

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
4.2  Response Manager

     For  each  Delivery  Order  issued  to  the  contractor,  the  Program
Manager will designate a  Response  Manager.   The Response Manager will be
fully dedicated  to a  specific  cleanup action  for  the  duration of  the
response  and will  be  on  scene  on  a  daily  basis,  unless  instructed
otherwise  by the  OSC or  designated  Federal  official  in charge.   The
Response Manager will  be  responsible for the management and execution of
all  contractor  cleanup   activities  in   exact   accordance   with   the
specifications developed  in  the  SOW  and in  Work  Reports  (as issued).
Other major management responsibilities of the Response Manager include:

          Taking   direction,    maintaining   close   communication,   and
          coordinating with  the OSC  or  designated Federal  official  for
          the duration of a  specific response and reporting  any and  all
          problems encountered in executing cleanup activities

          Conducting  on-scene surveys  to assist  the  OSC  in developing
          detailed project work plans

          Providing   the   OSC  or   designated  Federal   official   with
          immediate on-scene  access  to all  contractor cleanup personnel,
          equipment and materials at a specific response

          Providing administrative support,  supervision,  and management
          of  cleanup  personnel,   equipment,  and  materials  provided on
          scene to ensure that all directives  issued by the OSC/Ordering
          Officer are immediately executed in an acceptable manner

          Providing a daily  accounting  of  costs incurred at a specific
          site in  the format specified  by  the  Contractor  Cost  Report
           (EPA Form 1900-55)

          Ensuring   that   performance  of   assigned   tasks  adheres   to
          procedures  specified in quality assurance plans
                                111-13

-------
                                                     OSWER  Directive  9242.2-01B
                                                                        (10/87)
              Implementing a  program  safety  plan  to  protect  all  cleanup
              personnel

              Preparing  contractor-initiated PERs on selected Delivery  Order
              assignments.
    This  chapter   has   described  the  management  structure   required   to
implement the  ERGS  contracts.   The  next  chapter  outlines  procedures  for
initiating and managing  contractor cleanup  services.
                                    111-14

-------
                                              OSWER Directive 9242.2-01B
                                                                 (10/87)
                            CHAPTER IV
PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES

-------
                                              OSWER Directive 9242.2-01B
                                                                 (10/87)
                            CHAPTER IV
PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES
                            KEY TOPICS
                                                                 Page

  ERGS Contractor  Selection                                      IV-2


  Initial  Screening                                              IV-5


  Selection Criteria  Definitions                                 IV-5


  Using  the Selection Criteria                                   IV-8


  Documentation of Contractor Selection Decisions                IV-26


  Zone Crossovers                                                IV-26


  Delivery Order Preparation and  Processing                     IV-27


  Oral Delivery Orders                                           IV-27


  Delivery Order Completion  and Processing Instructions          IV-29


  Delivery Order Modifications                                   IV-36
   Notice of Failure to Perform or to Make Progress               IV-36
   in Performance ("Cure Notice")
   Notices Regarding Work Stoppage ("Stop Work Orders")            IV-41


   Project Site Files                                             IV-44


                                IV-1

-------
                                                     OSWER Directive 9242.2-013
                                                                        (10/87)
                                   CHAPTER IV
       PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES
    The  performance  of response  cleanup services by  the ERGS  contractors  is
initiated  through  the issuance  of  written Delivery Orders  (DO)  by designated
EPA officials.   Delivery  Orders also  can be  issued  orally if  there  is  an
immediate  danger to  life  or significant property.  The  Delivery Order must be
consistent with  the   terms  and  conditions  of  the  contract  and  the  contract
Statement  of  Work  (SOW).   This  chapter  defines  procedures   for  processing
Delivery Orders  and   provides  guidance  on  Delivery Order content  and format.
The flow diagram shown in Exhibit IV-1  summarizes the  sequence  of Federal and
contractor  management  interactions  and documentation  required  to  initiate
contractor response services through the issuance of  a Delivery Order.

1.  ERGS CONTRACTOR SELECTION

    As described  in  Chapter  II,  the  ERCS contracting network consists  of two
groups of  contracts  (i.e.,  four ERCS zone  contracts  and  a  separate  group  of
ERCS Regional  contracts).   As  of the  printing date of  this  document,  only one
Regional contract (Region V) has been  awarded, but several others  are  expected
to be awarded  in the near future.  EPA's Procurement  and Contracts Management
Division (PCMD) is also  currently planning to develop  procedures  for  awarding
"site-specific" contracts  on a  limited  competition  basis.   This  will involve
prequalifying  a  number of  firms  technically, probably  on  a Regional  basis.
When the need  for  a  removal action develops for which initiation of action may
be delayed for approximately 4-9 months,  that  action  may be  competed among the
established cadre  of prequalified firms within the appropriate  Region.   When
the need for a removal action develops   for which  initiation of  action mav  be
delayed for longer than  nine months,  fully competitive site-specific contracts
will be awarded.   These  contracts will  not be limited  to a  specific  group  of
prequalified firms.  Details on these  site-specific contracts will be provided
                                      IV-2

-------
                                                     OSWER  Directive  9242.2-01B
                                                                        (10/87)
                              EXHIBIT IV-1

                 Initiation of Contractor Response Services
ORIGINATOR(S)
                                 RESPONSE
                              DOCUMENTATION
RECIPIENT(S)
    FEDERAL
   ORDERING
    OFFICER
 CONTRACTOR
  PROGRAM
  MANAGER
                                                                        RESPONSE
                                                                        MANAGER
  CONTRACTO
    PROGRAM
    MANAGER
   FEDERAL
  ORDERING
   OFFICER
                                                                         EPA
                                                                     CONTRACTING
                                                                        OFFICER
•AOR -  ACKNOWLEDGMENT OP RECEIPT
                                   IV-3

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
later when procedures  have  been finalized.   These procedures will  be  inserted
into this manual at that time.

    ERGS DPOs,  Ordering Officers, and  OSCs must  select  the most  appropriate
contractor  within  a   zone  for any  particular  removal.   Selection  officials
undoubtedly will base  contractor  selection  decisions on a combination  of  both
objective and  subjective criteria derived  from past  experience.   However,  if
decisions are made  solely  on an  ad  hoc basis,  relying strictly on  intuition
and "gut feelings," several problems  might arise, including:

         Violation  of  contract  specifications,  such as failure  to  comply  with
         the minimum or maximum  level-of-effort,  or small  and  minority-owned
         business contracting requirements

         Selection  of   a contractor  less  qualified to  perform a  particular
         removal project than another contractor

         Selection of a contractor whose particular  rates result  in costs  that
         are  not  justifiable,  thus  putting the  successful outcome  of  cost
         recovery proceedings in jeopardy

         Appearance-or actual occurrence of  personal conflict of  interest.*

This last  point is of particular importance  since  the  Superfund  program  is
heavily   scrutinized   by   Congress,    the   Inspector   General,    industry,
environmental  groups,   and  the  general   public.   All   Regional   contractor
selection  officials  should  be  familiar  with  EPA's  requirements  regarding
conflict of interest contained in Guidance on Ethics and Conflicts  of  Interest
(U.S.  EPA, February 1984)  and the Project Officers Handbook  (U.S. EPA,  Revised
April  1984).
    Personal conflict  of interest  exists  when an  EPA employee's  judgment  or
    actions in procurement  may  be improperly influenced or biased  in favor of
    a particular contractor for reasons such as ownership of  stock  or personal
    relationship to employees of the contractor.
                                      IV-4

-------
                                                     OSWER Directive  9242.2-0IB
                                                                        (10/87)
    For  these  reasons,   guidance  for  ERGS  contractor  selection  has  been
developed.   It  defines  a set  of  contractor selection criteria and  presents  a
step-by-step procedure to be followed  in applying them and  in  documenting the
entire process.

    1.1  Initial Screening

         There  are   two  factors   which  must  be  considered  first  in  any
    contractor selection decision.  These factors are:

              Response time  requirements
              Maximum  contractual   obligation   (capacity  as   specified  in
              contract).

    Their  function  is to screen  out  which contractors  should  be  eliminated
    from  further  consideration.  For  example,  any  contractor unable  to meet
    the  response  time requirements  of the  job  should not  be considered for
    selection.   Similarly,   any  contractor  expected  to exceed its  maximum
    contractual obligation  should not  be eligible  for  selection,   since  each
    ERGS contract  stipulates  that  the Government cannot  order work that will
    exceed  the  stated  maximum  dollar  ceiling  in  that   contract.    Thus,
    selection officials  must  always assess these two  factors  before applying
    the three selection criteria defined below.

    1.2  Selection Criteria Definitions

         After  the   initial   screen,   three  criteria   are   considered  most
    important for contractor selection.  They are:

              Company expertise/experience
              Location
              Equipment and labor rates.

    Each  of these criteria  is defined below.   Following each  definition is a
    list of factors  to  be used  by  selection  officials  in  assessing  how well
    the different contractors  satisfy  that particular criterion.

                                      IV-5

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)

     Company  expertise/experience - proficiency  in  conducting  hazardous
materials  removal  actions  gained  through  past  participation  in  such
projects, including:

          Knowledge of the  particular  cleanup methods/techniques  required
          for the project

          Technical competence and skill in conducting this type of cleanup

          Completion of  required activities on schedule and within budget
          in similar projects

          Accomplishment   of  cleanup  goals  and   objectives   in  similar
          projects

          Range  and depth of  experience/reputation in conducting  similar
          projects  (e.g., the  number of similar cleanups completed  by  the
          firm).

     Location - the  geographic  proximity  of   the  contractor  (and  the
contractor's resources)  to the job:

          Proximity of personnel, equipment, and materials  to  the project

          Mobilization/demobilization costs

          Familiarity with local problems.

     Equipment and  labor  rates  - the contractor's  cost for completing  the
job,  including:

          Unit prices  of  the  particular  equipment and material  required
          for the project

          Labor rates for required personnel
                                  IV-6

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
          Total estimated costs of the entire project.

     These three  primary criteria, as  presented here,  are  not  ranked  in
order  of  priority.   The relative  importance of  the  criteria will  vary
considerably  from  job  to  job,   depending  on  the  nature  and  specific
requirements of each.  It  is  therefore  necessary to order or  "weight"  the
criteria  on  a  case-by-case basis.   In this  way,  the  Regional  selection
official will  determine  the most  important  factor(s)  for each individual
removal action.

     Another  factor  which  must  also  be  considered  in  every  selection
decision  is  each  contractor's minimum  contractual  obligation.   Each ERGS
contract provides  that the  Government will order a stated minimum quantity
of  services,  and   that  the contractor  will  furnish  the  minimum and  any
additional quantities, not  to  exceed a stated maximum.   The  minimum amount
represents  the Government's  obligation,   and  must  be   paid   even  if  the
minimum  quantities are  never  ordered, unless  the  contract  is terminated
for convenience.  Therefore, Regional selection  officials  should  make sure
that  the  minimum  quantities  for  each  contract  are  ordered within  the
contract year period of performance.

     Other factors that should also be  considered  in  certain case-specific
situations include:

          Minority-owned  businesses -  giving  preference to  minority-owned
          businesses

          Rotation - sequential   use  of   contractors   that   are  equally
          qualified for any particular  job

          Mitigating  circumstances - giving  consideration  to extenuating
          factors  that cannot  be  included in  any of  the  above because  of
          the  unpredictable  nature  of the  requirements surrounding  the
          emergency response action.
                                  IV-7

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
These  factors  should  be  considered  in those  situations  where the  three
major  criteria  fail  to  provide  sufficient  differences between  or  among
contractors  or  where  there are  unique characteristics  or  circumstances
that affect how the three  major criteria are  considered.

1.3  Using the Selection Criteria

     This section provides guidance on how  to use the  contractor  selection
criteria.  Also  included  is a  sample evaluation form and  worksheet.   The
guidance is presented in the form of a six-step procedure.

     Step 1 — Assess the  relative  importance of each criterion in  terms
               of the job  at hand, and assign a weight  to  each

     Step 2 — Assess the ability of  each  contractor to meet  the  response
               time requirements of the job

     Step 3 — Assess  whether   or not  each  contractor  will  exceed  its
               maximum  contractual  obligation  as  a result of working  on
               the job

     Step 4 — Rate the contractors on each criterion

               "3" = Meets the  criterion fully;
               "2" = Meets the  criterion somewhat;
               "1" = Does  not satisfactorily  meet the criterion

     Step 5 — Develop  scores  for each contractor  by  multiplying  weights
               by ratings

     Step 6 — Develop  a   ranking of  contractors  based   on  total  scores
               derived for the  three major  criteria.  •

Each of these steps  is  described  in detail below.  An  evaluation  form for
rating  ERGS  contractors  is provided  in Exhibit IV-2.   This  form,  which
                                  IV-3

-------
                                                                     OSWER Directive 9242.2-01B
                                                                                             (10/87)


                                           EXHIBIT IV-2

                              ERGS Contractor Evaluation Form
                                                                                          Page 1 of 4

Site Name:	Location:	
Delivery Order No.:	
(Should be recorded following contractor selection for filing purposes)

                                      INSTRUCTIONS

1.       Review each criterion and assess its relative importance.

2.       Assign a weight of 1 to 100 to each criterion, indicating its importance in relation to the other criteria. The
        sum of all the weights for the criteria must be equal to 100.  Enter the weights on the worksheet under the
        column marked "VVT." Also, it is strongly urged that an explanation be provided in the adjacent space for
        why each weight was given.

3.       Assess each contractor's ability to meet the response time requirements of the job. Enter a "yes" or "no"
        as appropriate for each contractor in the space provided on the first page of the worksheet

4.       Assess whether or not each contractor  will exceed its maximum contracted obligation (as stated in its
        contract) by working on the job. Enter a "yes" or "no" as appropriate for each contractor in the space
        provided on the first page of the worksheet.

5.       Rate each contractor on each criterion using the following scale:

                       "3"     -       Meets the criterion fully
                       "2"     =       Meets the criterion somewhat
                       "1"     =       Does not satisfactorily meet the criterion.

        Enter the ratings for each contractor under the column labeled "RATING."  Also, please note in the space
        provided, any relevant comments concerning the rating given a particular contractor for the criterion.

6.       Score each contractor on each criterion by multiplying ratings by weights and enter the score in the column
        labeled "SCORE."

7.       Add the scores for all criteria to obtain totals for each contractor.  Enter the total score for each contractor in
        the row labeled "SCORE TOTALS."   Adjust total scores upwardly by 20 percent for all contractors
        whose minimum contractual obligations  have not yet been met and record these adjusted scores in the row
        labeled "ADJUSTED TOTALS."

8.       Rank the contractors according to their total scores and list them in descending order, beginning with the
        contractor with the highest score through the contractor with the lowest score, on page 4 of this form in the
        space  labeled "Rankings."

9.       Assess the scores and rankings, as well as any additional relevant factors pertaining to the contractor support
        required for the removal, and then name the contractor selected.*

10.     Provide a brief description, on page 4 of this form, summarizing the contractor selection decision. The
        selection offical must also sign and date the completed form on the bottom of page 4.
        Selection officials need not necessarily select the contractor with the highest score. Other factors may also
        be considered in making the final decision.  These factors, however, must be thoroughly explained in the
        space labeled "Brief Summary of Contractor Selection Decision."
                                            IV-9

-------
I
t"1
o
            PAGE 2 of 4
    EXHIBIT IV-2 (continued)

ERGS Contractor Evaluation Form

      Worksheet
CONTRACTORS
Can the contractor meet the response
time requirements for the job?
Will the Contractor exceed the maximum contracted
obligation on this Job?
EVALUATION CRITERIA
COMPANY EXPERTISE/EXPERIENCE
- knowledge of particular cleanup methods/
techniques needed for the job
- technical competence & skills in conducting
similar projects
- completion of required activities on schedule &
within budget on similar projects
- accomplishment of cleanup goals & objectives
on similar projects
- range & depth of experience/reputation
EQUIPMENT & LABOR RATES
- unit prices of equipment & material
- labor rates for required personnel
- total costs of the entire project

PAGE ONE SUBTOTALS
WT.













YESQ
YESQ
RATING

NOQ
NOD
SCORE


YESQ NOD
YESC
RATING

NOD
SCORE


YES n NO n
YESQ NOQ
RATING

SCORE


YES D NO D
YES D NO D
RATING SCORE

COMMENTS:























COMMENTS:




















-------
<
i
             PAGE 3 of 4
                                                    EXHIBIT IV-;    Dntinued)

                                               ERGS Contractor Evaluation Form

                                                            Worksheet
                                                                                 CONTRACTORS
               * These totals should be calculated only for contractors whose minimum contractual obligations have not been met

                 "ADJUSTED TOTALS" are determined by increasing "SCORE TOTALS " by 20 percent
EVALUATION CRITERIA
(Continued)
LOCATION
- proximity of personnel, equipment & materials
- mobilization/demobilization costs
- familiarity with local problems
PAGE ONE SUBTOTALS
SCORE TOTALS
ADJUSTED TOTALS *
mnr
WT.



100
100
A
RATING

SCORE

B
RATING

SCORE

C
RATING

SCORE

D
RATING 90CRE

COMMENTS:





















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                                                    OSWER Directive 9242.2-01B
                                                                       (10/87)

                           EXHIBIT IV-2 (continued)

                       ERGS Contractor Evaluation Form



                             SIGNATURE PAGE                 Page 4 of 4



Contractor Rankings                                              Scores
Name of Contractor Selected:
Summary of Contractor Selection Decision:
Signature and Title of Selection Official:


   	Date:




                                  IV-12

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
consists of instructions, worksheets,  and  a signature page,  is  to  be used
for  documenting  each  contractor  selection  decision.    Instructions  for
filling out the  form  are provided below and on  the  first page of the form
itself.  To  help  illustrate  how  the  evaluation  form  is  filled  out,  a
detailed  example  also   is  provided  in Exhibit  IV-3,  which follows  the
step-by-step descriptions.

Step 1 - Assess Criteria and Assign Weights

     The first step in  the  contractor selection process  is to assess each
criterion for  its  relative  importance to the particular job at hand.  This
is  done  by assigning a  weight  based on  a scale  of  1 to  100 for  each
criterion such that the  total of the  numbers  for  all the criteria is 100.
Selection  officials  should  use  their   best   professional   judgment  in
assigning  weights.   To  illustrate how  this  can  be  done,   the  following
example is provided.

     EXAMPLE:    An  emergency  hazardous  waste  spill   has   occurred  and
     preliminary information  reveals   that  the  spill  is complex in nature
     and  will  require  a firm  with  considerable  skill  and   expertise  to
     achieve successful cleanup.

     Based  on   this   information,   the  selection  official   assigns  the
     following weights to the three criteria:

               Criterion                     Weights
          Company expertise/experience          60
          Location                              25
          Equipment and  labor rates             15
               Total                           100
                                 IV-13

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                            EXHIBIT IV-3 (1)

           ERCS CONTRACTOR SELECTION:  AN ILLUSTRATED EXAMPLE
Description of Situation

    A  fertilizer  and  pesticide distribution  warehouse located  in an
industrial/residential area  of  Uptown, MY  has caught  fire,  resulting
in an  explosion and release of airborne contaminants.  The incident is
threatening  nearby  residents   with  air,  soil,  drinking  water,  and
surface water  contamination.   EPA has been notified  of  the  incident,
and an OSC has been assigned responsibility.

Response Requirements

    .In assessing the  situation, the  OSC determines that  the  explosion
has sent toxic  fumes  into the air, necessitating the relocation of all
nearby residents.   The OSC also determines  that  substantial amounts of
pesticides, chemicals, and  contaminated debris need  to be  removed and
disposed of as  quickly as possible.    The  incident requires  the  rapid
response services  of an  ERCS  contractor.   The  incident  also requires
that  the  contractor  be  experienced  and  skilled  in  sampling  and
analysis,   relocation  of   residents,   and  techniques  for  removing,
transporting,  and disposing of contaminated materials.

Contractor Selection

    In  selecting  a  contractor  to  respond to the  Uptown  Warehouse
incident,   the  OSC  obtains  a  blank  copy of the  "ERCS  Contractor
Evaluation Form" and  then completes  it  according  to  the  instructions
on  the first  page of  the  form.   The OSC  has four  contractors from
which  to  choose.    The  evaluation  form on the  following four  pages
illustrates how  the  OSC might go about  evaluating  these  contractors
and selecting the  most appropriate  one.
                                     IV-14

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                                                                   OSWER  Directive 9242.2-01B
                                                                                           (10/87)


                                          EXHIBIT IV-3


                              ERGS Contractor Evaluation Form
                                                                                        Page 1 of 4

Site Name:      Uptown Warehouse	Location:	Uptown. NY	

Delivery Order No.:     9999-08-009	
(Should be recorded following contractor selection for filing purposes)

                                      INSTRUCTIONS

1.      Review each criterion and assess its relative importance.

2.      Assign a weight of 1 to 100 to each criterion, indicating its importance in relation to the other criteria.  The
        sum of all the weights for the criteria must be equal to 100.  Enter the weights on the worksheet under the
        column marked "WT." Also, it is strongly urged that an explanation be provided in the adjacent space for
        why each weight was given.

3.      Assess each contractor's ability to meet the response time requirements of the job. Enter a "yes" or "no"
        as appropriate for each contractor in the space provided on the first page of the worksheet

4.      Assess  whether or not each contractor will exceed its maximum contracted obligation (as stated in its
        contract) by working on the job. Enter a "yes" or "no" as appropriate for each contractor in the space
        provided on the first page of the worksheet

5.      Rate each contractor on each criterion using the following scale:

                       "3"     =      Meets the criterion fully
                       "2"     =      Meets the criterion somewhat
                       "1"     =      Does not satisfactorily meet the criterion.

        Enter the ratings  for each contractor under the column labeled "RATING."  Also, please note in the space
        provided, any relevant comments concerning the rating given a particular contractor for the criterion.

6.      Score each contractor on each criterion by multiplying ratings by weights and enter the score in the column
        labeled "SCORE."

7.      Add the scores for all criteria to obtain totals for each contractor.  Enter the total score for each contractor in
        the row labeled  "SCORE TOTALS."  Adjust total scores upwardly by 20 percent for all contractors
        whose minimum contractual obligations have not yet been met and record these adjusted scores in the row
        labeled "ADJUSTED  TOTALS."

8.      Rank the contractors according to their total scores and list them in descending order, beginning with the
        contractor with the highest score through the contractor with the lowest score, on page 4 of this form in the
        space labeled "Rankings."

9.      Assess the scores and rankings, as well as any additional relevant factors pertaining to the contractor support
        required for the removal, and then name the contractor selected.*

10.     Provide a brief description, on page 4 of this form, summarizing the contractor selection decision.  The
        selection offical must also sign and date the completed form on the bottom of page 4.
        Selection officials need not necessarily select the contractor with the highest score.  Other factors may also
        be considered in making the final decision.  These factors, however, must be thoroughly explained in the
        space labeled "Brief Summary of Contractor Selection Decision."
                                                rv-15

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          PAGE 2 of 4
    EXHIBIT IV-3 (continued)

ERCS Contractor Evaluation Form

         Worksheet
CONTRACTORS
Can the contractor meet the response
time requirements for the job?
Will the Contractor exceed the maximum contracted
obligation on this job?
EVALUATION CRITERIA
COMPANY EXPERTISE/EXPERIENCE
- knowledge of particular cleanup methods/
techniques needed for the job
- technical competence & skills in conducting
similar projects
- completion of required activities on schedule &
within budget on similar projects
- accomplishment of cleanup goals & objectives
on similar projects
- range & depth of experience/reputation
EQUIPMENT & LABOR RATES
- unit prices of equipment & material
- labor rates for required personnel
- total costs of the entire project

PAGE ONE SUBTOTALS
WT.
50

25


75
A
YES0
YESQ
RATING
3
NOQ
N00
SCORE
150
B
YESE
YESC
RATING
2
NOQ
N00
SCORE
100
c
YES or
YES H
RATING

I NO D
] NOD
SCORE

D
YES D NO 0
YES 0 NO D
RATING SCORE

COMMENTS:
Weighting
This is an emergency situation that represents a serious threat to nearby residents.
Contractor expertise/experience is likely to be a very important factor in providing
an effective and rapid response to this incident. Therefore, a weighting of
"50" is warranted.
Rating:
Contractor "A" is known to have the requisite skills and knowledge to successfully
complete the job. It also has extensive experience in conducting similar types of
jobs, including the successful cleanup of an expbsion at a chemical plant in Ohio.
Contractor "B" also has the requisite skills and knowledge to do a successful job,
but does not have any experience with similar jobs.
1
25
3
75



COMMENTS:
Weighting:
Given the technical complexity and seriousness of this situation, cost is a
secondary factor in this case. Therefore, a weighting of "25" is warranted.
Rating:
Contractor "A" rates are about 20% higher than those of Contractor "B," and
will result in a significantly higher total cost. Contractor "B" rates will result in
total project costs lower than those estimated by EPA.



175


175




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-4
           PAGE 3 of 4
                                               EXHIBIT IV-c   jntinued)
                                           ERCS Contractor Evaluation Form

                                                          Worksheet
                                                                              CONTRACTORS
EVALUATION CRITERIA
(Continued)
LOCATION
- proximity of personnel, equipment & materials
- mobilization/demobilization costs
- familiarity with local problems


PAGE ONE SUBTOTALS
SCORE TOTALS
ADJUSTED TOTALS*
WT.
25



75
100
100
A
RATING
1
SCORE
25
COMMENTS:
Weighting:
B
RATING SCORE
3 75
C
RATING

SCORE

D
RATING SCORE


Location is a secondary factor in this situation and, therefore, is given a
"25" weighting.
Rating:
Contractor "A" is located over 500 miles away, while contractor "B" is less than
50 miles away. Contractor "A" costs will be higher as a result, and Contractor "B"
costs will be lower
•
175
200
200
175
250
300







               These totals should be calculated only for contractors whose minimum contractual obligations have not been met
               "ADJUSTED TOTALS" are determined by Increasing "SCORE TOTALS " by 20 percent
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                                                     OSWER  Directive 9242.2-01B
                                                                         (10/87)
                           EXHIBIT IV-3 (continued)
                       ERGS Contractor Evaluation Form
                              SIGNATURE PAGE
                                                                 Paoa4of 4
Contractor Rankings
                            Scores
    Contractor "A"
    Contractor "B"
                             200
                             300
Name of Contractor Selected:
Contractor "B"
Summary of Contractor Selection Decision:
    Contractor "B" scored substantially higher than Contractor "A" on the three
    criteria and has not yet met its minimum contractual obligation.  On this basis,
    Contractor "B" is the most appropriate choice for the job.
Signature and Title of Selection Official:
                                                 Date:
                                IV-18

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     A  weight  of  "60"   is  given  to  company  expertise/experience
     because it is considered  by the  selection official to  be  the
     most important criterion  for this  project due to  the  complex
     nature  of the project.   The contractor  selected  for the  job
     must be  extremely  knowledgeable, proficient,  and  experienced
     in conducting this  type  of  cleanup job.  The remaining  two
     criteria  are  not  considered  to  be  as  important  and  are,
     therefore, given lower weights.

The  weights  provided  in  this  example  are,  of course,   only
illustrative  of  how  selection  officials  might assess the  three
selection criteria  for  this  project.   Other  weights  could  have
been given.   The  intent  here  is simply to offer  general  guidance
on how one might go about assigning weights to  the  three  selection
criteria.

     Another example  is  provided  below  to illustrate  a  different
set of weights for a  different situation.

     EXAMPLE:  An Expedited Response Action (ERA)  has  been planned
     as part of a  remedial site cleanup.  The types and quantities
     of services,  personnel,  and other  resources   required  by  the
     removal action are  relatively minimal.   The  job is considered
     simple  and straightforward and does  not  require  any  special
     expertise or skills.
                                 IV-19

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     Based on this information,  the selection official  assigns  the
     following weights to the three criteria:

               Criterion                     Weights

          Company expertise/experience          15
          Location                              35
          Equipment and labor rates             50
               Total                           100

     In evaluating these criteria, the selection  official  assesses
     the  requirements  of the removal  project and  determines  that
     because the project will not require any special  expertise  or
     skills,    company    expertise/experience     is    relatively
     unimportant;  therefore,  it  is assigned  a  weight  of  15.  The
     selection  official  then decides   that  since  the  technical
     requirements of  the  project are minimal,  the  most  important
     criteria  should' be  equipment   and labor   rates  ("50")  and
     location  ("35").   The  selection  official  assumes that  most
     contractors will  be about  equal  in meeting  the  requirements
     of the project  and,  therefore,  believes  that  it  is  important
     to base  the  contractor selection  decision  mostly on  "cost"
     and "location."

     The worksheet portion of the ERCS  Contractor  Evaluation  Form
(pages 2  &  3  of the form) shown  in Exhibit  IV-2  should be  used for
recording assigned weights;  they should  be  placed  directly  across
from each criterion under the column  headed  "WT."

Step 2 - Assess Response Time Capabilities of  Contractors

     The  second step  in the  contractor selection process  is  to
determine whether  or  not  each contractor can satisfy  the  response
time  requirements  of  the job.   That is,  can  personnel, equipment,
                                 IV-20

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
and  materials  be  mobilized  on  time?   Any  contractor  unable  to
respond in  the  required  time  should  be  eliminated from  further
consideration.

     Determination  of a  contractor's ability  to  respond in  the
required time can be based upon:

          The  response   time  requirements   identified   in   the
          contractor's contract

          A  verbal   statement  from  the   contractor   indicating
          whether or not response time requirements can be met.

Selection officials should use their own best  judgment  in deciding
which   of   these   two  sources  to  use.    In   certain   emergency
situations, where immediate response is required,  there  may not be
enough  time  to  call  contractors.   In  these  cases,   it  may  be
necessary   to  rely   exclusively  on  the   response  time  limits
specified  in the  contracts.   On other occasions, where time is not
as critical, phone calls may be possible.

     After a determination is made of  each  contractor's  ability to
respond, the  answers should  be recorded on the worksheet portion
of the  ERGS Contractor Evaluation  Form  (page  2  of the  form).   A
"yes"  or   "no"  response  should be  indicated  for  each  contractor
under consideration.   In  doing  so,  each contractor's name should
be written at the top of the worksheet in the space provided.

Step  3  -  Assess Contractor  Status Regarding  Maximum  Contractual
Obligations

     The third step  in the process  is to  assess each contractor's
maximum contractual  obligation  in  relation to  the  estimated cost
of  the  job at hand.   That  is,  will  the  contractor   exceed  its
maximum contractual  obligation as  a result  of being selected for
                                 IV-21

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
the job?  Any contractor  whose  maximum contractual  obligation will
be exceeded should be eliminated from further consideration.

     Answers should be recorded  on the first page of  the  worksheet
portion of  the  ERGS  Contractor  Evaluation Form.  A  "yes" or "no"
response   should  be  indicated   for   each   contractor   under
consideration.

Step 4 - Rate Each Contractor

     After establishing which contractors  will  be able to meet the
response time requirements of  the job  and which contractors  will
not   exceed   their  maximum  contractual   obligations,   selection
officials should  rate these contractors  on  each criterion.   The
ratings  should  range  from 1 to  3,  where  "1"  indicates  that  the
contractor  does   not  satisfactorily   meet  the  criterion;   "2"
indicates  that  the  contractor  meets  the  criterion  somewhat;  and
"3" indicates that the contractor meets-the criterion fully.   All
the  factors  listed   under  each  criterion  should  be  considered.
Selection  officials   should  base  their ratings  on  any  relevant
information  to  which  they have  access as  well as  on  their  own
personal  knowledge  of  the  contractor's   expertise,  experience,
capabilities, and  so  forth.   They should develop as much objective
information  and  documentation  as  possible  on  each  contractor
before  assigning  ratings.   This  will  help to  ensure a  fair  and
unbiased assessment.

     The worksheet portion of the  ERCS Contractor Selection Form
(Exhibit  IV-2)   should  be  used  to  record  assigned  contractor
ratings.  Ratings  for each  contractor should  be placed  directly
under the column "RATING."
                                 IV-22

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
Step 5 - Develop Contractor Scores

     Each contractor is then scored on each criterion.   Scores  are
obtained  by  multiplying the  weight by  the  rating.  Total  scores
are calculated by adding all the  individual criterion  scores.   The
following example is illustrative.

     EXAMPLE:    Suppose  that the following weights  and  ratings  are
     determined:
     Contractor "A"
          Criteria                    OT    Rating   Score
     Company expertise/experience     60       3      180
     Location                         25       1       25
     Equipment and labor rates        15       2       30
          Total                      100              235
     Individual  criterion  scores are  obtained by  multiplying the
     weight by  the  rating.   A  score  of  "180"  is obtained  on the
     first criterion  by  multiplying the weight of 60 by the rating
     of 3.  Similarly,  a score of  "25"  is  obtained on  the  second
     criterion  by  multiplying  the weight of 25 by  the  rating of 1
     and so on.   The total  score of  "235"  is obtained  by  adding
     the individual criterion scores.

     In  those  cases  where  a  contractor has  not yet  reached its
minimum  contractual  obligation,  that  contractor's  total   score
should  be  adjusted  upward by  20 percent.   This  adjustment  gives
preference  to  contractors  whose minimum contractual  obligations
have not yet  been met.   For example,  Contractor  "A's"  total  score
of 235 would  be adiusted to 232  (235  x .20  = 47; 47 -t-  235  = 282)
if its minimum  contractual ooligation had not yet been met.

     Scores  should  be  recorded  on the  worksheet   portion  of the
ERCS Contractor Evaluation Form  under  the columns headed  "SCORE."
Scores should be  recorded  for each criterion and each contractor.
                                 IV-23

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)

Total  scores  should  be  recorded  at the  bottom of  the  worksheet
across the  row  labeled "SCORE TOTALS."   Adjusted scores  should be
recorded across from "ADJUSTED TOTALS."

Step  6 - Develop  Rankings  of Contractors  and Make  the  Selection
Decision

     Based  on  the  scores  obtained  in  Step  5,   the  selection
official  should rank  the contractors from  highest to  lowest.   A
space  for  ranking  the  contractors,  along  with  their scores,  is
provided  for  on  page  4,  the  "signature  page,"  of  the  ERGS
contractor evaluation form.  This ranking will  reflect an ordering
based  on  a  rational  assessment  of  those  criteria  considered
important in the contractor selection process.

     The intent of  the  ranking,  of course,  is  to assist  selection
officials in  their job  of choosing which ERGS  contractor  to use.
It is  not meant to be a  substitute  for  individual   experience  and
judgment, but   rather  as a decision-making  tool to  quantify that
judgment so that decisions will be fully supportable.

     Selection  officials  should not  consider  themselves bound  by
the  final  ranking  of  contractors.   Scores   represent  only  one
aspect of  the   contractor  selection decision.   Additional  factors
may  also be  present,  such  as  those  mentioned in  the  previous
section.   It  is the  responsibility of  the  selection official  to
assess the  importance of  these  other factors  in  relation  to  the
final  ranking   of  contractors  before making   the  decision.   All
final contractor selection decisions  must  be explained on the last
page of the  form in the space labeled "Brief Summary of  Contractor
Selection Decision."

     Additional factors  will  also be extremely  important  in those
cases  where  all the  contractors  receive the  same  score.   In  the
event  of a  tie score,  selection  officials  should  assess  factors
                                 IV-24

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                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
peculiar  to  the  situation  which  might   favor  the  use  of  one
contractor over another:

          If,  after  assessment  of  these  factors,  no  contractor
          seems to be more  appropriate  than any other for the job,
          then the selection official should select  the  contractor
          that  has used  the  smallest  percentage of its  maximum
          contractual obligation.  For  example,  if  Contractor  "A"
          has used only  10  percent of its  maximum while  Contractor
          "B" has  used 20  percent,  then Contractor  "A"   should be
          selected.

          In cases where all  contractors  are equal on this factor,
          the  selection  official  should   determine  which  of  the
          contractors  under   consideration  are   minority  owned.
          Generally,   the   selection  official  will  know  which
          contractors are  minority  owned;  if  not,   however,  this
          determination  can   be   made   by  contacting   the   ERCS
         • Contracting Officer  (CO).

          If only one  of these contractors  is  minority  owned,  the
          selection official should  select  this  contractor for the
          job.

          If  more  than  one  are  minority owned,   the  selection
          official should select  the minority-owned  contractor not
          used most recently.

          Finally, if  the   selection official  determines that none
          of  the  contractors   under  consideration  is  minority
          owned,   the   selection   official   should  select   the
          contractor not used most recently.
                                 IV-25

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
1.4  Documentation of Contractor Selection Decisions

     All  contractor  selection  decisions  are  to  be documented  as
described  above  by  using  an  ERGS  Contractor   Evaluation  Form
(Exhibit IV-2).   Completion  of this form is  required  to  establish
and  maintain  a  written  record  of  the  justification   for  all
contractor  selection  decisions.   The original  version  of  each
completed evaluation  form should  be  submitted to  the ERCS  CO  in
the Procurement  and Contracts Management Division  (PCMD).   A copy
of the  form  should be  kept  along with  other information  for  the
Delivery Order in Regional files.

1.5  Zone Crossovers

     As described  in Chapter  II.  an  ERCS  zone  contractor  may  be
requested  to support   Federal  OSCs  in  a  zone   other  than  the
contractor's assigned geographical  zone.   If  the  need arises for a
zone crossover,  the ERCS DPO (from the zone initiating the request
for services) should  supply  the Project Officer with the  following
information:

          Reason  for   the   zone  crossover  (e.g.,   conflict   of
          interest, contractor resource shortage)

          A description of services required

          The location and period for which services are required

          The project ceiling amount

          Date and time contractor 13 required on  site.

The Project  Officer  will be responsible  for  coordinating  the zone
crossover  with   the  ERCS  DPO(s)  and  Contracting  Officer.   All
contractual  requirements  and  arrangements  concerning  the  zone
                                 IV-26

-------
                                                    OSWER  Directive  9242.2-01B
                                                                        (10/87)
    crossover  (e.g.   terms   and  conditions,   prices,   etc.)   will   be
    finalized by  the Contracting  Officer.   The  Contracting  Officer
    also will be  responsible for  issuing the Delivery Order.   If  the
    required services cannot  be provided  by  another zone  contractor,
    the Project Officer  will work with  the ERGS DPO in obtaining  the
    services from  some other contractor.

2.  DELIVERY ORDER PREPARATION AND PROCESSING

    All Delivery  Orders  will  be  issued  by  Ordering  Officers  (e.g.,
ERGS DPOs,  EPA  OSCs, or  Contracting Officers)  for  individual removal
actions.   These   Delivery  Orders  will  be  issued  on  a  fixed  rate,
indefinite quantity basis,  with time  and material provisions.

    This   section  on  Delivery   Order   preparation   and   processing
describes procedures which include:

         Oral Delivery Orders
         Delivery Order  completion and processing instructions.

The procedures  described in  this  section  are  applicable  to  both  the
ERGS Zone contracts and the separate  ERGS Regional contracts.

    2.1  Oral Delivery Orders

         As  indicated in the  introduction to  this  chapter,  Delivery
    Orders  can  be  issued  orally  to  the  ERGS  contractors.   This
    flexibility is designed to  enhance response  capabilities  under  the
    ERGS  contract network.   However, any oral order must  be  confirmed
    by a written Delivery Order within 48 hours.

         When  the  ERGS  contractor  is  contacted  by  telephone  for
    purposes  of orally  issuing a Delivery  Order,  the  Ordering Officer
    should simultaneously complete a Delivery Order  form noting:
                                     IV-27

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
          Date  and  time  of  the  order  (all   references  to  time
          specified in the Delivery Order should  reflect  the  local
          time of the location where services are to be provided)

          Contractor  representative  contacted  (this  should  be  a
          person   authorized   to   commit  the   contractor)    and
          telephone number

          Response Manager or contractor  representative  authorized
          to take  direction from  the  OSC at  the  site and  his/her
          telephone number

          Response location

          Date and time the contractor is required on site

          Date and time contractor agrees to be  on site

          Brief   narrative   of   the   services  required   (e.g.,
          personnel,  equipment,  and   materials)   and   level   of
          protection (e.g.,  health and safety)  required.

Some of  these items  can  be completed  before  the call  is made to
the contractor.  For  example,  the  response  location or  the  level
of safety protection  required may be  known ahead of time and  could
be completed in advance.

     By completing  the Delivery  Order  form  during  (or for  some
items  directly before)  the discussion with the contractor,  the
Ordering Officer will:

          Provide  the  contractor  clear  direction of  the  services
          needed
                                 IV-28

-------
                                                 OSWER Directive  9242.2-01B
                                                                    (10/87)
          Document personnel,  equipment,  and materials  expected  on
          site

          Establish   the   OSC-Response   Manager   site-management
          relationship

          Facilitate  completion  of  the  written  Delivery  Order
          issued to the contractor at the site.

The . information  recorded  during  issuance  of   the oral  Delivery
Order will be important should there be any  dispute concerning the
contractor's ability  to provide  the  services  within  the  required
response times  (see section  3.1 on Liability,  in Chapter  II).   It
also is strongly  suggested  that the Ordering Officer  read  back  to
the contractor all the information provided over the phone.

2.2  Delivery Order Completion and Processing Instructions

     In order  to initiate  services  to  be  performed  by the  ERGS
contractor  when conducting  removals  involving  oil and hazardous
substances, Ordering Officers must prepare  written  Delivery Orders
consisting  of the  elements  shown  in  Exhibit  IV-4.   The  Delivery
Order  specifies  the   services  to  be  performed  by  the   ERGS
contractor  in  executing a specific  removal  action.  Each  Delivery
Order  establishes  a ceiling  amount  that  constitutes   the  maximum
amount for  which the  Government  shall  be  liable.   The completion
and processing of Delivery Orders is outlined below.

     Delivery Order Completion Instructions

          Delivery Order preparation  is  the responsibility  of the
     Federal  Ordering  Officer.   A standard  format  is  used  for the
     Delivery Order (see Exhibit IV-5).  All items  in  the  Delivery
     Order must be completed as explained below.
                                 IV-29

-------
                                     OSWER Directive 9242.2-01B
                                                       (10/87)
                 EXHIBIT IV-4

    ERGS Contracts Delivery Order E:sments
     OELJVERY ORDER
       STANDARD
     SPECIFICATIONS
   (E.G.. ACCOUNTING
     DATA, RESPONSE
TIME REQUIREMENTS. ETC.)
         DELIVERY  ORDER
          STATEMENT  OF
              WORK
              DELIVERY ORDER
              CEILING AMOUNT
                     SITI-SP6C1FIC
                   HEALTH ft SAFETY
                  AND INSTITUTIONAL
                    REQUIREMENTS
                        OELJVERY ORDER
                      TERMS ft CONDITIONS
                     IV-30

-------
EXHIBIT IV-5
                       OSWER Directive  9242.2-01B
                                          (10/87)
OEUVERY ORDER TOR EMERGENCY RESPONSE CLEANUP SERVICES
I • 3ATI Of OKOUI 	 2- COWTKACT NO. J ««»•* -^
* riM« OP MirtAi. onoei 	 » oeuvutr o»t* OJUNG AMOUNT

Oe^.r^ ,«mou«f-
-t _.. «. ACOXINT** ANO A^^^WIATON OATA Ofl^Cf
^j ^rw
.^«_^^ ^^* *"*
|
7b. mOOIWiM MAftVSW JVjm*
;e. MSKMM MANACW /M«M «« ««- *»>
9 SCS^OMM LOCATON ^&M ***• •**•! *Mn»» ti* I* €<*•»
12. STATIMiNT 0* WOUH TTt* Ca#m
-------
                                  OSWER Directive 9242.2-01B
                                                     (10/87)
Date of Order  (Box  1):   Enter the date  of issuance  of  the
Delivery Order to the contractor.

Contract  Mo.   (Box  2);    Enter  the  contract  number  (e.g.,
68-01-xxxx) of  the  ERGS  contract  under  which  services  are
being ordered.

Order No.  (Box 3):   Enter  a nine (9) digit  Delivery Order
number which sequentially consists of:

     Last  four  digits of  the contract  number  (See  box  2
     above)

     EPA Region (e.g., 01, 02,.  .  .10)

     Three  digit  number  representing  the  sequence  of  the
     Delivery Order  being issued  in  the Region  or Agency.
     (A  separate  block  of  numbers   will  be  assigned  to
     non-EPA users of the ERGS contracts  [e.g.,  USCG]).

Time of Initial Order (Box  4):   Enter the  time  of issuance
of  the  Delivery  Order.   All  references  to  time  on  the
Delivery Order  should reflect the  local time  at  the  site
where the services are to be provided.

Delivery  Order Ceiling  Amount   (Box  5):   Enter  the  total
estimated  cost  of   contractor   personnel,   equipment   and
materials  for which  the  order is being placed.   The ceiling
amount  represents  the amount obligated  by  the  Government
for  the   removal  action.    The   OSC's/Ordering  Officer's
authority   to   obligate   the  Government   is   limited   to
$250,000.    All  initial  Delivery Orders  or  Delivery Order
modifications for amounts greater than the  initial 3250,000
must  be obligated  by the  Contracting  Officer.    Under  no
circumstances  may the   ERGS  contractor  develop  the  cost
                  IV-32

-------
                                  OSWER Directive 9242.2-01B
                                                     (10/87)
estimate used here.   This is the sole  responsibility  of  the
Federal  Ordering   Officer  who  may,  however,   seek  the
assistance   of   the   Technical   Assistance   Team   (TAT)
contractor  or  the  Environmental  Response  Team  (ERT)   in
developing the estimate.   Each Regional Administrator also
can choose  to redelegate  his  or her  authority to obligate
funds   for   removal  actions   to   the  Regional   Division
Director, who  may  then  redelegate  this authority to OSCs.
(OSCs may exercise  this  authority  only for  obligations  not
to   exceed   350,000   for.  initiating   removal  actions.)
However,   this   is   at   the   Regional   Administrator's
discretion;   it is  not  a reguirement and, therefore, may not
be true in every Region.

Accounting and Appropriation  Data  (Box 6):   Accounting  and
appropriation data  consist of  four numbers, which should be
entered as follows:

     Appropriation  4:  68-20X8145 (does not change).

     Account  #  and Document  Control  a=  (DON):   Represented
     by   ten   (10)   and   six   (6)   character   numbers
     respectively.  These  numbers  will be  obtained through
     the Regional Financial Management Officer  (FMO).

     Object   Class  Code:   25.35   (for  all   EPA  program
     contracts; does not change).

Issued To:  Contractor  (Box 7a):  Self-explanatory.

Program  Manager  (Box  7b):   Enter the  name  and phone   number
of  the contractor  representative  authorized to receive the
Delivery Order and  commit  contract  resources to provide the
services  and supplies  required to complete  the Statement of
Work.
                  IV-33

-------
                                  OSWER Directive 9242.2-01B
                                                     (10/87)

Response Manager  (Box  7c):   Enter the name and phone number
of the  contractor  representative  designated by  the  Program
Manager  as  the   single   point  of  contact  for  on-scene
coordination and  responsible for  management and  execution
of  cleanup  activities as  specified  by  the  OSC or  other
designated Federal officials.

Issued By:   Ordering Officer (Box 8a):  Self-explanatory.

EPA Region/USCG  District  (Box  8b):   Enter  the number  for
the EPA Region and USCG District (as appropriate).

Zone (Box  3c):   Enter  the number of the zone where the site
is located:

     Zone 1 - Regions I-III
     Zone 2 - Region IV
     Zone 3 - Region V
     Zone 4 - Regions VI-X.

On-scene Coordinator (Box  8d):   Self-explanatory.

Response  Location  (Box  9):   Enter  the   location  of  the
release or  site  where  services  are  to  be  performed by  the
contractor.

Contractor  Required  on Site  (Box  10):  Enter  the  date  and
time  contractor   personnel,  equipment,  and  materials  are
required on site  to implement the removal  action.

Required   Work   Completion  Date   (Box  11):    Enter  the
anticipated  date  by  which  contractor  services  are   to  be
completed.    Estimates  are  acceptable  and  dates  may  be
revised  through   modifications  issued  by  the  Contracting
Officer.
                  IV-34

-------
                                            OSWER Directive 9242.2-01B
                                                               (10/87)
          Statement  of  Work  (Box  12):    This  block  contains  the
          description  of  the  services to  be  performed  by  the ERGS
          contractor.  The Statement  of Work should not be  so  narrow
          as  to  restrict  the  contractor's  effort nor so  broad as to
          permit  the  contractor  to  explore   areas   having  little
          relationship to  the desired work.  The  block  should either
          contain, or refer to attachments that contain:

               Statement  of   Work,   including  a  task  breakdown  and
               schedule

               Site-specific  institutional  requirements  or clearances
               that must be obtained  by the  contractor (e.g., permits
               for   transportation   and    disposal    of   wastes   or
               right-of-way clearances)

               Any  plans,  including  a site  operations plan,  health
               and  safety  plan,  or a quality assurance plan developed
               for  the specific removal.

          Ordering  Officer (Box 13):  Self-explanatory.

Delivery Order Processing

     The completed  Delivery  Order "is  signed by  the  Ordering Officer
and  issued  to  the contractor  Program  Manager  or  designee   (i.e.,
on-site Response Manager).  The contractor  is  required to acknowledge
receipt of  the Delivery Order in  writing within one week or one half
of  the time  specified for  performance  of the  order, whichever is
less,  following  receipt.   The  acknowledgment  of   receipt  of  the
Delivery Order must be submitted to the Ordering  Officer,  with a copy
'forwarded to  the Contracting Officer.
                            IV-35

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
              It is  the  Ordering Officer's  responsibility to  make  sure  that
         the  contractor   submits  an  acknowledgment  of  receipt  each  time  a
         Delivery Order  is  issued.   The  acknowledgment of  receipt  will  help
         preclude misunderstandings  between  the Ordering Officer and the  ERGS
         contractor over  the  terms  and conditions of  the  Delivery Order.   It
         will  also serve  as documented  evidence  when potential  contractual
         actions,  such  as  Cure  Notices  (see  Section 3.1  on  liability  in
         Chapter II),  are required to enforce the terms of  a work order.

3.  DELIVERY ORDER MODIFICATIONS

    During  the  course of a  removal,   it  may become  necessary to modify  the
Statement  of Work,  completion  date,   or  ceiling  amount  specified  in  the
Delivery Order.  All such changes  must be authorized in a  written amendment to
the  Delivery Order  using  Standard  Form 30  (Exhibit  IV-6).   If  increased
funding  is  required  for  a   project,  the existing  Delivery  Order  should  be
amended; a new Delivery Order should not be issued.

    Requests for amendments should  be  prepared by the Ordering Officer  or  the
OSC  and forwarded  to  the Contracting Officer for  approval.   In most  cases,
requests and  approvals can be  handled over  the  telephone.   The  Contracting
Officer will  prepare  and sign  the  amendment  and issue it  to  the  contractor.
Minor changes, such as adjustments  in  quantities of labor  and  equipment  which
will not  result in an increase to  the Delivery Order ceiling  can  be  provided
directly to the contractor by the  OSC.   Such  changes, however,  should be  noted
in the  written  site  documentation kept by the  OSC,  and should be forwarded in
writing to the contractor and the  Contracting Officer.

4.  NOTICE  OF FAILURE  TO PERFORM  OR  TO  MAKE PROGRESS  IN PERFORMANCE  ("CURE
    NOTICE")

    In  the  event the  contractor does not arrive within the required time frame
or does not  perform assigned tasks satisfactorily,  the OSC/Ordering  Officer
should  immediately notify the  Contracting Officer.   After being apprised of
all the pertinent  facts,  the  Contracting Officer  may  advise  the  OSC/Ordering
                                     IV-36

-------
                                                                         OSWER Directive  9242.2-01B
                                                                                                    (10/87)
    AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
J. AMENOMENT/MOOIF ICATlON NO.
                                        i 3. EFFECTIVE DATE
                                                                                     aea. NO.    i  "»OJECT NO. nf
«. ISSUED BV
                                  CODE
                                                             7 ADMINISTERED 3V ilfatntr than 1 tim SI
                                                                                                    CCO£
f. NAME ANO ADDRESS OF CONTRACTOR (,Vo., IO-MC. county. Stmu »n4 Zlf Coo* I
CODE
                                        FACILITY CODE
                                                                                    9A. AMENDMENT OF SOLICITATION NO.
                                                                                    98. OATEO ISCS ITS!* II)
                                                                                    JOA. MODIFICATION OF CONTBACT/OBOEI
                                                                                        NO.
                                                                                    IDS. OATEO iSSt ITEM 13)
cr
                            11  THIS ITEM ONLY APPLIES TO AMENOMENTS.QF SOLICITATIONS

                                                                        cif *d for receiot of Qrferi
                                                       a,.,
    The above numbered tolicitition it amended aa *at form in itwn 14. The hour and 3ate i
tended.
Offerj must acknowledge receiot of mis amendment orior to me rvour and date loecified m me Mliciation or at amended, by one of the following metnodt:
(al By comoleting Item* 8 and IS. and returning       roa^m of me amendment: Ibl By acknowledging receipt of mis amendment on *ecn coov of me off*
submitted: or Id 8y Marate letter or tetegram y»nlcn include* a reference to me lOKitanon and amendment numoeri. FAILURE OF YOUR ACKNOWLEOG
MENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR ANO DATE SPECIFIED MAY RESULT
IN REJECTION OF YOUR OFFER  If Ov virtue of mn amendment you aenre to change an offer already lubmitted. lucfi cnanoj mey be made by telegram o
letter, provided eecn telegram or letter make* reference) to me solicitation and tnn amendment, and ii received orior to me owning nour and date icecified.
12. ACCOUNTING AND APPROPRIATION DATA (If rf^un^f
                       13. THIS ITEM APPLIES ONLY TO MOOlF-lCATlONS OF CONTRACTS/ORDERS.
                          IT MOOlFlESTHE CONTRACT/ORDER NO AS DESCRIBED IN ITEM 14
    A. TMIJ cHANfiro*oeA is issoeo PURSUANT To-. iSnctfr
       TRACT OMOCM NO. IN ITEM 10A.
                                                               THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CON-
    a. THC ASOVC NuM«e»eo CONTHACT/O«OI» is MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES
                    . tie.) SET FORTH IN ITEM 14. PURSUANT TO THE AUTHORITY OF FAR 4J.10J(OI.
    C. THIS SUP*(.CMENTAC AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
                    r»p» of m
                                    
E. IMPORTANT:  Contractor  1_J  is not.  L_I is required to
sign this document and return
                                                                                          copies to the issuing office.
l«. DESCRIPTION OF AMENDMENT/MODIFICATION
                                                       L'Cf »trloa H*f*iittt. iittHttuu loitttlunoft/eamrmet tuVtel m*ttwr i»A«r«
Excwi ll oroviaea n*r«m. «n irrmi  ine document r«f«r*ncea in u«tn 4A or 10A, it n*r*to'ar« cnineea, r«m»m« uncn«n4«d >na in full 'ore*
ina
ISA. NAME ANO TITuC OF SlONCR (Tr*t or *rlntt
ISfl. CONTRACTQR/OFFEROR
iSittmttm of Mrtan t*t»oru*4 to ii&il
I3C DATE SIGNED
ItA. NAME ANO TITLE OF CONTRACTING OFFICER (Tygf or onntl
14S. UNITED STATES OF AMERICA
RY
'Si^iururt of Conrmetint Of Heir >
14COAT6 SlGNEt
NSN
PREVIOUS EDITION UNUSABLE
    30-105
                                      STANDARD fORM 30 (REV.
                                      P'«Krie*o ay ISA
                                      FAR (4BCFR) SJ.J4J
                                                     IV-37

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)

Officer  to  issue  a  "Notice  of  Failure  to  Perform or  to  Make  Progress  in
Performance" to  the  contractor  (See Ex-iibit IV-7).  This  notice  is  also known
as a  "cure  notice."*  It must be  issued  on the form  letter provided  by PCMD
and  no  deviations   from that  format  are   permitted.   All  applicable  times
(notification,   response  requirements,  etc.)  must  be  documented  accurately.
When   the   Ordering  Officer   issues   a   "cure   notice,"  he  or   she   must
simultaneously notify the contractor of its  issuance.

    It  is  very  important  for  the  OSC to  recognize  that  use of  the  "cure
notice"  should  not  be limited  to  just  those situations  where  the  contractor
fails to show up  or  is  late in showing up.   The  "cure notice" is a  tool that
can  be used whenever the  contractor  is not performing  satisfactorily.   For
example, if  assigned tasks  are  not being  carried out  as  specified in  the
Delivery Order  Statement of Work,  the OSC  can issue a  "cure notice"  to the
contractor.

    Included in  this  notice  is  a  "cure period," or  a  time frame in which  the
contractor  must  cure his  deficiencies  or   the  Government  may terminate  the
Delivery Order  for  default.   The  cure  period  must  be  consistent  with  the
required response time for  that  area.   In other words,  if the contractor has 3
hours to respond  from the  time  of  notification, and has  not  responded within
that period, he  must  be  given an  additional 3 hours after issuance  of the cure
notice  before  the Contracting Officer  may   terminate  that Delivery Order  for
default.  If the contractor has  agreed to  a shorter response time  than that
required  by  the  contract   (e.g.,  one  hour),   then  that   one-hour  period
automatically becomes the required  response time,  and the same amount of time
should be given for  the  cure period.

    Once the cure period has  expired,  the Contracting Officer may  institute a
termination for  default.   Since  all  of this  may  take place  in  a  very  short
amount of time,  it is extremely  critical that the  OSC be  in contact:  with the
*   Additional  information  on  "cure  notices"  can be  found  in EPA  Superfund
    Emergency Contracting Procedures,  pp.  20-22.

                                     IV-3 8

-------
*'-,
                            EXHIBIT IV-7       OSWER Directive 9242.2-01B
                                                               (10/87)
               UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                                                         AM
   DATE  ISSUED:   _   TIME ISSUED:   _ PM
                                                 (Time)      (Time Zone)


    NOTICE  OP  FAILURE  TO  PERFORM  OR TO MAKE PROGRESS _IN PERFORMANCE
  Attention:  ________________

  Gentlemen:

  Subject   :  Contract No.                  ,  Delivery Order
              No. 	

  The above-referenced delivery  order was issued
                                                {verbally or in writing)
                                              AM
  to your firm on 	  at         PM 	.
                       (Date)           (Time)      (Time Zone)

  This delivery order  covered  emergency response cleanup services

  at ______________^	^	•   At that time, it
      (Name and Location  of  Site)

  was agreed, between  the undersigned Ordering Officer and

  _^_____^	  t  that  you  were required to respond to
  (Name of Contractor's
    Representative)

  this delivery order  and be on-scene with all ordered personnel
                             AM
  and equipment at           PM            .  The following items
                     (Time)(Time Zone)

  were ordered:
                                 IV-39

-------
                                                OSWER Directive 9242.2-013
                      EXHIBIT IV-7 (Continuec)                   (10/87)
As of this time, the following condition has occurred:

   a.  You have failed to arrive with any personnel or equipment

   b.  Only the following personnel and equipment have arrived:
You are hereby notified that the Government considers your failure
to arrive on-scene with all ordered personnel and equipment a
condition that is endangering performance of this delivery order
in accordance with its terms and the terms of your contract.
                                                              AM
Therefore, unless such failure to perform is cured by         PM
                                                        (Time)
_^	, the Government may terminate subject delivery order
 (Time Zone)
for default under ARTICLE XLVI and General Provision No.  11 of
your contract.                     •                     .    .

Your attention is directed to your contractual  liabilities  in  the
event the delivery order is terminated for default, and you are
requested to provide an explanation of your  failure to  perform the
services ordered within the time required.   Such explanation must
                        AM
be received by 	PM _^	.  Failure  to present such
                (Time)(Time Zone)
explanation may b« taken as an admission  that  no valid  explanation
exists.

Sincerely,
     Signature                 Name  (Print)
of Ordering Officer
cc:  Contracting  Officer
                              IV-40

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
Contracting Officer  as  early and  as often  as  necessary when such  delays  are
occurring.   Any  action  taken by  the OSC,  no matter  how  unimportant  it  may
seem,  could potentially  waive  the  Government's  right  to collect  liquidated
damages  or to   terminate  a  Delivery  Order  for  default.   Therefore,   good
documentation and close  communication  are vital.  It is critical  that  the OSC
keep a  log  and  record exactly the  time  the contractor  was notified and  what
time the  contractor was  expected  to arrive  at  the site.   The  OSC  must  take
care to be precise when communicating orally with the contractor,  and have  the
Program Manager  (or his designee)  repeat  the  time they are required to  be on
scene  and  what   personnel  and equipment  have  been ordered.   The  OSC/Ordering
Officer should  be very  careful  that time  zones are clarified  in areas  where
there  may  be  a  question.  When the  contractor arrives,  the time must  also be
noted.    In  some cases,   the  OSC's log  may  be the  only available evidence
submitted in the event of a dispute, thus all conversations and  activities  and
the times they took place must be recorded with precision.

5.  NOTICES REGARDING WORK STOPPAGE  ("STOP WORK ORDERS")

    An  Ordering  Officer,  OSC or  the Contracting Officer may, at  any time, by
written order to the contractor,  require  the  contractor  to  stop all, or  any
part,  of  the  work called for by any Delivery  Order.   The Stop Work Order will
be effective for a period  not  to  exceed fourteen  (14)  calendar  days after the
receipt of  the   order by the contractor.   The  form to be used  for issuing a
Stop Work Order  is shown in Exhibit  IV-8*.  Upon receipt of such  a notice,  the
contractor  must  comply  with  its   terms  and  take all  reasonable  steps  to
minimize the  incurrence  of costs allocable  to the work covered  by  the  order
during  the  period of work stoppage.  Upon issuance or  cancellation of a Stop
Work Order to the  contractor,  the  Ordering  Officer or  OSC  must immediately
notify  the  Contracting  Officer.   The OSC must be  aware that standby costs may
be incurred for  vehicles and other equipment left on site  during the stop-work
period.
    Detailed   instructions   are  provided   in   the   EPA  Superfund  Emergency
    Contracting Procedures, pg. 25.
                                     IV-41

-------
                                                                 OSWER Directive 9242.2-Q1B
                                                                                       (10/87)
                                       EXHIBIT IV-8
                           NOTICE REGARDING WORK STOPPAGE
Date:
Contract or Order Number:
Contractor:
A.  Q  STOP WORK ORDER — 1. Pursuant to the contract provision entitled "Stop Work Order,"
       you are hereby directed to stop:

    D  all work called for by the above numbered contract.

    O  a portion of the work called for by the above numbered contract. The portion of the work
       to which this  stop work order applies is aa follows):

    1. You shall stop  work as identified above for a period of	calendar days after
    receipt of this stop work order. You are directed to take all reasonable steps to minimize the
    rncurrence  of costs allocable to the work covered by this order during the work stoppage
    period.

    2. You may submit a claim for an equitable adjustment in the contract performance period or
    contract price lor  cost), or  both, and in any other provisions of the contract 'that may be
    affected by the work stoppage. Such claim shall be submitted within thirty (30) calendar
    days after the end of the work stoppage period to the Environmental Protection Agency,
    Headquarters Procurement Operations. Procurement Section H (PM-214-M),  401 M Street,
    S.W.. Washington, D.C. 20400.

B.  O  CANCELLATION Of STOP WORK ORDER

By stop work order dated	you were directed to cease all, or a portion of the
work called for by the above numbered contract, you are hereby notified that such stop work
order ia cancelled;

    D  in whole, and you shall resume the work as stated in the contract.

    D  in part, and you shall resume the portion of the work stated in the contract as follows:


                                            The United States of America
                                            By-
                                                    Contracting Officer


Acknowledge Receipt by Contractor
Signature of Contractor Repreaentative              Date
                                            IV-42

-------
                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
    When the  Stop  Work Order  period expires  or  is cancelled by  the  Ordering
Officer, Contracting  Officer  or OSC,  the contractor  will  resume work  unless
the   Headquarters   Contracting  Officer   states   otherwise.    An   equitable
adjustment  will  be  made  in  the   Delivery  Order  period  of  performance  or
Delivery Order  price, or  both,  and  in  any  other  provisions  of  the  Delivery
Order that may be affected, and the Delivery  Order will be modified  in writing
accordingly, if the following two conditions  apply:

         The Stop Work Order  results in an  increase  in  the  time required for,
         or in the contractor s cost properly allocable to,  performance  of any
         part of the Delivery Order.

         The contractor submits  a  'written claim to the Contracting Officer for
         such adjustment within  30 calendar  days after the  end of  the  period
         of work stoppage; provided  that,  if  the  Contracting  Officer decides
         the facts  justify such  action,  he may  receive and  act upon  any such
         claim  asserted at any  time prior  to  the   final  payment  under  the
         contract.

    If  a Stop  Work Order  is not cancelled and the work covered  by  such order
is  terminated for  the convenience of  the  Government,  the reasonable  costs
resulting  from the  Stop  Work Order may be allowed by the  Contracting Officer
in arriving at the termination settlement.

    If  a Stop  Work Order  is not cancelled,  and the work covered by such order
is terminated  for  default, the reasonable costs  resulting  from  the  Stop Work
Order  may  be  allowed by  the  Contracting Officer  in equitable  adjustment or
otherwise.

    After  the  OSC obtains the contractor's  acknowledgment  of   receipt  of the
Notice  as  indicated  on  the  form,  distribution  of  copies  of the  Notices
Regarding  Work Stoppage shall be as follows:
                                      17-43

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
              Original -     Contractor
              Copy 1   -     Procurement    (EPA,    Headquarters    Procurement
                             Operations,   Procurement   Branch   A,   Emergency
                             Response Contracting Section (PM-214-F),
                             401 M St., S.W.,
                             Washington, D.C.   20460)
              Copy 2   -     Originator (OSC)

Distribution  to  the   above   EPA  offices   should  be  accomplished   within
twenty-four (24) hours after issuance of the Notice Regarding Work Stoppage.

6.  PROJECT SITE FILES

    A project file  should  be  established by the OSC upon authorization of each
new project.   The file  should be  labeled and should  contain all  important
documentation  generated by the  project.   At  a   minimum,  each  file  should
include the documents shown in Exhibit IV-9.

    All  site-specific  information  should  be  maintained  in  a  centralized
project file.   This will  ensure  that whenever such information  is  needed,  it
will be readily  available  and accessible to OSCs,  DPOs,  and other EPA  staff.
The project  file  should  be  maintained  by the OSC  while  the removal  is  in
progress;  the OSC may  use  administrative  support  personnel or  TAT  to  set  up
and maintain  files.   After the  project is completed,  it should  be  maintained
by  a  Regional  administrative  staff  member  in a  centralized project  filing
system.

    There  are two ma]or benefits in having centralized  project files:

         Improved  Access  - r-7hen  the  OSC  maintains  responsibility  for  site
         files,  access to  site  files  often depends on the  availability  of the
         OSC, who  may be  on site  and out of  the office  for' extended periods.
         Delegating  file  responsibility to a  central  administrative  position
         ensures access in the absence of the  OSC.
                                     IV-44

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
SECTION
                                  EXHIBIT IV-9
                          REMOVAL SITE FILE STRUCTURE
    1    Project Authorization

              Notifications to potentially responsible parties
              Authorization to spend Fund resources
              Related OSC correspondence

    2    Contract Awards

              Contractor Selection Documentation
              Delivery Order/Notice to Proceed
              Acknowledgment of Receipt
              Procurement Request(s)
              Contract Amendments
              TDD for TAT

    3    Site Safety Plan
    4    Community Relations Plan
    5    POLREPS
    6    Action Memo
    7    Work Reports
    8    Personnel/Equipment Logs
    9    Cost Documentation Index
    10   Daily Cost Sheets (Form 1900-55)
    11   Incident Obligation Log

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
                        EXHIBIT IV-9 (Continued)

12   Invoices
          Cleanup contractor (ERCS)
          Other (i.e.,  contract lab  work,  aerial photography)
13   OSC Log
14   EPA Time and Travel
15   TAT Costs
16   Photographs
17   Sample Results
18   Manifests or Permits
                                 IV-46

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         Improved Security  -  Site files  maintained by the OSC  are  vulnerable
         to loss or damage  while  the OSC  is out  of  the office.   Controlling
         access through  a  central contact  reduces this risk.   Control  can be
         maintained through the use of locked cabinets and sign-out procedures.

Each Region should designate  the  appropriate time for file transfer;  OSCs may
want  to  keep  site files  until  the  last  invoice  is  certified, or  until the
final OSC report is written.

    Recently, as a  result  of  a  requirements in  Section  113(k)  of  CERCLA,  as
amended  bv  the Superfund  Amendments  and Reauthorization Act  (SARA),  EPA must
establish administrative records  containing  information used by the  Agency to
make  its decision on  selection  of particular  response actions under CERCLA.
The Regions should ensure that such information is  assembled  and available for
public,  including  potentially responsible party, review both  in  the Regional
office and  "at  or  near the facility  at  issue."   This requirement  applies to
removal  actions  where an  Action Memorandum  has-  been  signed  or  public comment
has been solicited.

    The  information contained  in the  administrative  recori -s  a  subset of
information  included   in  the   site  file.  At the  present time,  the specific
items  to be included  in  the administrative  record   are  being developed and
refined.    Meanwhile,   the  items  in  Exhibit  IV-10  should  be  used  as  an
indication of  information  that is to be  placed   in the  administrative record.
For  further information  on  administrative   record  requirements,   consult EPA
memorandum entitled  "Administrative  Records  for  Decisions on  CERCLA Response
Actions", Director of OWPE, May 29, 1987 (OSWER Directive 9833.2).
    This  concludes  the  discussion of  procedures  for  initiating contractor
 response  services.   The next chapter  describes  procedures  for  monitoring  the
 contractor's  performance of  activities  specified  in  the  Delivery Order  and
 payment of the contractor for services rendered.
                                     IV-47

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                 EXHIBIT IV-10


                         DOCUMENTS  FOR REMOVAL ACTIONS*




    QA/QC'd raw data**


    Removal preliminary assessment


    Site investigation report


    Any other  factual data  relating  to reasons why  we selected  a  particular
    removal action at the site


    Chain of custody forms**


    Engineering evaluations


    Cost analysis documents


    Final data summary sheets of technical  models used to evaluate  the site
*   Drafts and  internal  memoranda are  not  included in the  record  unless  they
    contain information  used to  base  the decision  which  the  final  document
    does not contain, or  the decision-maker  chooses to base  the  decision on a
    draft document.

**  QA/QC'd raw data  (e.g.,  results  of QC runs, chromatograms, mass  spectra),
    and chain  of  custody  forms  are  part of  the  record  and available  to the
    public, but need not  be in the same physical location as the  record  in the
    Regional office  or in the information repository at or near the site.
                                     IV-48

-------
                                                    OSWER Directive 9242.2-01B
                                                                        (10/87)
                                 EXHIBIT IV-10

                                  (Continued)
    Action Memorandum


    ATSDR health assessment  (draft  versions  not  included)


    Memoranda  on  major site  specific  policy and  legal interpretations  (e.g.,

    off-site   disposal  availability,   compliance  with  other   environmental
    statutes,  special  coordination  needs,  e.g.,  dioxin,  provisions for  State

    assumption of  post-removal  site control)


    Information from telephone  logs relied on in selecting response


    Mew technical  information presented by PRPs  during negotiations


    Guidance documents and technical sources ***


    Community  Relations Plan


    Public  comments, if any


    Responses  to  significant comments


    Copies   of  any   notices,   including  notices  to  PRPs,   States,   Natural
    Resources  Trustees, notices of  availability  of information
*** Guidance  documents  and  technical  sources  may  be  kept  in  a  central
    memorandum  compendium  by  the  docket  clerk.   They  need  not  be  in  each
    site-specific record.  The  index  to  the  record should  reference  titles of
    relevant guidance documents and technical sources.
                                     [V-49

-------
                                                OSWER Directive 9242.2-01B
                                                                   (10/87)
                             EXHIBIT  IV-10
                              (Continued)
Documentation  of  meetings  during  which  the  public  and  PRPs  present
information upon  which the agency  bases its  decision on  selection of a
removal action (may be after-the-fact restatement of issues raised

Administrative Orders

Consent  decree(s),  comments  and responses  to  comments  on  the  consent
decree

Affidavits or other sworn statements of expert witnesses

Amendments  to  Action  Memorandum,   including  ceiling  increase  Action
Memoranda, and Action  Memorandum on technical changes; information  which
caused  the  agency  to change  the  decision,  comments, and responses  to
comments
                                IV-50

-------
                                  OSWER Directive 9242.2-01B
                                                     (10/87)
                 CHAPTER V
PROJECT MONITORING AND FINANCIAL MANAGEMENT

-------
                                            OSWER Directive 9242.2-01B
                                                               (10/87)
                          CHAPTER V
         PROJECT MONITORING AND FINANCIAL MANAGEMENT
                          KEY TOPICS
Daily Project Tracking
                                                               Page

                                                               V-4
Defining Contractor Activity
                                                               V-4
Monitoring Contractor Progress
                                                               V-5
Reviewing Project Status
                                                               V-10
Monthly Invoice Certification
                                                               V-12
Distributing the Invoice Package
                                                               V-12
Verifying Invoice Charges
                                                               V-13
Documenting Questionable Charges
                                                               V-13
Certifying the Invoice
                                                               V-13
Submitting the Invoice for Processing
V-15
OSC and Contractor Reporting Requirements
V-15
OSC Reporting Responsibilities Under ERCS
V-16
ERCS Contractor Reporting Requirements
V-16
                              V-l

-------
                                                     OSWER Directive 9242.2-Q1B
                                                                        (10/87)
                                   CHAPTER  V
                   PROJECT  MONITORING AND  FINANCIAL MANAGEMENT
    OSCs must  be aware of, in  control  of,  and responsible for each  charge  to
their  sites.   Once  the  Delivery  Order  has  been  initiated,   the  OSC  is
responsible  for  monitoring  services  performed by  the  contractor  to  ensure
consistency  with  the Site Budget,  Action  Memo,  Delivery  Order  Statement  of
Work  and  time   and  material   cost  estimates.    As  site  manager  for  the
Government, the OSC is responsible for:

         Intramural and extramural expenditures
         Scheduling work
         Directing the contractor
         Reviewing project status
         Certifying invoices  submitted by the ERCS  contractor for  payment.

The sequence of  management  interactions and support documentation required for
project monitoring and financial management is summarized in Exhibit V-l.

    To  assist  the  OSC  in  monitoring  project  performance  and  financial
management,  procedures  have  been  established and  are detailed in  the Removal
Cost Management Manual.   This  manual is  currently being  revised and  will  be
available  in  1987.   In  addition,  procedures relating  to  the  review  and
certification  of  contractor  charges  are  detailed  in   the  EPA  Superfund
Emergency Contracting  Procedures.   Together,  these manuals provide the OSC and
other Federal officials with the  framework for assuring  that public  funds are
spent prudently.   It should be stressed that  OSCs  share  this  responsibility
with the Contracting Officer,  contract auditors, and with  the  ERCS  contractor,
through  specific  contract provisions.  This  chapter complements  the guidance
provided in the two manuals by outlining  the  procedures  developed specifically
for monitoring contractor services procured under the ERCS contracts.
                                      V-2

-------
                                                                    OSWER Directive
                                         EXHIBfT V-1
                         Project Monrtoring and Financial Management
                                                   9242.2-01B
                                                       (10/87)
ORIGINATORS)
   RESPONSE
DOCUMENTATION
                                                                                RECIPIENTS)
                                                                                    osc
                                                                                    osc
                                        MVCCf VMTM
                                        SJONIO
                                        CSHTlfCATlCN
                                        STATfMOT
                of invoicw for ewoffcmon and ftyvMrding o« invotcw for p«vm«ot VM« not b« •coorrptohci«l
                           (MO-32J.
                                                                               Triangl* P»rk.

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
1.  DAILY PROJECT TRACKING

    The OSC  assumes  ultimate  responsibility  for  the  outcome  of  a  removal
project.   In  order to maintain  effective control  during  a removal  response,
the OSC should develop a  routine  that includes:

         Defining contractor activity
         Monitoring contractor  progress
         Reviewing progress with  the contractor.

    The following  sections  will  discuss  procedures to be  followed by  the  OSC
in defining,  monitoring,   and reviewing a contractor's progress in completing a
removal action.

    1.1  Defining Contractor Activity

         In many  removal  situations,  the amount  of  time  the  Ordering  Officer
    or OSC has  to assess  the nature of  the  release and determine the scope of
    the removal-actions may be quite  limited.   In some instances,  the  OSC  may
    be  required  to  conduct  the  assessment of   the  incident  and  implement
    removal  actions  simultaneously,  necessitating  daily  revision  of  the
    personnel, equipment  and materials needed to  conduct the removal.

         These  conditions  underscore  the   importance  of  providing  frequent
    written direction  to  the  ERCS  contractor  during  a  removal.   Frequent
    communication  will preclude  misunderstandings  between  the  OSC  and  the
    contractor.   All OSC directions  given to the  contractor on  site  should be
    documented and maintained  in  the  removal project file.   The  Removal Cost
    Management Manual suggests  using one of  three  documents for this purpose:

              Work Report
              POLREP
              OSC Log.
                                      V-4

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
This  documentation  of   authorized   work  must  be  retained   to   permit
reconciliation  of  disputes  with  the  contractor  and  to  support  cost
recovery efforts.  Examples of each of these documents are  included in the
Removal Cost Management Manual.

     Regardless  of  the form  chosen  by the OSC, the message  should be the
same; the contractor must be given a clear understanding of the  task to be
performed,  the  resources  (personnel,  equipment  and  materials)   to  be
employed, and  the  expected time frame in  which to conduct the  work.   The
frequency  with  which  these   communications  are  issued  is   left   to  the
discretion of  the  OSC.   If work conditions change  rapidly, daily  or  even
hourly  revisions may be  required.   If a particular phase of work is fairly
predictable  and  is to   be  performed  for extended periods  (e.g.,  drum
staging), weekly revisions may be more appropriate.

1.2  Monitoring Contractor Progress

     The  contractor  is  responsible for providing the resources to complete
tasks assigned  by the OSC.   At 'the  end of  each  day the  contractor  must
identify  in  the  Contractor Cost Report  (EPA  Form  1900-55)  ail charges for
resources used (see Exhibit V-2).

     The  OSC  or  other  designated Federal  employee  muse verify  and attest
to  by  signature  the  accuracy  of  the  labor,  equipment,  materials  and
subcontractors  claimed   in   the   Contractor   Cost  Report.*   Verfication
procedures,  described  in the  Removal Cost  Management  Manual,  have  been
developed  to  provide  a  basis for  the  evaluation of  reported  charges.
While cost-tracking methods may vary,  they should provide, at a minimum,
Appendix  C  :s  provided  for  the  purpose of  illustrating  allowable  and
unallowable charges  under the ERCS Zone  4  contract  including a discussion
on  labor  rates,  equipment   rates,  overtime  rates,   travel  and  per diem
costs,  and other  direct  costs.   However,  since  these  charges  vary from
zone  to  zone,  it  is  very  important  that  the OSC  and DPO  refer  to the
specific  contract for their  zone to  ascertain exactly which charges are
allowable and which are not.
                                  V-5

-------
       tAniuu w ^«
Contractor Personnel Report
                                                   OMS
                                                            Ho tOOO Oltt
HAZARDOUS SUBSTANCE RESPONSE FUND
CONTRACTOR COST REPORT
CONTRACTOR PERSONNEL REPORT
1. EMPLOYEES ASSIGNED

a. WOHK CLASSIFICATION

3. HOUMLV LASOM
NATi
IUOULAN

OVEHTIME


ASSIONMENT NUMSf *
4 HOUMS
EUTLOVEO
"»*

TO

S.
• MEAK
TIME


S IOTAL
HOUHS
MEOU
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OVEM
TIMC

CONTRACT NUMBf n
OATE

SUMlSTENCt
COSTS

TOTAL rCMMMNCL Com
S TOTAL
MHSONNEL
COSTS
1

IPAFvn. IWOSS |t at Obtain* 0, (fcc— Co.Mdln.lftf

-------
Contractor Owned Equipment/Materials Raport
CONTRACTOR-OWNED EQUIPMENT/MATERIALS REPORT
S EQUIPMENT USED

IO HOURS USED
FflOM

TO

II.
COST
rift
HOUR

14 101*1 1 ULIirut N> COSIS
12
TOTAL
HOURS

1).
TOTAL
COST

f

CONTRACTOR
ASSIGNMENT NUMSER
It MATERIALS USED

IS TOTAL MATERIAL COSTS
CONTRACT NUMBER
DATE
!• QUANTITY
1
TOTAL
COST

S
                              Coot \
                              Copy 1
P... i.14

-------
                                                                                    tAHItlll V ^C

                                                                                Subcontractor Raport
SUBCONTRACTOR REPORT
I* SUBCONTRACTOR NAMf

ao WORK of scmrTiON

12 TOTAL SUBCONTRACT COSTS

2I.SUMCONTMAC
AMOUNT




1 CM lily lh*i IhM i*pon • • l>u* Mid oompi*** >«x»d ol Ih* MXM. •>*>•» v»M>«. l>*»*4. *quipm*Al. m*«Mi*ii. and
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00*UM
ll*>i««u» *l OSC M»)li«i»H*lt»* Tint* Adhwrf Ml
SUM*
Tim* D«t»«n»d
CONTRACTOR CONTRACT NUMKt
AMIONMfNT NUMSER ' QATf
23. Rf MARKS
1
24. CONTRACT CflLINO AMOUNT (
2S. TOTAL f STIMAIf O CONTRACT COSTV TO OATf f
2« TOTAL fSTIMATfO COSTS TOCOMPLf Tf CONTRACT f
OMIily tltM ih't >*pon it • tfu* MM! oo«i|X*t* >*conl ol Ih* l*fao<. »up** pMlorm
MIC* ol IK* *teH»oi*d CCMUM^.
HCMUM* •• C*ol>*c«M't AuihMliMl R^MMMIIMIV* o*i«
I
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                                                                                                                                                                            n
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                                                                                                                                                                            H-
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                                                                                                                                                                         ^ td
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                                                                                                  Copr I   - CanlfKlM

                                                                                                  Copy ]   — ^>ac
?••• 1 ol 4

-------
                                                      EXHIBIT V-2d                       OSWER  Directive  9242.2-01B
                                    Instructions for Completing EPA Form 1900-56                                 (10/87)
                                       (to & camg/frte Oy Conrrteror
cr
                - £'ic »o'«
   ••ijnmjnt  nurnetr  orowdtd ay  tnt  On-Scant Coordinator

 0*tt Itatft - tnttr tnt montn. Oa>.  and yttr tnt rteon * ortatrtd

COMTNACTOH MMtOMNIL HI*OMT ^at* ' <
        - Inttr tnt namt of Met «^«e«avOT «r««ew •nnen <*>H M
                 to tnt cofitnd 'ar tnt Mrt*u'«r a»y
      2 - Inttr
   Stock 1.
     1 - f "ttr t»t nouny i«
         tt nffM in IIOC* 1
      4  — Inttr  r*t tnwt tactt tmeiovtt
                           hit
                                Irtfuitr and ovontmti of OM


                                         i Block 1  arnvt*
Utik 7 — f nttr tnt trtv* ind tuAdfttnct eon*
   euitf «*» ov ttcn (meiovtt imtd in liock i .
     1 - f itf tnt amount of arm timt takto By •en tmo*oy*«
     M m l>OCk 1
       — Inttr tnt ««met* of noun, rtfwitr tnd ovtnmt. xorktd
      nf tn« «y ev Men tmpiovtt iitttd >n I loo  1  Itieuot
        nmtl.
                                               ttf tnt otn.-
     • — Inttr tnt tot*l pononnti tiotnwt to M dirtctly cntr «M
  to tnt eontrtct  for tnt ocnicu'tr o*y

COMTMACTOH-OIWMC-O   IQUIWMINTAI.ATIIIIAIS  NI»ONT
  If    " »« *)

Utck -. - Inttr i oritf dttcnotion ol tnt Muiomtnt uittf tor tnt
                                         Men cttm of tqyio-
Uort 10 — fnttr tnt timt of a*y
  mtnt imtd >n lioei 9 wtt u«o.
                                                                     •J«*k 11 - 6--f '"t "our'y efltr»t tor MHO* tnt nuiomtnt ..,«.-
                                                                        ." 8'cxi 3
                                                                           12 - S">r- ••» '0!»'


                                                                           13 — £"!• •*» cnar?
                                                                         itto « 8'oe« 9
                                                                       «ik 14 - EnT*>  •-• iot*i

                                                                           IS - L'H t"» —ittf *u uitd

                                                                           1C - 6->t». i«
                                                                          ring tnt oart.eui
tnt touiomtnt trom Slock 9 v«4t


tnt a*v tgr UM of tnt •quiomtn:


            'Currtd tor tnt ojy
                                                                                                         tnt O*v
                                                                                                   o«
                                                                                                                         IS ,JI
                                                                           1? -  tntt* tnt COTtl tor tt>t ouontitv of mtttr>«u i.itid '
                                                                        •iocs 16.
                                                                           '•  - Inttr tnt totll mtttrt* eotTI incurrto tor tnt tUv

                                                                  0. SUVCONTHACTON NIr«ONr tftff 3 al 41

                                                                              — Inttr tnt nomtt 0* HiOCOntrmori tmeiOvM  tor tnt
                                                                                 Oty
                                                                           JO - Inttr I oritf OM«r
-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
sufficient  detail  to  supply  the  OSC  with  an alternate  set  of  cost
estimates to which contractor charges can be compared.   Prior  to  reviewing
the  Contractor  Cost  Report at  the  end  of  the day,  the  OSC or  designee
should collect and summarize documentation used in tracking  resource  usage
to  develop  estimates  that  will  provide  the  basis  for  evaluating  the
reasonableness of  contractor charges.   The  Contractor Cost Report  should
be  signed  by the OSC within 24  hours  of the report's submission,  even if
it  cannot  be  reconciled  with  the  OSC's  cost   documentation.    If  a
discrepancy  exists,  the  OSC and contractor  representative  should try to
reconcile  the  difference.   If the  difference  is  irreconcilable,  the  OSC
should refer the matter to the EPA Headquarters  Contracting Officer.

     It  is  strongly suggested that  the  OSCs make  use of the  software in
Version  Three  of the User's Guide  for  Removal Cost  Management  Software.
This  manual  can  be  used  to  assist  the  OSC  in  preparation  of  cost
management forms, in cost tracking,  and in cost  estimating.

1.3  Reviewing Project Status

     The OSC should  review  project  status with the  contractor at  the  end
of  each work  day.   Progress  should  be  reviewed with  respect  to 1)  the
status of assigned tasks  and 2)  resources required  to complete  the  tasks.
While  reviewing  the  status  of  the  day's   activities,  the  OSC and  the
contractor  representative  also  should  discuss   potential   problems  and
approaches that  might be  incorporated  in the development of  new contractor
directions for the next day.

     The  primary objective  of  the  review  session   is  to  reconcile  the
charges  for  personnel, equipment and materials  used each day  and reported
in  the  Contractor  Cost  Report  (see  Exhibit V-2).   An accurate  record of
entry and  exit  of personnel and equipment must be  maintained  to  help the
OSC verify contractor charges  at the end  of  each  day (and to  ensure site
safety and security).  An example Site Entry and Exit Log  is presented in
                                  V-10

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
the Removal  Cost Management Manual.  OSCs  can make use of the  U.S.  Coast
Guard Strike Team,  the  TAT contractor,  or temporary  personnel  on  site  to
assist in maintaining the suggested logs.

     The OSC  must compare  the  costs  claimed by the  contractor  with those
derived from daily  site documentation.   This can be  made  easy  by  the  use
of  the  computer  software  described  in  the  User's  Guide.   It  should  be
recognized that the ERGS contractor sometimes must  estimate charges on the
cost  reports,  particularly subcontractor  costs.   If  satisfied that  the
charges  claimed  are reasonable,  the  OSC  should  sign  page   3  of  the
Contractor Cost  Report.   If  a  discrepancy exists, the  OSC and contractor
representative should try to  reconcile  the difference.  If the  difference
is  not  reconcilable, the OSC should note  on  the  form itself  the amount
disputed and refer the matter to the Contracting Officer.

     After agreeing on  the  charges  for  the day, the  OSC should  record the
amount  in  a  personal   file  that  functions  as  the   project  "checkbook,"
providing  an  accurate   estimate  of  cumulative  project  funds  used  and
available.   The   Removal  Cost Management  Manual suggests  the  use  of  the
Incident  Obligation Log  or  POLREPS  to record  cumulative  costs.   The  OSC
may also  use  this "checkbook" to help verify invoice charges  (discussed in
Section 2.2 of this chapter).  By adding all charges  for a  billing period,
the  OSC  can  estimate   invoice  charges  for  comparison with  the  actual
invoice  received.   The  software  in  the  User's Guide also  provides  an
estimate of invoice charges and other functions.

     While  the  tracking  and invoice  reconciliation  procedures  described
above are essential, OSCs  should recognize chat  the Contracting  Officer is
responsible  for  performing a  detailed final cost review for  each  response
action, relying  on  the  project  records and advice of the OSC  and others
(e.g., auditors).
                                  V-ll

-------
                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
2.  MONTHLY INVOICE CERTIFICATION

    To ensure  timely  payment for  contractor  services rendered,  certification
procedures have been developed and include the following  steps:

         Distribute the invoice package
         Verify invoice charges
         Document questionable charges (if necessary)
         Certify the invoice
         Submit the invoice for processing.

The certification process  described  in the following subsections must not take
longer than five  days  after the  ERCS  DPO receives  the  invoice  package.   The
ERCS  DPO  will  be  responsible  for ensuring that invoices are  processed within
the five-day limit.

    The contractor invoice is a written request for payment under the contract
for supplies  delivered or  for  services  rendered.   In order to  be  proper,  an
invoice under  a  cost-reimbursement  contract   must  be prepared  in  accordance
with  EPA  Form 1900-34,  "Guide  for the Preparation of Contractor's  Claims for
Reimbursement  of  Costs and  Fees  Under Cost  Reimbursement  Type  Contracts"  or
EPA  Form  1900-34A,  "Guide  for  the  Preparation  of  Contractor's Claims  for
Reimbursement  of  Costs   and  Fees   Under  Cost-Plus-Award-Fee   (CPAF)   Type
Contracts."    The   contractor    should   prepare   and   submit   invoices   in
quadruplicate unless otherwise specified.

    2.1  Distributing the Invoice Package

         Each  month,  the ERCS  DPO will  receive  an  invoice  package  from the
    ERCS  contractor  consisting  of  one  invoice  for  each  removal  project
    conducted  under the  direction  of  an  EPA CSC  for   the  previous  billing
    period.    After   receiving  the   package,  the   ERCS   DPO  must  promptly
    (1) date-stamp  the  invoices,   (2)  distribute   the  forms   to   the  OSCs
    responsible  for the  associated  projects  and  (3) ensure  certification of
    the  invoice  or submit  by memorandum  an  itemized listing  of questionable
    charges within the five-day period.

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     The ERGS  DPO will not  be  responsible  for  distributing  invoices  to
non-EPA  Federal  officials  such as  USCG OSCs,  who  are  managing  removal
projects under  an ERGS contract.   Instead,  these  non-EPA  officials  will
receive the invoices directly from the contractor.

2.2  Verifying Invoice Charges

     The  OSC  or  designated  Federal  official  will  evaluate  whether  the
charges  listed  on the  invoice and  supporting  information  are  correct  by
comparing  them with the  logs,  reports,  or other  records  kept for  the
removal  project during  the  month.   This can be made  easier by use  of  the
software and  procedures described in the User's Guide.  If  any charges are
questionable, OSCs should follow the procedures described in  the following
section.   The  OSC   should  also  verify  the accuracy of  the  accounting
information entered, including the contract number and accounting number.

2.3  Documenting Questionable Charges

     If  any  charges appearing  on the  invoice  are  questionable, the  OSC
should  first  attempt to  resolve the issue with  the  contractor  within the
five-day period.  If this  is  not successful,   the  OSC should  contact  the
assigned Negotiator  or the  Contracting Officer  through the  ERGS DPO,  and
identify  the  questionable  charges.   The  OSC  should certify   only  that
portion  of the invoice which is acceptable, as described in Section 2.4.

     A  copy   of  the  disputed   invoice  should  be  sent to  the Contracting
Officer, with an  explanation of the  item(s)  in  question.   The   memorandum
shown  in Exhibit  V-3  should be  used for this purpose.  Mon-EPA OSCs and
Federal  designees should coordinate  questions  through the  ERGS Contracting
Officer.

2.4  Certifying the  Invoice

     After  reviewing the  invoice and  supporting information,  the  OSC or
designated  Federal   official  should  certify the  invoice   by  signing  and
                                  V-13

-------
                                               OSWER Directive 9242.2-01B
                                                               (10/87)
                           EXHIBIT v-3

      Documenting Questionable Charges - Sample Memorandum
 SUBJECT:   Contract No.
           Delivery Order No.
           (if applicable)
           Contractor Name	Date

           Invoice No.

 FROM:
           On-Scene Coordinator
           Region	

 TO:        Accounts Payable Branch
           Contracts Section (MD-32)
           Office of Financial  Management
           Research Triangle Park,  N.C.   27711

 a^  K 5aV! rev^ew?d  ch«  subject  invoice  for  payment  and have
 attached it with  the  signed  certification  statement.   However,
 I recommend that  only partial  payment of  $	_^ be
 made on this invoice, based  upon my review -and comparison of
 the amounts charged with  those accepted on the Reports of
 Daily Services  (EPA Forms  1900-55).  The  following  individual
 items are questioned:
     _                                               Amount
 /*,„„ Tann ccx   , •              Amount     Amount    Recommended
      1900-^)   Line irem       invoi^rf   ciSnu^~H  fag p
          Totals:
     Attached is my explanation for all disputed amounts.  On
the basis of this, I recommend that $	 be withheld
from the total amount paid.

Attachments:  Certified invoice
              Explanation  of charges not  accepted

cc:  Contracting Officer
     Contractor
                               V-14

-------
                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
    dating the OSC  Certification Statement  stamped or typed  on the  invoice.
    Potential  disputes  will  be  easily resolved where this  date  is clarified.

         Certification  of an invoice  implies  only that the services  have  been
    rendered.   Certification is  not  intended  to signify  that   invoiced  costs
    are  absolutely  accurate   or  complete.    The  Contracting   Officer  is
    responsible for  reviewing,  definitizing and ultimately accepting  the  final
    costs.  Ensuring reasonableness  of  prices paid will be the  responsibility
    of the Procurement  and Contracts Management Division (PCMD).

         The certification  process  shall  not  exceed  five  days,  even in  the
    event of a dispute.   The  invoice should be signed with the disputed amount
    indicated.   If  an  EPA  OSC  is out  of  town  or  otherwise  unavailable,  the
    ERGS DPO  is  authorized to certify  the invoice for the OSC.   Mon-EPA OSCs
    or other Federal officials  must  designate in advance an alternate  who will
    be responsible for  invoice  certification in their absence.

    2.5  Submitting  the Invoice for  Processing

         The invoice should  be  forwarded to:

              Environmental  Protection Agency
              Financial Management Division
              Contracts Financial Operations (MD-32)
              Research  Triangle Park, NC  27711

    If any amounts are  questioned, a  copy  of the cover memo  (see  Exhibit V-3)
    should be sent to the Contracting Officer.

3.  OSC AND CONTRACTOR REPORTING REQUIREMENTS

    Regular reporting  is  required to provide timely status information as well
as  historic  removal incident  documentation.   Much of  the responsibility  for
reporting and documentation  falls on the OSC and the contractor.
                                     V-15

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
3.1  QSC Reporting Responsibilities Under ERCS

     The OSC  or Federal  designee  must  prepare  a  Contractor  Performance
Summary report  upon completion of  a removal project.  A  sample  report is
provided in Exhibit V-4.  Copies  of the  the report should be  forwarded to
the ERCS  DPO, Project  Officer  and Contracting  Officer within 30  days of
completion of a  project.   The  report  should provide  a concise  review of
the contractor's  project  performance that  can  be used by the  ERCS  DPO to
identify trends or recurring difficulties relating to cleanup actions.

     In addition to  providing  ERCS contract management with a  vehicle for
conducting regular  contractor  reviews,  the performance summary report may
also be used by the OSC or Federal designee as  supporting  documentation in
development   of  award   fee  Performance   Event  Reports   (PERs).    The
performance evaluation  award fee  process,  discussed  at length  in  Chapter
VI, enables the  Agency to provide the contractor with an  award fee in the
form of financial reward for outstanding performance.

3.2  ERCS Contractor Reporting Requirements

     Each ERCS contractor is required to provide several reports  to  EPA on
a  periodic  basis  for use  in  monitoring project  performance.   A  list of
these  reports  is presented  in  Exhibit  V-5.  The DPO  and/or  the OSC are
responsible for  ensuring  the accuracy,  timeliness and completeness  of all
submitted  reports.   Detailed  information  on   each  required  contractor
report is presented below.

     Daily Contractor Cost Report  (EPA Form 1900-55)

     This  form   should  contain   the  estimated  or   actual   daily  cost
information on  personnel,  equipment,  material  analysis,   transportation,
disposal,   subcontract   handling   charge,   miscellaneous,    travel   and
subsistence,  using EPA form 1900-55.   This report is  completed and signed
by the Contractor  Response  Manager, and is then reviewed and signed by the
OSC.   Copies of the form are then provided to the OSC, the  Contracting
                                  V-16

-------
                                          EXHIBIT V-4
                 OSWER  Directive  9242.2-01B
                                      (10/87)
ERGS CONTRACTOR PERFORMANCE SUMMARY
, -QNTRACT NO. 2. DELIVERY ORDER NO. 3. EPA REGION/ USCG DISTRICT
4 DELIVERY ORDER CEILING AMOUNT:
6 :SSUED TO: CONTRACTOR (/V«/n«. Adams ind Zo Coat)
3 RESPONSE MANAGER: i/V«/rw ind P*oi» No.)
5. ZONE:
7 RESPONSE LOCATION: lS/r»/V«m». Aadnu tnd Zio Cod»)
9. ON-SCENE COORDINATOR: l/V«rw »nd Phor* No.}
10  DESCRIBE SCOPE OF WORK:
11 PERSONNEL AND EQUIPMENT ON SITE WITHIN REQUIRED RESPONSE TIME?  COMMENT:
12. WORK PERFORMED BY:  ERCS CONTRACTOR

   SUBCONTRACTOR (Nur»\ 	
13. INITIAL COST ESTIMATE:

   FINAL COST:   	
14. ANY PROBLEMS RESULTING FROM
  USE OF SUBCONTRACTOR?
15. REASONS FOR COST SAVINGS/OVERRUN. IF ANY:
13. EVALUATION OF CONTRACTOR'S COST CONTROLS:
17. DAILY COST REPORTS:
                          CURRENT	ACCURATE
   WMTTV
                                              V-17

-------
                                                                   OSWER Directive  9242.2-01B
                                 EXHIBIT V-4  (Continued)                          (10/87)

                                                       	                         PAGE 2 OF 2
                         ERCS CONTRACTOR PERFORMANCE SUMMARY


                                                DELIVERY ORDER NO.
CONTRACT NO.
9. PERSONNEL AND EQUIPMENT USED IN AN EFFICIENT MANNER?  COMMENT:
.0. INTERACTIONS BETWEEN ERCS CONTRACTOR AND OTHER  ON-SCENE PERSONNEL d.'a.. TAT. REM/HT. San

         ~ GOOD       - SATISFACTORY       Z UNSATISFACTORY        COMMENT:
11. NECESSARY SAFETY PRECAUTIONS TAKEN?   - YES _ NO     COMMENT:
2. UNUSUAL PROBLEMS/OCCURRENCES AFFECTING CONTRACTOR'S PERFORMANCE:
3. OVERALL ASSESSMENT OF CONTRACTOR'S PERFORMANCE: (Addition* payt* may 6* addad. as n*cau*ry)
         Harm of Qn-Scana Coordinator                   <;;««-»«.                       Dan
 sMiricMMiY  OK> tirvim* carr                          V-18
    riff*

-------
                                                                 OSWER Directive  9242.2-01B
                                                                                        (10/87)
                                       EXHIBIT V-5

                               Required Contractor Reports
     Report

Dally Contractor Coat
Report (EPA Form
1900-55)

CERCLA Off-Site
Dlapoaal Raport

Monthly Contract
Statua Raport

Monthly Regional
Statua Raport

Year-End Report
Quality Aaauranca
Program Plan
Quality Aaauranca Data
Raport

Site-Specific Allocation
Report
Initial Financial
Management Report
Monthly Financial
Management Report

Property Management
Program Plan

Fixed-Rate Coat Report
Site Safety Plan-


Work Report



Site Progress Report
Contractor's Final
Report
    Ortatnator

Contractor
Response Manager
Contractor
Response Manager

Contractor Program
Manager

Contractor Program
Manager

Contractor Program
Manager
Contractor Program
Manager
Contractor
Response Manager

Contractor Program
Manager
Contractor Program
Manager
Contractor Program
Manager

Contractor Program
Manager

Contractor Program
Manager
Contractor
Response Manager
Response Manager
Contractor
Response Manager

Contractor
Response Manager
  Reporting
 Frequency
Dally
10 Days Following
Disposal

Second Monday
Following the Month

Second Monday
Following the Month

30 Days Following
End of Period of
Performance

15 Day* Following
Award of the
Contract

Second Monday
Following the Month

Dec. 31 of Each Year
and 90 Daya
Following Contract
Completion

15 Daya Following
Effective Data of
Contract

Second Monday
Following the Month

30 Days Following
Contract Award

60 Days Following
Completion of Each
Six-Month Period of
the Contract

Prior to Beginning
Cleanup at Site

Prior to Beginning
Each Phase of
Cleanup at Site

As Specified by the
OSC

30 Daya of
Conclusion of On-
Site Work
 Distribution

OSC, CO, RTP



DPO, PO


PO (2 Copies)
CO (2 Copies)

DPO


PO (5 Copies)



PO (2 Copies)



DPO, HRSD


PO
PO (2 Copies)
CO
PO (2 Copies)
CO

Property
Administrator

CO
OSC


OSC



OSC


OSC
                                            V-19

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
Officer, and the  Financial  Management  Division office in Research Triangle
Park (RTF), North Carolina.   If  removal cost management  software  is  used,
the  OSC   should  archive  the   disk   to  be  transmitted  to   PCMD  for
definitization.

     The Daily Contractor Cost  Report  should  be prepared  on  site at  the
end  of each  work day  or  no later  than noon  the  following  day.   This
information shall  be updated in  weekly summaries  to  reflect  actual  or
corrected cost  information  using  EPA  form 1900-55.   The OSC reviews  and
signs 1900-55s daily.

     CERCLA Off-Site  Disposal  Report

     The  specific  information  required to  report  CERCLA  off-site  waste
management  activities  should   be  recorded   on  the  form  presented  in
Exhibit V-6.  The form  is submitted by the Contractor  Response Manager to
the  Proiect Officer  and  DPOs  within  10  days  after  disposal  has  been
completed at each site.

     Monthly Contract Status Report

     This  report  is  prepared  by  the  Contractor  Program  Manager  and
contains  highlights  of all  contractor activities  during the month  being
reported and activities anticipated during  subsequent report periods.   It
includes  a description and  the' status of   all  active  Delivery  Orders
including  work  progress,   percent  of  completion,   problems  or  unique
situations  encountered   and  corrective  actions  taken,  and  changes  in
personnel  associated  with  the  Delivery Order.    It  provides  a  graphic
presentation  of   equipment  and  materials  and  the contract  expenditures
versus yearly minimum and maximum contract  amounts.   It  also  provides the
following  cumulative  financial   data  for  each  removal  action:   funds
obligated;  estimated  or actual  costs  for all  cost categories  associated
with personnel,  equipment,  materials and any other service.
                                 V-20

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                  EXHIBIT V-6

                      THE CERCLA OFF-SITE DISPOSAL REPORT

      Information Required for CERCLA Off-site Waste  Management Activities
1.   Superfund site name/State/ERRIS number:   	

2.   Type of action (Check one)

         Removal
         Remedial

3.   Type and form of waste:

    Type:	      Form:
    Use RCRA Type Listing                   -    fluid
                                                 waste
                                                 Sludge (solid or non-solid)

4.  Quantity of waste:  	
         cubic yard (CY)
         gallons (gal)
         drums
         lab packs

5.  Pre-treatment of waste before transportation:  	

         precipitation
         neutralization
         solidification
         fixation
         stabilization
         other

6.  Receiving RCRA facility name/location/I.D. number/unit
7.  Receiving Region
8.  Receiving  Region  contact  for  approval.    (Note  -  this  is  the individual
    designated pursuant to the May 6, 1985 Policy)

              Name 	   Date 	

9.  Date(s) of Shipments	
                                      V-21

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                   EXHIBIT  V-6
                       THE CERCLA OFF-SITE DISPOSAL  REPORT
                                   (continued)

10. Pretreatment of waste at si.e before final treatment or disposal:

         precipitation
         neutralization
         solidification
    -    fixation
         stabilization
         other

11. Final method of treatment or disposal/unit receiving:
         precipitation  •
         neutralization
    -    incineration
         landfill
         land treatment
         injection
         recovery/re-use
         other

12.  If waste was landfilled:

         What disposal cell number or location?
         Type of liner in cell?   (e.g.,  PVC,  clay,  hypalon)  	

13.  Date of initiation and date  of  completion of cleanup:

    Date of cleanup initiation:	

    Date of cleanup completion:  	-     	

14.  Cost of activities (include  cost  per unit,  then denote cost  basis):

         cost based on treatment/disposal only (no  transportation cost)
         cost for transportation
                                     V-22

-------
                                                    OSWER Directive 9242.2-01B
                                                                       (10/87)
        The  report  provides  data  regarding  Delivery  Order  [and  program
   management]* billings made during the reported month, formatted as follows:

   Delivery Order Billings:

             Invoice number

             Invoice date

             Amount  billed  at  fixed rates  (except per diem  and provisional
             rate items)

             Amount  billed at cost  (including  per diem and provisional  rate
             items)

             Total amount  billed

   Program Management Billings:

             Voucher number

             Voucher date

             Total costs billed

             Base fee billed

             Total amount  billed

   Both the  Project Officer and  the  Contracting  Officer will  receive  two
   copies  of the monthly  status   reports  on the  second  Monday following  the
   month being reported on.
*  Text applicable only to the Zone ERGS Contracts.

                                     V-23

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
Monthly Regional Status Report

     This  report  is  prepared  by  the  Contractor  Program  Manager  and
highlights all  contractor activities  in the appropriate EPA Region  during
the  month being reported  and  activities  anticipated during  subsequent
reporting  periods.   This  includes a  description  and  the  status  of  all
active  Delivery Orders  including work progress,  percent of  completion,
problems  or  unique  situations  encountered and  corrective actions  taken,
and  changes  in personnel   associated  with  the  Delivery  Order.    The
contractor also  provides the  following cumulative financial data for  each
removal action in the appropriate EPA.Region:

          Funds  obligated

          Estimated  or actual  costs  for  all  cost categories  associated
          with personnel,  equipment,  materials,  and any other services.

The report is to be  submitted to  the  DPOs on the second  Monday  following
the month being  reported on.

Year-End Report

     The Contractor Program Manager  prepares this report,  which provides a
summary of the  activities performed  and planned  for completion under  the
contract  during  the  twelve (12)  month period being reported.   The  report
includes  an  assessment of the  overall  contract program,  recommendations
for  improving  the  effectiveness  of   the  program,   and a  summary  of  all
removal actions  taken,  including  technical and financial  information.   In
addition, the report contains  a cumulative summary of  the usage  and costs
billed for 1) labor by individual labor category; 2) equipment  utilized by
individual   type;   3)   individual  common   materials   utilized  and   4)
miscellaneous subcontracted  items.
                                 V-24

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     The Project  Officer  should receive  five  copies of the  report  within
30 days following the end  of the period of performance.

Quality Assurance Program  Plan

     The  Contractor  Program   Manager   should  prepare  this   report   in
accordance  with  "Interim  Guidelines  and  Specifications  for  Preparing
Quality Assurance  Project  Plans (QAMS-005/80),"  dated  December  29,  1980.
Two copies  of the Plan should  be  submitted to the  Project  Officer  within
15 days following award of the contract.

Quality Assurance Data Report

     The  Contractor  Response  Manager  should  provide   a   copy  of  all
analytical  data  generated  from sample  analysis  and one  (1) copy  of  any
sample analysis subcontracts to the DPOs and the  Hazardous Site Evaluation
Division (HSED) by the second Monday following the month being reported on.

Site-Specific Allocation Report

     The  Contractor  Program  Manager  is  required  to furnish a  report
summarizing  site-specific   allocation  of  costs  incurred  for the  Program
Management  and base  and award fees.  This report shall be delivered to the
Project  Officer  by  December  31 of  each  year and  ninety  (90)-  days  after
contract completion.

Initial Financial Management Report

     The Contractor  Program Manager shall furnish three copies  (two to the
Project  Officer,  and  one   to  the  Contracting  Officer)  of a Financial
Management   Report  in  graph   form  depicting   the  projected  rate  of
expenditure  of  the  Management  Portion  under the  contract.   The  initial
report  shall be  delivered  within fifteen  (15)  days  after  the effective
date of the contract and shall contain the following:
                                  V-25

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
          Identification - Contractor name and contract number

          Vertical Axis - dollars

          Horizontal Axis - time (contract period of performance in months)

          Solid  line  depicting the  projected  rate  of  expenditure on  a
          cumulative basis of  the  estimated contract cost over  the  period
          of contract  performance  by month.   This projection  (base line)
          shall not  change during  the  life  of  the  contract without  the
          concurrence of the Contracting Officer.

Monthly Financial Management Report

     The  Contractor  Program  Manager  shall  furnish  a monthly  Financial
Management Report which,  using  the initial report submitted  in  compliance
with the  description  above,  relates costs incur.red during the  month' being
reported  to  the projected  expenditures  contained on  the  initial  report.
This Monthly Financial  Management  Report  shall be submitted  to the Project
Officer (two copies) and  the  Contracting  Officer  (one  copy)  on  the  second
Monday following the month being reported on.

     The Monthly Financial Management  Report  shall contain the data in the
format required in the initial report with the following information:

          Identification - add the  month being reported

          Vertical Axis -  dotted line  representing  the actual  cumulative
          costs incurred to date by month

          Horizontal  Axis -  red   line   extended  from the   dotted  line
          representing the current  estimated cost to contract completion.

     The  Monthly  Financial Management  Report shall  be  accompanied by  a
reporting of  costs  incurred  in managing  the  cleanup  services  portion of
                                  V-26

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
the contract (i.e.,  job  category,  labor hours,  indirect costs,  management,
travel).

     This Financial Management Report  in no  way changes the  notification
requirements of  the  Limitation  of  Cost Clause  or  Limitation of  Funds
Clause of  the contract,  nor  does  submission   of  the  report  constitute
notice as required by  the Limitation of Cost Clause or Limitation of Funds
Clause.   The notice  to  the  Contracting Officer  is  required as  a  separate
notice  in   accordance  with  the  provisions  of   said  clauses  and will  be
applicable  only to the Management portion of the contract.

Property Management Program Plan

     The Contractor  Program Manager should  prepare a  property management
program  plan in  conformance with Federal Acquisition Regulation (FAR) Part
45 - "Government   Property"  and  EPA's  "Guide  for  Control  of  Government
Property By Contractors  (Nov.  1981)."   One copy should be  provided to the
Property Administrator within 30 days following award of the contract.

Fixed-Rate Cost Report

     The Contractor  Program  Manager  should  prepare  a report  containing
actual  costs  for  all  labor  and  equipment  fixed-rate  items.   The report
shall detail  the  base  pay  to  employees as well  as  itemized  costs  for
employee benefits.   In  the  equipment  rate  area  the  report  shall detail
actual ownership  costs  to include  maintenance  and operating  costs.   This
report should  be  submitted to the Contracting Officer within 60 days after
the completion of each six-month period of the contract.

     The Contractor  Response  Manager may also be  requested by  the  OSC or
other designated  Federal  official  to provide several  reports in the format
specified  in  the Delivery  Order by  the  Ordering  Officer.   These reports
are described below.
                                  V-27

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
Site Safety Plan

     This plan covers  three  major areas:   (1)  the site  itself,  including
any  geographic  hazards   that   may  exist,  (2)  the  materials/chemicals
involved,   including  nature   of   each   (e.g.,   explosive),   exposure,
recommendation for  level  of  safety equipment to be used at site as well as
personal protection and (3) all emergency services  available  locally,  such
as  fire department,  ambulance  and hospitals,  with telephone  numbers  for
each.   The   contractor should  provide  the  plan  to  the  OSC  prior  to
commencing cleanup action for a particular site.

Work Report

     This  is a  written  work  report  prepared  in advance  of each  day's
activities  specifying  work to  be  performed and  the  number  and  types  of
personnel,  equipment,  and materials  to  be  used,  and any other activities
to  be   performed.   This  report  also documents   work  accomplished.    The
contractor  should  provide  the  plan  to  the OSC  in advance  of commencing
each phase of work on the site.

Site Progress Report

     Written  daily,  weekly,   or  bi-weekly  progress  reports  should  be
provided to  the  OSC  or  other designated Federal  official  summarizing  the
amount  of  material  treated  or  removed   from  a  site,  transportation  and
disposal methods  used, analytical  data,  and estimated or  actual  costs to
date.  The report should be submitted as  specified by  the OSC.

Contractor's Final Report

     A  final  report  will be  provided  to   the  OSC  or  other  designated
Federal official within  thirty  (30) days of the  conclusion of the on-site
work.  This  report  shall  detail  all costs,  approach used and any problems
encountered.
                                 v-28

-------
                                                     OSWER  Directive  9242.2-01B
                                                                        (10/87)
         Finally,  the  Contractor  Response  Manager provides daily oral  progress
    reports to the OSC or other designated Federal  official.
    This chapter,  together  with  Chapter  IV,  has  described  the entire  cycle
from project initiation to  project  completion  for  conducting  a  removal  using
the services of the  ERCS  contractor.   The next chapter.  Award  Fee  Performance
Evaluation  Plan,   highlights  procedures  that  may  be  used   to   award  the
contractor a fee for exemplary performance in conducting removal actions.
                                      V-29

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                               OSWER Directive 9242.2-01B
                                                  (10/87)
             CHAPTER VI
AWARD FEE PERFORMANCE EVALUATION PLAN

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
                               CHAPTER VI


                 AWARD  FEE PERFORMANCE EVALUATION PLAN


                               KEY TOPICS



                                                                     Page

The Award Fee Process                                                VI-2

Preparation of Performance Event Reports                             VI-7

Organization, Roles and Responsibilities                             VI-7

Preparation of Award Fee Performance Event Reports                   VI-9

Preparation of the Summary Evaluation Package                        VI-14

Project Officer (Evaluation Coordinator)                             VI-14

The Summary of Performance Evaluation Reports                        VI-15

Performance Evaluation Review and Award Fee Recommendation         '  VI-17

The PEB                                                              VI-17

Award Fee Computation                                                VI-19
                              VI-1

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                   CHAPTER VI

                      AWARD  FEE  PERFORMANCE EVALUATION  PLAN

    Performance of  the ERGS  contracts  requires the contractors  to  furnish  a
substantial  amount  of  labor and  equipment   services  and  materials  at  cost,
fixed rates not having  been established.   The major portion of these services
and materials are provided  by the use of  subcontracts.   Reimbursement  is on a
cost only basis because the sources and costs  therefore  cannot be  accurately
computed to  establish  a prospective fee base.  EPA believes  that  a management
fee should be  allowed  to recognize  the contractors'   risk  in providing  these
services  and  has  established  an  award  fee  pool  to achieve  this  purpose.
Excluded from  award fee  calculation  are  all  items  for  which the  contractor
will be reimbursed at  fixed rates set forth  in the contract provision entitled
"FIXED RATES FOR SERVICES -  INDEFINITE DELIVERY/ INDEFINITE  QUANTITY CONTRACT."

    Exhibit VI-1 illustrates  the  award  fee performance evaluation  process  for
the ERCS  contracts.   This  process,  which is  described  in the next  section,
consists of  two evaluation  periods each  year, each lasting  six months.   The
process pertains both  to  the ERCS zone  contracts  and  to the Regional  contracts
(mini-ERCS).   The  only difference is that the Zone contracts award  fee  process
is  conducted at EPA  Headquarters with  a  Headquarters Performance  Evaluation
Board (PEB), whereas  the  Regional contracts  award fee  process  is  held in  the
Regions with a  Regional PEB (this is  discussed in Section 3.2).   The  remaining
sections  discuss  the   process  in  greater  detail,  including  the  roles  and
responsibilities  of  EPA and  contractor  personnel   and   the  procedures  and
requirements that  are  to be  followed.

1.  THE AWARD FEE PROCESS

    The award fee  process can be divided into three major  steps:

         Step 1:   Prepare and Submit  Performance  Event Reports (PERs)
                                  VI-2

-------
                                                               EXHIB,
PERFORMANCE
   EVENT
  REPORTS
   (PER.)

   STEP1
                                                  THE AWARD FEE PROCESS
                   PER*
                                       PERs. SUUIURV
                                         OF PER*4
                                        EVALUATION
                                         PACKAGE
                                          STEP 2
PEB REVIEW
                  PEB REPORT
     FEE
DETERMINATION
 CONTRACT
MODIFICATION
& AWARD FEE
NOTIFICATION
                                                                                       STEP 3
      RM   = Contractor RwportM Manager
      PM   = Contractor Program Manager
      OSC  = On-Scan* Cooidlnalor
      DPO  = EPA DapUy Project Officer
      PO   = EPA Project Officer
      PEB  = EPA Performance Evaluation Bowd
      FDO  = EPAFMDrtMinlnallonOfflcUl
      CO   = EPA Contracting Officer
                                                                                                                                                   o
                                                                                                                                                   CO
                                                                                         o
                                                                                         H"
                                                                                         n
                                                                                         (D
                                                                                         n
                                                                                                                                                00 O

-------
                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
         Step 2:    Comment on PERs and Prepare a Summary Evaluation Package

         Step 3:    Review the Summary Evaluation Package and Make an Award  Fee
                   Recommendation.

Each step is described below.

Step 1;   Prepare  and Submit Performance Event  Reports

         The award  fee process  is  initiated  in  each Region by  the OSCs  and
         Contractor Response  Managers.  OSCs  are  responsible  for preparing
         PERs  on selected  Delivery  Orders  (active  and  closed)  implemented
         during the evaluation  period.   Contractor Response  Managers  are  not
         required to  prepare PERs on any Delivery  Orders,  but  they may do  so
         if they  choose.   Both the OSC and the Response  Manager should use  the
         same PER form for evaluation purposes (see  Exhibit  VI-2).

         If  PERs are  prepared  for  closed Delivery Orders,  PERs  should  be
         completed  and submitted  as  part  of  the  Delivery  Order  closeout
         process, rather than waiting  until the end of  the evaluation period.
         For active  Delivery Orders,  PERs should be  prepared at  the end of  the
         evaluation period.   All  OSC-initiated PERs  must  be submitted to  the
         DPO no later  than Day 5  (see  Exhibit  VI-1)  of  the award  fee  process.
         Likewise,  all  contractor  PERs  must  be  submitted  to  the  Contractor
         Program  Manager no later than Day  5.   Day  1  represents  the first  day
         of  the  award  fee  process,  which  follows  immediately  the six-month
         evaluation period.

         OSCs  should  follow  certain  guidelines  in  deciding which  Delivery
         Orders  are  to  be  evaluated.  OSCs   first  need  to ascertain  what
         activities  were  provided  for under  each  Delivery  Order.   If   the
         activities  were  only routine (e.g.,  routine  bottled water delivery,
         guard services or  fence  building),  no evaluation  is  required unless
         performance was  either  exceptional  or  substandard.   These  Delivery
         Orders should be  excluded from the  award  fee  process.   The  OSC should
         then  determine  the  number  of remaining Delivery  Orders.   If fewer

                                  VI-4

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                                                    OSWER Directive  9242.2-01B
                                                                        (10/87)
         than six,  all must be  evaluated;  if between  six and  ten,  at  least  80%
         must be evaluated; if  over  ten,  at least 70% must  be  evaluated.   In
         selecting  Delivery  Orders  to  evaluate,   the OSC  should be  sure  to
         include sites where alternative  technologies were used  and sites  of
         particular  significance for  any reason.

         Upon receipt of the OSC's PERs,  the  DPO  is  responsible  for  reviewing
         the forms for completeness and  accuracy.   The PERs should be  examined
         to make sure that  the  ratings  provided are supported by  the  narrative
         comments.   Narrative  comments   should  provide  sufficient  detail  to
         explain how and why performance was either meritorious  or deficient.

         Upon receipt of the contractor  PERs,  the Contractor  Program  Manager
         is responsible  for reviewing them for  completeness and accuracy.   The
         Contractor  Program  Manager  should make  certain  that  the ratings  on
         all  PERs  reflect  closely and  fairly  the   supporting  comments  that
         describe contractor  performance. •  Modifications  should be  made  as
         appropriate.   By Day 7 of  the  award  fee process,  the  original  PERs
         should be submitted to the  EPA Project  Officer,  and copies  should be
         forwarded to the Regional DPO.

Step 2:   Comment on  PERs and Prepare  a Summary Evaluation Package

         Upon  receipt  and  review of the  contractor and  EPA  PERs,  the  EPA
         Project  Officer,  who   also   serves  as  the  Award  Fee  Evaluation
         Coordinator,  is responsible for  commenting   on  each  PER  by  providing
         an  assessment   and  rating  of   the contractor's   performance  on  the
         assignment, based on information  contained on the PER as supplied by
         the  OSC  and,  if  submitted,  by the Contractor Response  Manager.   The
         Project Officer should  provide  these  assessments  and  ratings on  the
         EPA  PERs  only.   It  is  not necessary  to comment on the  contractor
         PERs, since they will  not be submitted  to the PEB.  It  is  important,
         however, that  the  Project  Officer  review   the  contractor's  PERs  in
         order  to   gain  an  idea  of how  the  contractor  evaluated  its  own
         performance on  each Delivery Order.  Also,  the  Project Officer should
         be aware that most  likely there  will be some  PERs  submitted by  the

                                  VI-5

-------
                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         contractor on  Delivery  Orders that  were not  evaluated  by  the  OSC.
         These PERs should not be  evaluated by the Project  Officer  and should
         not be  submitted to  the  PEB.   These fall  in  the remaining  20-30%
         range where not all  Delivery Orders are submitted to the PEB.

         In reviewing  and comparing  the  EPA and contractor  PERs, the  Project
         Officer may identify discrepancies between EPA's and the  contractor's
         ratings.  The  Project Officer should describe any  such discrepancies
         on the PER.   It is. not necessary, however,  for the  Project Officer  to
         resolve  these  EPA-contractor  discrepancies  but  rather to make  sure
         that  the PEB  is  aware that  there are differences  in how EPA  and  the
         contractor have  assessed  the  contractor's  performance.  The  Project
         Officer may need to  seek  explanatory information  from  the OSC,  DPO,
         and/or Contractor   Program    Manager   to   use   in  describing   the
         discrepancies  on the PER.

         After commenting on all PERs,  the Project  Officer should prepare  a
         package  of  all  the  PERs,  including a  Summary  of  Performance  Event
         Reports.   The  Summary  of  PERs  is  a   one-page  compilation  of  all
         individual PERs  and  is  intended  to help  the  EPA Evaluation  Board
         quickly assess the overall  contractor performance  for   the  evaluation
         period.   This  package  should  be  submitted  to the  PEB no  later  than
         Day 20 of the  award  fee  process.

Step  3:    Review  the   Summary  Evaluation  Package   and   Make   an  Award  Fee
Recommendat ion

         The PEB  shall  convene no  later than Day 30  of the award fee  process.
         Upon  receipt of  the  package  of  PERs and the  Summary   of  Performance
         Event Reports,  the  PEB  is   responsible  for  reviewing   and  evaluating
         the contractor's  performance.  The PEB should  then  compute  the amount
         of award fee  that will be  recommended for award to the  contractor.
                                  VI-6

-------
                                                    OSWER Directive  9242.2-01B
                                                                        (10/87)
         Following  conclusion of  the  PEB  meeting,  the EPA  Project  Officer,
         serving  as  PEB Executive  Secretary,  is  responsible  for preparing  a
         report  of  the  PEB' s  findings  and  recommendations.   This  must  be
         completed  by Day 40 of  the  award fee process.

         Upon  receipt  of  the   PEB's   report   and  recommendations,   the   Fee
         Determination Official  must make  a  final determination  of the award
         fee  and  forward  the   report  and  approved   recommendation   to   the
         Contracting Officer.  This  should  be completed by Day 47 of the award
         fee process.

         By  Day  50  of  the  award  fee  process,  EPA's   Contracting  Officer  is
         responsible  for  issuing  an  award  fee   notification  letter  to   the
         contractor.

         Only  after  receipt  of  the  notification  letter  is  the  contractor
         allowed to invoice  for  the  award fee payment.

2.  PREPARATION OF PERFORMANCE EVENT REPORTS

    This section describes the organization,  roles and  responsibilities  of EPA
Regional and ERGS  contractor  personnel who are involved in preparing PERs.  It
also discusses the  PER form and how it  should be filled out.

    2.1  Organization, Roles and Responsibilities

         There  are  four  distinct   types  of   EPA  and  contractor  personnel
    involved with preparation and processing  of PERs  at the Regional level:

              EPA OSCs
              EPA DPOs
              Contractor Response Managers
              Contractor Program Manager.

    The roles and responsibilities of each are  highlighted below.
                                  VI-7

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
EPA OSCs

     OSCs  are   the   Ordering   Officers  who  initiate  orders   for   ERGS
contractor services  and resources.  They  are  responsible  for  day-to-day
management  and  monitoring  of  contractor  performance  in  carrying  out
removal actions.   As part of  this responsibility,  they  prepare  PERs  for
selected Delivery  Orders  on which they have worked during  the  evaluation
period.  Details concerning the preparation of PERs are discussed later in
this section.

EPA DPOs

     The DPO is  responsible  for reviewing all OSC-initiated PERs to ensure
that they have  been  completed  accurately  and fairly.  The  DPO  also must
ensure  that  the OSC  ratings  are  supported  by the accompanying narrative
justification.   If there are any problems with  the way  in which  the  OSC
has  completed   a  PER,  it  is  the  DPO's  responsibility  to discuss  these
problems with the OSC,  determine  why  the particular racing was  given,  and
then  make  a  decision  as  to   whether  or  not  the  evaluation   should  be
changed.  If  the DPO  concludes  that the evaluation should  be  changed,  the
ratings should be adjusted, as  appropriate.

     Once the DPO  is  satisfied with the PERs,  they should  be submitted by
Day  7  of the  evaluation  process  to  the  Project  Officer  for  review  and
evaluation.   Copies should be  maintained in a central  file  for  historical
and reference purposes.

Contractor Response Managers

     Contractor  Response  Managers  may  voluntarily prepare   PERs  on  any
Delivery  Orders   implemented   during   the  evaluation  period.    This  is
entirely at the discretion of  the Response Manager.  PERs  prepared by the
Response Managers  must  be forwarded  to the Contractor Program  Manager by
Day 5 of the  award fee process.
                              VI-8

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
Contractor Program Manager

     The Contractor  Program  Manager receives and reviews  PERs  prepared by
the Contractor Response  Managers.   In reviewing PERs, the  Program  Manager
is  responsible  for  ensuring  that  they have  been prepared  accurately  and
fairly and that  their ratings are supported by  the  accompanying narrative
justification.  The  Program  Manager should discuss any PER problems (e.g.,
ratings that  are  not justified)  with the Contractor  Response  Managers  and
adjust  ratings  and  assessments  appropriately.   The  Contractor  Program
Manager also  is  responsible  for  providing a written  statement  to  the  ERCS
Project Officer  (Evaluation Coordinator)  at  the close  of each evaluation
period that  specifies the total  amount  billed  to  EPA during  the  period.
The billings are to be divided into two components:

          Total  fixed rate  billings  —  The total  amount  billed  by  site
          based upon  the fixed rates specified in Article B-l

          Total  billings to  be   reimbursed  at  cost —  The  total  amount
          billed' for  subcontract  costs   for  off-site  analysis, disposal,
          transportation and  other materials  and services  billed  at  cost,
          travel  and  subsistence,  and   any  other  items  billed   at  cost
          including  items billed at provisional rates.

2.2  Preparation of Award Fee Performance Event Reports

     PERs are required  for  selected Delivery  Orders (active  and  closed)
implemented  during  the  evaluation  period.   EPA  is required  to  complete
these  PERs;  the  contractor  can  voluntarily prepare  PERs.   A  copy  of  the
PER  form,  which  should  be  used  by both EPA  and the  ERCS contractor, is
shown  in Exhibit VI-2.
                              VI-9

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                                                        EXHIBIT VI-2
                                    OSWER  Directive  9242.2-Q1B
                                                                   (10/87)
  CONTRACT NO.
  REPORTING ELEMENT
                                   CPAF CONTRACT INDIVIDUAL PERFORMANCE EVENT
                             CONTRACTOR
  PERFORMANCE EVALUATION CATEGORY
                                                                            DATE(S) OF REPORTED EVENT
  WAS CONTRACTOR NOTIFIED? |	1  YES   |	1  NO   BY WHOM?
                                                                                       WHEN?
  DESCRIPTION OF PERFORMANCE EVENT

       CATEGORY
ADJECTIVAL
RATING-
SUPPORTING COMMENTS FOR OVERALL
CATEGORY RATING
   A. MANAGEMENT

   1.  Adequacy and timelines* of subcontracting and purchasing
      procedure and documentation supporting: awartand
      purchasing decisions; extent of competition; basis lor
      non-competitive selections; Contracting Offlcer/OSC
      consent.

   2.  Prompt and accurate submission of tubcomnct reports.

   3.  Review of subcontractor vouchers lor reasonsbleness and
      accuracy.

   4.  Coordination and liaison with tubcomracton.

   5.  Practice and •n)orc»m«nt of appropnaie ufety meaaure*
      on KI».


   6. Adequacy of dedafon to ute aubcontracted effon in lieu of
     performance by prime.

   7. Adequacy of program and Me management In directing and
     tupportlng performance of the cleanup effort.

   9. Adequacy and tlmeHneae of (ubmleelon of al reports.

   9.. Compliance with contract terms lor subcontracted services.


                Overall Rating for Category:
  8. SCHEDULE

  1. Prime and subcontractors' adherence to trie wont schedule.

  2. Prime monitoring and coordination of subcontractors.

                Overall Rating for Category:
  c. COST

  1.  Overall control of cost Incurred Including subcontractors.

  2.  Accuracy and completeness of cost data and cost reports.
     Invoices, and supporting data.

  3.  Prime monitoring of subcontractor cost.

  4.  Overall control of program management costs.

                Overall  Rating for Category:
     Supenor (*), Samfaoary (0). Sutatwrtard (-;
», o, OR -
                           SIGNATURE OF MONITOR
                                                                                        DATE
COORDINATORS ASSESSMENT
*, 0. OR -
                           SIGNATURE OF COORDINATOR
                                                                                        DATE
                                                          VI-10

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     In completing the  top  one  third of the PER,  the following information
should be provided:

          Contract No.;   Write the contract number

          Contractor;  Write the contractor's name

          Task Order Mo.:   Write the Delivery Order Number

          Reporting Element:  This is the Region (e.g., Region III)

          Dates  of   Reported  Event:   The  period  of  performance  of  the
          Delivery Order being evaluated

          Performance Evaluation:  The  task area  as shown in the Statement
          of Work.

     In using  the PER  form to evaluate  the  contractor's performance  on  a
Delivery  Order,  the evaluator  should  use  the three  performance  criteria
listed on the PER as the basis for this  evaluation.  These  criteria,  which
are presented  in detail  in Exhibit VI-3,  cover  three  important  areas of
performance  —  management,  schedule,  and cost —  that  were  developed to
provide  a uniform basis  by which  to  evaluate any work performed by the
contractor.

     Next  to each of  the  criteria  on  the  PER  is  a  box  for  rating the
contractor's performance.   The ratings are as follows:
                       Performance (%)
    Ratings	      	Points	     	Definition	
Superior ( + )           Baseline % for       Contractor's performance
                      satisfactory     •    significantly exceeds
                      performance plus     requirements
                      21% to maximum
                      total of 100%
                              VI-11

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                  EXHIBIT VI-3


                      ERGS Performance Evaluation Criteria

Management

         Adequacy  and  timeliness of  subcontracting  and  purchasing  procedures
         and documentation  supporting:   award and  purchase decisions;  extent
         of  competition;   basis   for  non-competitive  selections;  Contracting
         Officer/OSC consent.

         Prompt and accurate submission of subcontract reports.

         Review of subcontractor  vouchers for reasonableness and accuracy.

         Coordination and liaison with subcontractors.

         Practice and enforcement of appropriate  safety measures on site.

         Adequacy  of  decision   to   use  subcontracted  effort  in   lieu   of
         performance by Prime.

         Adequacy  of  program  and site  management in  directing  and  supporting
         performance of the cleanup  effort.

         Adequacy and timeliness  of  submission of all reports.

         Compliance with contract terms for subcontracted services.

Schedule

         Prime and subcontractors' adherence to site  work schedule.

         Prime monitoring and coordination of subcontractors.

Cost

         Overall control of cost  incurred, including  subcontractors.

         Accuracy  and  completeness  of  cost  data and  cost  reports,  invoices,
         and supporting data.

         Prime monitoring of subcontractor cost.

         Overall control of program  management costs.

-------
                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
    Ratings
Satisfactory (0)
Substandard (-)
   Performance (%)
       Points	
Baseline % for
satisfactory
performance plur
or minus 20%
0% to Baseline %
for satisfactory
performance less
                                                  Definition
                                           Contractor's performance
                                           meets requirements
                                           Contractor's performance
                                           is less than required.
                                           There are very few areas
                                           of good or better
                                           performance.
Performance  (%)  points  are used  to calculate the percentage of  award  fee
payable in accordance with the procedures described  in  Section 3.2  of  this
chapter.

     In addition to  rating  each individual criterion, the evaluator should
also provide supporting comments  to justify the rating given.  It  is  very
important  that  these  comments, particularly  for criteria  rated Superior
( + )  or  Substandard  (-),  include  examples  of how  and why  performance  was
either  meritorious  or deficient.    Space  is provided  on the PER for  this
purpose.  If additional space  is  needed, plain bond  paper  should  be  used
and then attached to the  PER.   The PER also provides for an overall rating
for each  major  criterion  (i.e.,  management, schedule,  and cost)  and  for
all three criteria  taken  together.   Once the PER has been completed by the
OSC or Contractor Response Manager, it should be signed and  dated.   A  copy
of the PER must  be maintained in EPA Regional office files.

     A  space  also  is provided  at  the  bottom of  the  PER  for  the Project
Officer  (Evaluation  Coordinator)  to  assess  the contractor's  performance.
The Project  Officer should also  use this space  to  describe discrepancies
in  ratings  and  evaluations between EPA and  the  contractor.  The  Project
Officer  should  always  complete   the  same  PER   that  was  completed  and
submitted by the OSC or DPO.
                              VI-13

-------
                                                     OSWER Directive 9242.2-0IB
                                                                        (10/87)
         In order  to facilitate the preparation  of  PERs,  both by EPA  and  the
    contractor, it is suggested  that  they be completed  as  soon  as a  Delivery
    Order  has  been  closed,  rather than  waiting until  the award fee  process
    begins.  This will not only expedite the preparation of PERs,  it will  also
    prevent an excessive  amount  of paperwork that otherwise would be  necessary
    at the end of  the evaluation period.   In addition,  by completing  the  PER
    immediately  following   the   completion  of  the   Delivery  Order,   the
    contractor's  performance will  be  fresh in the mind  of the  individual  who
    is evaluating  the work  on  the Delivery Order.  By waiting until  the end of
    the evaluation period,  relevant information  may be  forgotten or  be  more
    likely to be misinterpreted  than  if the PER is filled out at the  time when
    the Delivery Order is completed.

3.  PREPARATION OF THE SUMMARY EVALUATION PACKAGE

    This section discusses  the  roles  and responsibilities  of  the  ERGS  Project
Officer,  who   is   also  referred  to  as the  Evaluation  Coordinator.    It  also
describes the  preparation of the  Summary of Performance Evaluation Reports.

    3.1  Project  Officer (Evaluation Coordinator)

         The ERCS  Project Officer is responsible  for  organizing  and  overseeing
    the  award fee  performance  evaluation  process.   In  this  capacity,  the
    Project   Officer  will   serve  as  Evaluation   Coordinator.    Specific
    responsibilities include:

              Receiving,  reviewing,  and completing PERs submitted by  the OSCs
              and  the contractor

              Ensuring  that  the  contractor  submits  total  fixed  rate  and
              subcontract billings for the period

              Obtaining  information,  where necessary, on  discrepancies in EPA
              and  contractor ratings as a means of  explaining the reasons and
              rationale for these discrepancies to the PEB
                                  VI-14

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
          Preparing  an   evaluation  package   for   the   PEB   containing
          individual PERs and a Summary of PERs

          Attending  the   PEB   review  meetings,  serving  as  PEB  Executive
          Secretary,   and  presenting    information   contained   in   the
          evaluation package.

     Upon receipt  of the  PERs from each Regional EPA  office,  the  Project
Officer should review  each PER.   Particular attention  should  be given  to
comparing EPA's  assessments  with  the  contractor's   assessments,  whenever
possible.   Discrepancies  in ratings should be noted by  the  Project  Officer
on the PER.   The  Project Officer can modify the  ratings  in either the EPA
or contractor PERs,  as  appropriate.   Any  such  modifications  should  be
explained in the box designated for "Coordinators Assessment."

     In reviewing  the PERs,  the  Project Officer  should  assess evaluation
ratings and supporting comments  for consistency and  clarity.   If  problems
are  encountered,   the  Project   Officer  should  resolve   them  through
discussions with the OSC  -who originated the PER.

     After  reviewing and  commenting  on  each  PER,  the  Project  Officer
should sign  and date  the  PER, and assemble it with other  PERs  from that
Region for submission to  the PEB.

3.2  The Summary of Performance Evaluation Reports

     Prior to submitting  the  PERs,  however,  the Project   Officer  should
prepare a  Summary of  Performance  Evaluation Reports.  Exhibit VI-4 shows
the  form  that should  be used for  this purpose.  The  Project Officer  is
responsible for completing this  Summary,  which provides a quick assessment
of  the contractor's overall  performance.   Contractor  and  EPA  overall
ratings are  listed  for  each  Delivery  Order  evaluated  during  the  period,
along  with  a brief  description  of the  activities carried  out under  the
                              VI-15

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                           EXHIBIT VI-4

             SUMMARY OF PERFORMANCE EVENT REPORTS
                                              OSWER Directive 9242.2-01B
                                                             (10/87)
  CONTRACT
   DELIVERY
    ORDER
   NUMBER
CONTRACTOR
REGION
                                          EVALUATION PERIOD
                                       FROM:
                                                    TO:
TOTAL
HOURS
          RATING
                         EPA
              CON-
             TRACTOR
          DESCRIPTIVE TITLE
              OF WORK
EVALUATION COORDINATOR
SIGNATURE
                   DATE
                               VI-16

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    Delivery Order.   Upon completion  of this  one-page  Summary,  the  Project
    Officer should submit  it,  along  with the PERs,  to the PEB for review.   The
    evaluation  package  must  be  submitted  to  the  PEB  by  Day 20  of   the
    evaluation process.

4.  PERFORMANCE EVALUATION REVIEW AND AWARD FEE RECOMMENDATION

    This  section  discusses  the  role  of  the PEB  in reviewing the  Evaluation
Package submitted by  the Project  Officer.   It also  describes  the method  for
calculating award fee and provides an example of how this is done.

    4.1  The PEB

         The Performance  Evaluation  Board  will  conduct an  in-depth  review of
    information contained  in the  performance  evaluation package  submitted by
    the  ERGS  Project  Officer.   The  PEB  will  rate  the  contractor on  each
    criterion and sub-criterion  listed in Exhibit  VI-3.  The objective  of  the
    PEB  is  to  evaluate  the  contractor's  performance  and to  recommend  an
    appropriate award fee in accordance with the contract's provisions.

         The  PEB  will  consist  of  a  chairman,  an executive  secretary,   and
    several  board   members   all  appointed  to   evaluate   the   contractor's
    performance.  The  EPA  officials  who will  serve on  the  PEB are  listed in
    Exhibit  VI-5.   As  shown,   each  Region  must   decide  who  will  serve  as
    Chairman of its PEB.   If Alternative  1  is chosen, it will  be  the Regional
    Division Director  or  Branch  Chief.   If Alternative  2  is selected,  it  will
    be the PCMD Eastern or Western Response Section Head as appropriate.

         The PEB  will  rate  the contractor on each  criterion and  sub-criterion
    listed  on  the PER shown in  Exhibit VI-2, based  upon assessments provided
    by the  OSCs,  Contractor  Response Managers, and the ERCS Project Officer.
    The PEB  will  then  establish  consensus ratings  for each Region, taking  into
    account whether  the  contractor has consistently provided performance of  a
    high/low   quality;  whether  the  contractor  has  shown  a  substantial  or
    steady progression of improvement over the previous  evaluation periods  and
                                  VI-17

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                  EXHIBIT VI-5


                        ERGS Performance  Evaluation Board


Performance Evaluation Board for ERGS Zone Contracts


Chairman:  Director, Emergency Response Division

Members:   Deputy Director, Emergency Response Division (Alternative Chairman)

           Eastern or Western Section Chief,
           Response Operations Branch

           Regional Member (one per Region)

           Cognizant Zone ERGS Contracting Officer,
           Contract Specialist, or Contract Administrator

           ERT Representative

Performance Evaluation Board for ERCS Regional Contracts

Alternative 1 -

    Chairman: Regional Division Director or Branch Chief

    Members:  Cognizant Regional ERCS Contracting
              Officer, Contract
              Specialist, or Contract Administrator

              Regional ERCS Project Officer

              Senior On-Scene Coordinator

Alternative 2 -

    Chairman: PCMD Eastern or Western Response Section Head

    Members:  Cognizant Regional ERCS Contracting Officer,
              Contract Specialist, or Contract Administrator

              Regional ERCS Project Officer

              Senior On-Scene Coordinator
                                 VT-13

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
whether  the   contractor,   although   receiving   a  consensus   rating  of
satisfactory or  above,  has  received  justified substandard  ratings  on  an
individual  PER.

4.2  Award Fee Computation

     The award  fee  earned  for  each  award  period  will  be  computed  as
follows:

          The  PEB  shall determine  the  baseline award  fee  amount for the
          midpoint   of   the    satisfactory   performance    range   after
          establishing  the probable fee amount  the contractor  would  have
          earned  had the  effort been  performed on a  Cost-Plus-Fixed-Fee
          basis.   In establishing the  probable fee  amount,  the  PEB  shall
          consider the  contractor's performance and cost risks  during the
          period.  Such risks  include, but  are  not  limited  to,  use  of
          innovative   technology;   urgency   of  actions   to   which   the
          contractor  responded;  cost of services  provided;  need' to  obtain
          and   use   scarce    or   hard-to-obtain   resources;   contractor
          indemnification and  liability issues.   The  baseline   award fee
          amount  for  satisfactory  performance  is  the  amount  of available
          award fee pool that,  when added to the base fee amount earned by
          the  contractor  during the period,  is equal to the  probable fee
          amount established by the PEB.
                              71-19

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
          Once  the  baseline  award  fee amount  has  been determined,  the
          baseline  percentage  for   satisfactory  performance  shall   be
          calculated by  determining  the percentage the baseline award  fee
          amount  for  satisfactory performance is  of  the available  award
          fee   amount.    The   baseline   percentage   for   satisfactory
          performance shall be used to determine the  Performance  (%)  Point
          ranges  assigned  to  each rating  according  to  the  formulae  set
          forth in section 2.2 of this chapter.

          Each  PEB member  evaluates   contractor  performance  relative  to
          each evaluation  criterion and  assigns  a rating and a Performance
          (%)  Point  rating  in  the   range  assigned  to  the  rating  as
          specified in Section  2.2.   Individual  PEB member Performance (%)
          Point ratings are combined  to yield a consensus  Performance  (%)
          Point score for each criterion.

          The award. fee  pool  available in the period  is  multiplied by the
          evaluation  criteria  weights  yielding  that  period's  available
          award fee amount for each evaluation criterion.

          For  each  evaluation  criterion,  the  consensus Performance  (%)
          Point rating is  multiplied  by the award available,  which yields
          the amounts to be awarded for each criterion for that period.

          The criterion  amounts are  summed,  yielding the  total amount to
          be awarded to the contractor for the period.

A sample calculation is provided below to illustrate how this will  be done:

     1.   Total award fee available:   379,056
                              VI-20

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     2.    Criterion   Weights   Pool
Category
 Pools
Consensus
 Score
Award
Amount
          Cost         .25    $79,056 = $19,764 x    77%
          Management   .50    $79,056 = $39,528 x    85%
          Schedule     .25    $79,056 = $19,764 x    69%
                        $15,218
                        $33,599
                        $13,637
          Six-Month Award Fee Total  =  $62,454

     Following the  PEB meeting  at which the  award fee  recommendation  is
reached,  the  Executive  Secretary (Project Officer)  will  prepare a  PEB
report that  will  be  the  official  record  of  the PEB  meeting and  an  award
fee  letter  for approval and signature by the  Fee  Determination Official.
This letter will inform the  contractor  of the  amount and basis  of the  fee
award.  The  Fee  Determination Official  will review the  PEB  report and the
fee recommendation made by  the  PEB and make a  final  determination of  fee.
Following  final  determination  of  the  fee,  the  Contracting  Officer  will
prepare a modification to the contract  implementing the  award  fee decision
and  send  it,  together  with  the  award  fee  notification  letter, to  the
contractor.  The contractor  will,  in turn,  submit  an invoice  for payment
of the award fee.
                              VI-21

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                                           OSWER Directive 9242.2-01B
                                                              (10/87)
                         CHAPTER VII


INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM CONTRACTORS AND

             FEDERAL, STATE, AND LOCAL AGENCIES

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
                              CHAPTER VII


     INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM CONTRACTORS AND

                   FEDERAL, STATE,  AND LOCAL AGENCIES


                               KEY TOPICS



                                                                     Page

Superfund Contractors                                                VI1-2


Technical Assistance Team (TAT) Contractors                          VII-4


Underground Storage Tanks (UST) Program                              VII-4


Remedial Planning (REM) and Field Investigation Team (FIT)           VII-5
Contractors


Technical Enforcement Support (TES) Contractors                      VII-7


Contract Laboratory Program (CLP)                                    VII-8


Response Engineering and Analytical Contract (REAC)                  VII-9


Other Federal Agencies                                               VII-9


U.S. Coast Guard (USCG)                                              VII-9


Other Federal Agencies                                               VII-11


State and Local Government Agencies                                  VII-11
                                 VII-1

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                   CHAPTER VII

          INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM CONTRACTORS AND
                       FEDERAL, STATE, AND LOCAL AGENCIES

    Interactions   among   the   ERCS  contractors,   other  Superfund   program
contractors,  and  Federal,  state  or local agencies  that complement  the  ERCS
contracting  effort are  likely  to occur  during implementation  of a  removal
action.  Contractors  and agencies  that  may  interact  with  the  ERCS contractor
are shown  in Exhibit  VII-1.   Communication  and careful coordination  must  be
emphasized  to assure optimum  use of services  offered by each,  as  well  as  to
execute a  smooth and timely response to the  removal  at hand.    The following
sections  briefly  describe  the functions of  other  Superfund contractors,  the
situations  in which  the  ERCS contractors may interact with  these contractors
or  other   military   or   civilian  entities,   and  basic  guidelines  to  help
coordinate the interactions.

1.  SUPERFUND CONTRACTORS

    The ERCS contractor is one of several Superfund contractors that may  be  on
a  site   during   a   removal.    Although  each   contractor   is  independently
responsible for  performing  specific functions,  duplication of  efforts can  be
avoided by  coordination  of  the contractors'   efforts by  EPA OSCs  and other EPA
personnel responsible for overseeing contractors at a site.  Contractors  that
may be on  site  when an  ERCS contractor  responds to  a  Delivery Order  are
enumerated below.  The EPA  OSC will mediate   interactions between  the  ERCS and
other  Superfund contractors.
                                     VII-2

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                                            OSWER Directive 9242.2-01B
                                                              (10/87)
                        EXHIBIT VIM

    ERGS Contractor Interactions With Superfund Contractors
                      and Other Agencies
REMEDIAL
PLANNING
ZONE
(REM)

FIELD
INVESTIGATION
TEAM
(FIT)
TECHNICAL
ASSISTANCE
TEAM
(TAT)
UNDERGROUND
STORAGE
TANKS
(UST)
TECHNICAL
ENFORCEMENT
SUPPORT
(TES)
CONTRACT
LABORATORY
PROGRAM
(CLP)
ENVIRONMENTAL
EMERGENCY
RESPONSE
UNIT
(EERU)
SUPERFUND CONTRACTORS
                      ON-SCENE COORDINATORS
                            ERGS
                        CONTRACTORS
 STATE AND
   LOCAL
GOVERNMENTS
FEDERAL AGENCIES
U.S. COAST
GUARD
U.S. NAVY
U.S. ARMY
COE

OTHER
AGENCIES
                            VII-3

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    1.1  Technical Assistance Team (TAT)  Contractors*

         The Technical Assistance Team (TAT)  contracts were designed by  ERD  to
    provide  technical  and management  assistance to  the  removal  response  and
    prevention program.   TAT contractor support  tasks during  a  response  may
    include the following activities:

              Response monitoring
              Work plan development
              Response documentation
              Damage assessment
              Federal disaster assistance activities.

         It  is  highly likely that  the OSC will have both the  ERGS  contractor
    and the  TAT  contractor  on  site simultaneously  during a   removal  action.
    The  TAT  contractor  may  provide   support  to   the  OSC  by  assisting  in
    monitoring the progress  of  the response  action and by helping the  OSC  in
    performing various  cost  control functions  to verify and  document  cleanup
    costs.    The  TAT   contractor   assumes   only  a  support    role   in   these
    situations, directing  all  comments or recommendations concerning  the  work
    of  the  ERGS  contractor  to  the OSC.   The  TAT may not  supervise the  ERGS
    contractor.

    1.2  Underground Storage  Tanks (UST)  Program**

         Under  the  Superfund  Amendments  and  Reauthorization  Act  of  1986
    (SARA),  EPA's  Office of Underground  Storage Tanks  (OUST)  has  been given
    authority to undertake corrective  action  with respect  to any release  of
*   For more  information  about  the  TAT contracts  and possible  interactions
    with the  ERGS  contractors,  refer  to  the TAT  Contract  User's  Manual  or
    write   or  call  TAT   Contract   Project  Officer,   at   U.S.   Environmental
    Protection  Agency,   401   M   Street,    S.W.,   Washington,   D.C.   20460
    (FTS 382-2458).
**  For further  information  regarding  the  UST  contracts,  write  or  call  the
    Office  of Underground Storage Tanks,  U.S. Environmental  Protection Agency,
    401 M  Street,  S.W.,  Washington,  D.C.   20460  (FTS 382-4756).
                                     711 -4

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
petroleum into  the environment  from  an underground  storage  tank  if  such
action  is  necessary  to  protect  human  health  and  the  environment.   A
Leaking  Underground  Storage  Tank  Trust  Fund  (LUST)  of  S500  million
separate and distinct from  Superfund has been established to provide funds
for these corrective actions.

     In responding  to  petroleum  releases  from underground  storage tanks,
the OSC in  charge  of  the Federal  response  may use the ERGS contractor, as
well as the TAT contractor,  to provide support  in  carrying  out  the cleanup
effort.   The  type  of assistance provided  by  the ERGS  contractor will be
the  same   as  that  provided  under  CERCLA  (i.e.,  containment;  cleanup;
disposal,  etc.).   It  is  EPA's policy that most responses will be conducted
by responsible parties,  or States under cooperative agreements  with EPA or
under  State-authorized   programs.   EPA  will   undertake  a  response action
only in instances where there is a major public health  emergency and where
no State or responsible party is able to respond  in a timely manner.

1.3  Remedial   Planning   (REM)    and  Field   Investigation   Team   (FIT)
     Contractors*

     The  REM and FIT  contracts  provide  technical and  management  services
necessary  to  successfully  implement  the  remedial response  program.   The
FIT   zone  contractors   provide   support   in   the    conduct    of   field
investigations  (e.g.,   preliminary  assessment  and  site  inspection  of
hazardous   substance  sites)   in  order  to   assess   initially  a  site's
situation.  These  pre-remedial  activities aid  in determining  the need for
removal or  remedial  response activities.  For  example,  the FIT  contractor
aids EPA  in ranking sites for inclusion in the National Priorities  List.
For  further  information about the REM contracts and how they relate to the
ERGS  contracts,  write  or  call:   Hazardous  Site  Control   Division,  U.S.
Environmental  Protection  Agency,  401  M  Street,  S.W.,  Washington,  D.C.
20460  (FTS 382-2339).   For  the  FIT  contracts,  write  or  call:  Hazardous
Site Evaluation Division, U.S. EPA, Washington, D.C.  20460   (FTS 475-9748)
                                 VII-5

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
     The  REM contractors  support  the  Superfund  program  in  three  major
areas:

          Remedial   planning   activities  involving   the  identification,
          evaluation  and  recommendation  of   remedial   response  options
          (e.g., remedial investigation and feasibility study)

          Implementation of expedited  response  actions (ERAs) (e.g., fence
          construction,  drum  removal)  using  removal   authorities  required
          at sites that will later undergo longer-term remedial measures

          Technical and  management  support  activities, enforcement support
          and community relations.

     The  REM and  FIT zone  contractors  and  the  ERGS contractor  may  be
required  to coordinate  activities  in  responding  to hazardous  substance
releases  when  the response  status  of  a site  changes  (i.e., removal  to
remedial  or  vice  versa).    This  may  occur  in  any  of  the  following
situations:

          A  removal  action  is required  based  on the   results  of  field
          investigation activities conducted by the FIT contractor

          A  removal  action  is  necessary at a  site  undergoing pre-remedial
          activities because of unanticipated threats

          Determination  of  a  remedial  action  may  be   required  after  a
          removal has been completed

          Emergency  response  must  be  initiated  based   on   a  change  in
          conditions at a site  where a remedial action is  in progress.

     EPA  personnel  responsible  for  overseeing   the  response   and  the
contractor used  at a  site  will be  determined by  the  site's current status
(e.g., removal  response  —  OSC and  ERGS  contractor;   remedial  response  —
                                 VII-6

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
RPM  and  REM  and   FIT  zone   contractors).    Cooperation  among   these
individuals  is  essential  for a  smooth  transition  of  responsibility,  an
efficient interchange  of  site-specific information,  and a  timely  removal
response.

1.4  Technical Enforcement Support (TES) Contractors

     The  Office  of  Waste Programs  Enforcement (OWPE)  has  responsibility
for compliance  actions and  for  recovering  Federal  funds  expended  under
CERCLA,  and  for  assuring compliance with RCRA.  The  Technical  Enforcement
Support  (TES)*  contracts  were awarded  to  assist  OWPE  in  the  following
services which include, but are not limited to:

          Private investigations
          Risk/exposure assessments
          Responsible party searches
          Title searches
          Acquisition and analysis of financial records
          General case development support.

The  TES  contracts   will  not  duplicate  the  efforts of  other  contracts
awarded  by the Office of Emergency and Remedial Response  (OERR);  they are
strictly enforcement contracts to provide support to OWPE.

     The TES  contractor  may  be on  site during a  removal  conducted  by an
ERCS  contractor.   The  OSC  is  responsible  for coordinating  activities of
the two  contractors  to avoid duplication of efforts  and  to  encourage the
exchange of pertinent information.
For  further  information  on  the  TES  contracts and  situations  that  may
involve  the  ERCS  contractor,  write  or  call  Office  of  Waste  Programs
Enforcement,  U.S.  Environmental  Protection  Agency,   401  M  Street,  3.W.,
Washington, D.C.  20460  (FTS 382-4830).
                                 VII-7

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
1.5  Contract Laboratory Program (CLP)

     The Contract  Laboratory Program (CLP) was established  by  EPA in 1979
to provide chemical analytical support in  the  investigation  ?.nd cleanup of
hazardous  substance  sites.    This   is  accomplished  through a nationwide
network  of contract  laboratories  having  the  analytical  capabilities  to
assist in the following functions:

          Identifying threats to public health and the environment
          Assessing risk
          Instituting remedial response
          Initiating response actions.

     In emergency situations, an OSC normally will not use  the  CLP because
it  is  difficult  for the  CLP  to   provide  a  24-hour  turnaround  time for
sample analyses.   However,  the OSC may be able  to use the  CLP analytical
services when the  request  lead time  is sufficient  and the data turnaround
time for sample results is greater  than 24 hours.
           conducted  by the  CLP is  coordinated by  the Sample  Management
Office  (SMO)*  through  the  EPA Regional Sample  Control  Center  (RSCC).   The
SMO  has  developed  a  manual  entitled  User's  Guide   to  the  Contract
Laboratory  Program  which  describes  procedures  for  using  the  CLP  and
provides  a  complete  description  of  all   analytical   services,   sample
requirements, and reports offered under the program.

     Additional  information  on   alternative  Superfund  sample  analysis
resources  available   to  the  removal  program  is  described  in  the  EPA
memorandum   "Analytical   Support   for  Superfund",   Director   of   OERR,
March 20, 1986.
For  further  information about  the  CLP,  write  or  call:   CLP-Mational
Program  Manager,  Hazardous  Site Evaluation  Division,  U.S.  Environmental
Protection  Agency,   401  M   Street,   S.W.,   Washington,   D.C.    20460,
FTS-382-7906.

                                 VII-8

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                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
    1.6  Response  Engineering and Analytical  Contract  (REAC)

         As of  mid-September  1987,  the  Response  Engineering  and  Analytical
    Contract 'REAC)  will  provide support  to the Environmental  Response  Team.
    REAC  will  supply  engineering  consultation,  sampling  and  analysis,   an
    analytical  mobile  laboratory,  treatability  studies,  specialized treatment
    equipment,  and logistical  support.   Should  REAC be requested  to  assist  in
    responding  to  a  hazardous substance  release where an ERGS contractor  is
    also  on scene,  all   efforts  of  REAC  and  the   ERCS  contractor  will  be
    coordinated by the  OSC.*

2.  OTHER FEDERAL AGENCIES

    The  services  of  the  ERCS  zone  contractors are available to other Federal
agencies  in addition  to  EPA  via   Inter-Agency  Agreements  (lAGs).   A  few
examples  of situations where  the ERCS  zone  contractors may be  called upon  by
other agencies  are discussed in the  following sections.

    2.1  U.S.  Coast Guard (USCG)

         Under  a   Memorandum  of  Understanding  (MOU)  between  EPA  and  USCG
    (Note:  the  MOU  had  not been signed  as of this printing),  the  USCG can
    access  the ERCS  zone  contracts  through EPA's ERCS  Contracting Officer and
    can  use the contractors  in response to the release or threat of release  of
    hazardous substances  in the  Coastal  Zone,  Great Lakes  waters,  and  ports
    and  harbors.    Situations  in  which  the  USCG  may  use  the  ERCS  zone
    contractors include:
*   For  further  information  about  REAC,  contact  the  Environmental  Response
    Branch, U.S. EPA, Edison,  NJ  [(201) 321-6740 or FTS 340-6740].
                                     VI1-9

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)

          Responses to releases or threats of releases from vessels

          Removal  actions  concerning  releases  or  threats of  releases  at
          active or  inactive  hazardous  waste management facilities when  a
          USCG  OSC determines that  such  action must be  taken  pending the
          arrival of an EPA OSC

          Removal  actions  concerning releases  or  threats  of  releases  at
          facilities  other   than  active   or   inactive   hazardous  waste
          management facilities.

The  Memorandum  of  Understanding  between  EPA  and  USCG  describes  the
procedures  the  USCG  must  use in  activating,  supervising, and monitoring
the ERGS zone contractor.  When the USCG uses the ERCS  zone contractor for
a  cleanup operation,  the  ERCS  contractor  Response  Manager  is  under the
direction of a USCG-designated OSC.

     In addition,  during an  EPA-lead removal the EPA  OSC may  request the
services  of  the USCG National Strike  Force (MSF)  (i.e.,  Pacific and Gulf
Strike  Teams)   to  conduct  removal  actions.   The   Strike  Teams  are  an
important  Federal   resource   that  can  provide   OSCs   with  experienced
personnel and sophisticiated  equipment to  assess,  implement,  and monitor
actions taken in response to hazardous  substance releases.

     Members of the  NSF maintain  a  stock of  specialized  equipment  for
deployment  anywhere   in  the  nation  and  in some  cases  overseas.   This
equipment includes  open  water oil  contaminant  and  recovery  systems, high
capacity  pumps  for  transferring  oil  and some  chemicals, and  protective
clothing  for  work  with  hazardous  materials.  Diving  equipment  along with
trucks,  trailers,  mobile  command  posts,  communications  gear  and  other
support  equipment  complete  the MSF  inventory.   Most of  this equipment  is
designed  to fit  into Coast  Guard C-130 cargo planes  or load onto flatbed
trucks for fast  response.
                                 VII-10

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                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
    2.2  Other Federal Agencies

         Federal agencies  other  than  EPA,  such as  the  U.S.  Army  Corps  of
    Engineers  (COE)  and the U.S.  Navy,  may  benefit  from the services of  the
    ERGS  zone  contractors.   Designated  non-EPA  officials   may  access   ERGS
    resources  through  the  EPA  ERGS  Contracting Officer.  The ERGS  Contractor
    Response Manager will be under the  direction of these authorized  officials.

         In addition to  those  Federal  agencies that may  call  on  the  services
    of the ERGS  zone  contractors,  other Federal agencies may be  present during
    a removal response.  These may include representatives from  the  Agency  for
    Toxic Substances  and Disease  Registry  (ATSDR), The  National  Institute  of
    Occupational  Safety  and   Health.  (MIOSH)   and   the   Federal   Emergency
    Management Agency  (FEMA).   Interaction  between the  ERGS  zone contractors
    and these representatives shall be  mediated by the EPA OSC.

3.  STATE AND LOCAL GOVERNMENT AGENCIES

    A state or  local  agency may be  performing contractual  or  non-contractual
work for  an  OSC when a  removal  is required  and an ERGS  contractor  arrives  on
site.  The state or local  agency may  be  performing such duties as  installing
water  lines,   operating heavy  construction  equipment,  or  providing  safety,
security and  traffic control.   In  such situations, the OSC  is  responsible  for
coordinating  the work  conducted by the ERGS  contractor with the  state or local
agency to ensure that an efficient removal is accomplished.

    The ERGS contractor Response Manager may  find it necessary to  contract  the
use of  equipment owned by  a state's transportation department,  or to tap city
water lines to  prevent well-water  users from  exposure  to toxic  chemicals  in
groundwater.    In  situations  such  as  these,  the ERGS contractor  Response
Manager,  under  the direction  of  the  OSC,   is responsible  for  arranging  the
required  services.   The ERGS  contractor Response  Manager  is  also responsible
for securing any rights-of-way required,  obtaining  any  state  or  local permits,
and adhering to all state and local regulations and ordinances.
                                     VII-11

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    Two different contract forms can be used by EPA to procure services  from  a
state or local  government.   The first is known as  an "Order for Services"  and
is used  when the  total  contract  will not  exceed $2,500.   The  second is  a
"Lettor Contract"  and  is  used when the services are estimated to exceed 52,500
but not more than  $10,000,  unless  authorized by the  Contracting  Officer.   For
further  information  on these  two  types  of contracts and their  advantages  and
disadvantages,  consult "EPA Superfund  Emergency Contracting  Procedures",  PCMD,
October 9,  1985.
    This  chapter  described  the  responsibilities  of  the  ERGS contractors  as
they interact  with other  agencies  and contractors  involved  in the  Superfund
program.  This concludes  the  textual  portion of the users' manual.   Following
this  section  are  the  appendices,  glossary,   and  bibliography   for  further
clarification of and references for the text material.
                                    VII-12

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                      OSWER Directive 9242.2-01B
                                          (10/87)
    APPENDIX A


ERGS ZONE CONTRACTS

 STATEMENT OF WORK

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                   APPENDIX A

                              ERGS ZONE CONTRACTS
                               STATEMENT OF WORK
    The  following  statement  of  work  applies  to   eacn  EPA  zone.   Zone  One
consists of  EPA  Regions I  through III, Zone  Two consists  of EPA Region  IV,
Zone Three consists of  EPA Region V, and Zone  Four  consists of EPA Regions VI
through X.

    The contractor shall provide all personnel, materials, and equipment  types
specified by the Ordering  Officer in quantities specified  in delivery orders
to  conduct   removals  of  oil,  petroleum,  and  hazardous  substances  releases
conducted under  Section  311  of  the Clean Water  Act and Section 104 of  the
Comprehensive Environmental Response,  Compensation  and  Liability Act  of  1980
as amended by Superfund Amendments and Reauthorization Act of 1986 (SARA),  and
Subtitle I  of the Resource Conservation and Recovery Act as  amended by  SARA of
1986.   The   contractor   shall  also  provide  all  necessary  administrative  and
supervisory  personnel  to  ensure   that  cleanup personnel  are  available  on  a
24-hour-a-day basis and that  responses  are conducted  in accordance with  the
specifications of Federal  On-Scene  Coordinators   (OSC)  or other  designated
Federal officials.  The  contractor shall  provide such services by establishing
an  organization   consisting  of  a  Zone  Program Manager  and  as-needed  Zone
Response Managers.  The  Program Manager shall  retain, maintain,  and  support a
zone  network of  cleanup  personnel,  equipment and materials  and  supervise
Response  Managers.    Response  Managers  shall  manage  and  supervise  cleanup
personnel,  equipment  and  materials on-scene  and ensure  that  responses  are
conducted in exact  accordance  wich OSC or other  designated  Federal  official
instructions.

    The EPA  Project Officer and regional  Deputy  Project  Officer(s)  will  work
with the zone Program  Manager to provide  overall coordination and oversight of
the  program  and   to resolve any problems  that  may  occur.   Ordering  Officers
will  issue   Delivery  Orders  to the zone  Program  Manager to  initiate  cleanup
                                      A-l

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
work.   Ordering  Officers  will  include  OSCs  and  other  designated  Federal
officials.   OSCs  and other  designated  Federal  officials  will  direct  the
execution of  the  Delivery Order through the Response Managers.   Support shall
be  provided  to  Federal   OSCs  (EPA, U.S.  Coast  Guard,   or other)  and  other
designated  Federal  officials  located  in  each  EPA  Region  or  Coast  Guard
District  Office   in  the   contractor's  zone.    All  cleanup  activities  will  be
conducted in  accordance  with  the  National Contingency Plan (40  CFR Part 300).
The contractor shall  provide  all  personnel,  material,  and  equipment  types,  as
specified  in  Delivery  Orders.   These  items  shall  be  provided  to  any  zone
location within the response time  limits specified in 'Appendix C,  or  longer  as
specified in  the Delivery  Order.   The contractor shall not be  precluded from
providing these   items  in  less  than  the  response  time  limits  specified  in
Appendix  C.   To accomplish  this  scope,  the  contractor  shall  perform  the
following functions:

I.  PROGRAM MANAGEMENT

    A.   The  contractor  shall  designate  a Program Manager  and provide  support
staff,  facilities,  and  administrative  capabilities  as   needed  to ensure  the
successful  and  efficient  accomplishment  of  this  Statement   of  Work.   The
Program  Manager  (or designee)  shall  be  the  single  point  of  contact  for
coordination  with the EPA Project  Officer  (PO)  and Deputy  Project  Officer
(DPO), and  shall  be  responsible for receiving and managing the  implementation
of   all  Delivery    Orders   under   this   contract.     Specific   management
responsibilities  of  the   Program Manager shall include  but may  not be  limited
to the following:

    1.   Maintaining  close  communications and coordination  with  EPA  PO  and
         DPO,   including   reporting  any  and  all  problems   encountered   in
         performing  Delivery   Orders  and  implementing  any  special   controls
         specified by EPA.
                                      A-2

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
2.    Retaining  and  managing  the   distribution  of  cleanup   personnel,
     equipment,  and materials so  that  all necessary items are available at
     any  zone  location  within  the  response  time  limits  specified  in
     Appendix C and elsewhere.

3.    Receiving  and implementing  Delivery Orders  issued  by the  Ordering
     Officers.

4.    Designating a  Response  Manager for  each separate  cleanup action  to
     work directly  with  the OSC  or other designated Federal  official  on
     scene.

5.    Providing  overall  supervision  and  administrative  support  to  all
     Response Managers.

6.    Maintaining a  response-by-response  accounting  of  all  costs  incurred
     in accordance  with  reporting  requirements,  and controlling' costs  at
     all levels of  work.

7.    Developing procedures and forms as necessary to enable uniform record
     keeping and program management documentation.

8.    Preparing  and  submitting  all  reports as  specified  in the  contract
     schedule.

9.    Completing  special   reports  or  studies  pertaining  to the  contract
     effort  as requested by EPA.

10.  Developing, implementing,  and  managing  a  quality   assurance  program
     that will  ensure  that all  environmental measurements  obtained are of
     known  quality.   Developing,   implementing,  and  managing  a  quality
     assurance  project  plan  for  each separate  cleanup  action  in  which
     environmental   measurements   will   be   made.    Ensuring   that   the
     performance of assigned tasks  adhere to all quality assurance program
     and project plan  requirements  as  well as EPA  Region-specific quality
     assurance requirements.

                                  A-3

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    11.   Obtaining special  services  in  a timely  and  cost  efficient  manner,
         such  as  specialized  cleanup  equipment  or  personnel  upon  direction
         from the  Ordering Officer.

    12.   Implementing  a  comprehensive  program  safety  plan  to  protect  all
         cleanup personnel.

    13.   Providing and maintaining  a  twenty-four-hours-per-day,  seven-days-
         per-week zone call center to provide Ordering  Officers  with  immediate
         access to cleanup services.

    B.   For each cleanup action  Delivery Order issued to the  contractor,  the
Program Manager  shall  designate  a   Response  Manager.   This  Response  Manager
shall be  fully dedicated  to  the specific cleanup  action for  the  duration of
the  response,  unless  substitutions  are  approved  by  the  OSC  or  designated
Federal  official.  The Response  Manager  shall  be the  single point of  contact
for on-scene  coordination,  and  shall  be  responsible  for  the  management  and
execution   of  all    cleanup   activities   in   exact   accordance   with   the
specifications of an  CSC  or other designated Federal  official.   Coordination
relationships  between  EPA  and the  Response Manager  are  outlined in  Figure
A-l.  The Response Manager shall not  be precluded from  responding in  less than
the  response  time limits.  The Response  Manager  shall  be on scene on  a daily
basis unless   instructed  otherwise   by  the  OSC  or  other  designated  Federal
official.    Specific   on-scene  management  responsibilities  of  the   Response
Manager shall include but  may not be  limited  to  the  following:

    1.   Maintaining   close  communication  and  coordination  with the  OSC  or
         other  designated  Federal   official  for the  duration  of  a  specific
         response, including  reporting  any  and  all problems  encountered  in
         executing cleanup activities.

    2.   Conducting on-scene surveys  to develop  detailed project work plans.
                                      A-4

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                              FIGURE A-1

                 ERCS Contract Management Structure
                              ERCS
                         PROJECT OFFICER
                        DEPUTY/REGIONAL
                        PROJECT OFFICERS
  OTHER  FEDERAL
ORDERING OFFICERS
                           EPA  OSCt/
                       ORDERING OFFICERS
CONTRACTING
  OFFICER
  PROGRAM
 MANAGERS
RESPONSE
MANAGERS
                                     FEDERAL GOVERNMENT  INTERACTION

                                     CONTRACTOR/GOVERNMENT  INTERACTION

                              |    |   HEADQUARTERS/CORPORATE  MANAGEMENT


                              |    |   REGIONAL MANAGEMENT
                              A-5

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                                                    OSWER Directive 9242.2-01B
                                                                        (10/87)
    3.    Providing  the OSC or other designated Federal official with immediate
         on-scene  access to  all  contractor  cleanup  personnel,  equipment and
         materials  at a  specific  response at all times  in  order to allow the
         OSC  or  other  designated  Federal   official  to  direct  the  Federal
         response.

    4.    Providing   administrative   support,  supervision,   and  management  of
         cleanup  personnel,  equipment,  and  materials  provided  on scene  to
         ensure  that  all  directives  issued by  the  OSC  or  other  designated
         Federal  official  are  immediately executed  in  an  acceptable  manner.
         At  the option  of  the OSC  or  other  designated  Federal official, once
         cleanup personnel  are assigned  to a  response  by the Response Manager,
         they shall  become  fully dedicated for the life of the project.

    5.    Taking  immediate corrective action  when performance  is  not acceptable
         to  the OSC  or other  designated  Federal official.

    6.    Ensuring  that   the  performance  of  assigned  tasks  adheres  to all
         quality  assurance,  quality  control and  chain-of-custody  procedures
         specified  in the QA program and  project  plans  and in accordance with
         EPA Region-specific QA  requirements.   The  quality assurance program
         will insure that all environmental  measurements  obtained are of  known
         quality.

    7.    Providing   the  OSC  or   other  designated   Federal  official  with   a
         detailed  accounting of  all cost incurred  at  a  specific  site  in  a
         format and  frequency specified  in the delivery  order.

    8.    Implementing a  comprehensive  response  action  safety plan to protect
         all  contractor cleanup personnel.

II.  PROGRAM  CLEANUP  OPERATIONS

    The contractor  shall  provide  cleanup  services  for  spills of oil  and  for
immediate or planned removals and initial  remedial measures   for hazardous
                                      A-6

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
substances, as specified  in  Delivery Orders issued to  the  Program Manager (or
designee).  Immediate removals  will  be specified in  delivery orders  when the
initiation  of  a  response  within  hours  or  days  will  prevent  or  mitigate
immediate and significant harm to human life or health, to  the  environment,  or
to real or  personal  off-site  property.  Planned removals will  be  specified in
delivery  orders  for  release  incidents that permit  several days  or  weeks  to
consider  the  need  for  a  response,  but  that  still  requires   expeditious
attention.  Initial  remedial  measures may be specified before  final  selection
of  an  appropriate  remedial  action  if  such   measures  are  determined to  be
necessary to  limit exposure  or threat or  exposure  to a significant  health  or
environmental hazard. Delivery  Orders may be issued  verbally,  then  in writing
as soon as is practical.

    If specified  in  Delivery  Orders,  the  contractor  shall  conduct  an initial
on-scene  survey.   The  purpose  of  the  survey shall  be  to gain  sufficient
on-scene  familiarity with  the Delivery  Order  scope of work  to  enable  the
contractor  to  propose  a  detailed  work plan to accomplish the project  in the
most effective, efficient, and safe  manner.  This work  plan  shall  define the
types and quantities of cleanup personnel, equipment and materials  that would
be needed,  the proposed project schedule by subtask,  and  the  estimated cost.
The contractor  shall not be authorized  to begin work until  the work plan has
been approved by the  Ordering Officer.

    The contractor shall provide all  personnel, materials,  and  equipment types
and quantities  as specified  by the  Ordering Officer within  the response  time
limits specified  in  Appendix  C or  longer  if specified  in  the  Delivery  Order.
The contractor shall not  be  precluded from providing  these  items  in less  than
the response  time limits.  The contractor shall take  any action,   under the
direction of the  OSC or other designated  Federal official, as  may be required
to mitigate  or eliminate any  hazard  or  damage to  the environment  resulting
from a  release or threat  of  release  of oil or hazardous  substances into the
environment.  These  actions  may include  but  shall  not  be  limited  to  those
conducted under the following cleanup work phases:
                                      A-7

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    A.    Containment and Countermeasures

    Defensive actions shall be taken to protect the public health  and welfare,
which  shall  include  but may  not  be  limited  to:   sampling  and analysis  to
determine the  source,  spread, and  disposal options of  a release;  containing
the release at  its  source and preventing further acute  flow of the  pollutant;
controlling the  source of  discharge;  using chemicals  or other materials  to
restrain the  spread of  the pollutant;  placing physical barriers  to  deter the
spread  of  a  pollutant;  constructing   slurry  trenches;  placing  diversionary
booms;   earth  moving;   drum  handling;   containerizing  pollutants;   diverting
streams; keeping  waterfowl and other  wildlife away from  the  polluted  areas;
controlling water  discharge from upstream  impoundments; providing alternative
drinking water  supplies  on a temporary basis;  providing temporary housing for
evacuees;  providing   traffic,   crowd,  and   navigation   controls;   providing
security; and executing damage control  or salvage operations.

    B.    Cleanup, Mitigation and Disposal

    Actions shall be 'taken to recover  the  pollutant from  the  affected  media.
These  actions  shall include  but  may not  be  limited to:  using chemicals for
flocculation,  coagulation,  neutralization  and  separation;   using  biological
treating agents;  physical  and chemical  treatment of affected  water  and soil;
using  specialized equipment such  as mobile carbon treatment  systems;  aerating
affected media  to  selectively release  volatile components;  fixing or treating
the polluted media  in  place; salvaging or  destroying  vessels;  and  destroying
contaminated equipment and facilities.

    In  lieu  of or following  any  treatment  action,   physical collection  of
pollutants  shall  be   accomplished  followed  by  temporary  storage   prior  to
ultimate  disposal.   Work  conducted shall  include  but may  not be  limited  to
flushing contaminants  from  marsh  areas  followed by  collection  and  holding;
skimming materials  from  the  surface  of water;  washing soils  with  subsequent
collection and storage of  recovered material;  pumping  contaminated groundwater
with   subsequent  storage;  and  segregating waste  chemicals  at  uncontrolled
hazardous waste sites.
                                      A-3

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    Following removal  and temporary  storage,  any contaminated  material  shall
be  disposed of  consistent  with  all  appropriate  Federal,  State  and  local
regulations.  The  OSC  shall  have  the option  to accomplish disposal  through
this  contract  or  through other  contractual mechanisms,  at  his  discretion.
Disposal  shall  be conducted  on-site or  off-site.   Disposal techniques  shall
include but  may  not  be  limited  to:   controlled or  uncontrolled  combustion,
land  disposal, fixation,  injection, degradation, and recycling.   The  disposal
operations shall   include  temporary storage  and ultimate disposal.   Depending
upon  the  material   contaminated,   disposal  operations  shall  also  include
demolition.

    All storage,  transportation, treatment and disposal of pollutants  shall  be
accomplished  meeting  all  regulatory,   safety  and   environmental  laws  and
regulations at the Federal, State,  and local level.  The  contractor  shall  be
responsible for all necessary  transportation and disposal permits.

    C.   Restoration

    Activities shall- be  taken  to  repair or replace material  damaged by  the
cleanup operations and actions  to restore the damaged  environment to  as  near
pre-emergency conditions  as possible.   Such actions shall include  but  may  not
be   limited   to   restocking,    regrading,    reseeding,   replanting  and   soil
replacement.

    D.   Analytical

    On-site  and   off-site analytical  activities  shall be  taken  on  a  rapid
turn-around basis (24 hours or  less)  to provide chemical and analysis  or high
sample  quantity   volume  analyses,  to  include  but  not  limited  to pH,  flash
point,  oxidation reduction,  organic vapor  analysis,  TOG  sulfides,  and  TOG
phenols.   This  shall  include   sample  collection,  storage,   transportation,
analysis and disposal.
                                      A-9

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                APPENDIX B
RESPONSE TIME LIMITS (ERGS ZONE CONTRACTS)

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                   APPENDIX B
                              RESPONSE  TIME  LIMITS*

    The contractor  is required  to  have all  items  of  equipment,  material  and
personnel specified in  rapid  response  time personnel,  equipment and  materials
available at  any  zone  location  within the  following  response   time  limits.
These items  may be provided in  response times longer than  those  indicated,  if
specified  in  the  Delivery  Order.    The   contractor  is   not  precluded  from
providing these items  in less  than these response time limits.

A.  1.   The contractor shall  provide rapid response  time  personnel,  equipment
         and materials  in SPA  Region  1 of ERGS  Zone 1 within 2  hours  of  the
         receipt of a written or  oral  Delivery Order within a  50-mile  radius,
         or  3 hours within a 100 mile radius,  of the following  cities:

         Portland, Maine
         Boston, Massachusetts
         New Bedford,  Massachussetts
         Hartford, Connecticut
         Mew Haven,  Connecticut
         Burlington,  Vermont

    2.   The contractor shall  provide  rapid response-time  personnel,  equipment
         and materials  within  4  hours  of the  receipt of  a  written or  oral
         Delivery Order for all  other areas in EPA Region 1 of  ERGS Zone  1.

B.  1.   The contractor shall  provide rapid response  time  personnel,  equipment
         and materials  within 1.5 hours of the  receipt of a  written or  oral
         Delivery Order for the  following areas in EPA Region 2  of  ERGS  Zone  1:

              50 mile  radius of  New York City,  Hew York (from Columbus Circle)

*   ERGS Zone Contracts only  (response time limits  for other  prime  contracts
    will be  specified  as those contracts are awarded).
                                      B-l

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                                                 OSWER Directive 9242.2-0IB
                                                                    (10/87)
          50 mile radius of  Edison,  New Jersey (measured from EPA's  office
          complex on Woodbridge Avenue in Edison,  Mew Jersey).

2.    The contractor ?hall provide rapid response  time  personnel,  equipment
     and materials within 2  hours  of receipt of a written or oral Delivery
     Order for the following areas  in EPA Region 2 of ERGS Zone 1:

          20 mile radius of  San Juan, Puerto Rico  (measured  from junction
          of Puerto Rico Rtes.  1 and 18).

3.    The contractor shall provide  rapid response time personnel,  equipment
     and materials within 2.5  hours  of  the  receipt of  a written or  oral
     Delivery Order for the  following areas in EPA Region 2 of ERGS Zone 1:

          50 mile radius of  Albany,  New York  (measured  from  State Capital
          building).

          75 mile radius of  Rochester, Mew York  (measured  from the Federal
          Building).

          Remainder of Long  Island, Mew York, not covered in B.I.  above.

          Lake George, Mew York (in its entirety).

          20 mile radius of  Syracuse, New York (measured from the juncture
          of Mew York Rte.  81 and Rte. 17).

          20 mile radius of  Ithaca,  Mew York  (measured  at  the juncture of
          Mew York Rtes. 79  and 96).

          20 mile  radius of  Slmira,  Mew  York  (measured from  ]unction of
          Mew York Rtes. 17  and 14).
                                  B-2

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
          20 mile  radius  of Mewburgh, New York  (measured  from junction of
          Mew York Rtes. 84 and 87).

          20  mile  radius  of  Poughkeepsie,  New  York  (measured  from  the
          junction of New York Rtes. 9 and 44).

          20 mile  radius  of Kingston, New York (measured from the junction
          of New York Rtes. 37 and 587),

          20 mile radius of Utica, New York (measured  from  the junction of
          New York Rtes. 90 and 12).

          20  mile  radius  of  Watertown,  New  York  (measured  from  the
          junction of New York Rtes. 31 and 12F).

          New York Rte.  87 (entire length).

          New York Rte.  90 (entire length).

          New York Rte.  81 (entire length).

          New York Rte.  17 (entire length).

          Remainder of New Jersey not specified in item B.I above.

4.    The contractor shall  provide rapid response  time  personnel,  equipment
     and materials within 3.5 hours  of the  receipt  of a  written  or oral
     Delivery Order for  the following areas in EPA Region 2 of ERGS  Zone 1:

          10 mile radius of  Fa^ardo,  Puerto  Rico (measured  from  junction
          of Puerto Rico Rtes.  3  and 195).

          20  mile  radius  of   Guayanilla,   Puerto   Rico   (measured  from
          junction  of  Puerto Rico Rtes.  2  and  3852).
                                  B-3

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
              20 mile  radius  of Mayaguez, Puerto Rico  (measured  from junction
              of Puerto Rico Rtes.  2 and 106).

              20 mile  radius  of Arecibo, Puerto  Rico (measured  from junction
              of Puerto Rico Rtes.  2 and 10).

              25 mile  radius  of Guayama,  Puerto Rico  (measured  from junction
              of Puerto Rico Rtes.  3 and 15).

    5.   The contractor shall  provide rapid response  time  personnel,  equipment
         and  materials within  4 hours  of the  receipt of  a written  or  oral
         Delivery Order for the following areas in EPA Region 2 of ERGS Zone 1:

              Remainder of New York not specified in B.I through 4 above.

    6.   The contractor shall  provide rapid response  time  personnel,  equipment
         and  materials within  5 hours  of the  receipt of  a written  or  oral
         Delivery Order for the following areas in EPA Region 2 of ERGS Zone 1:

              Remainder of  Puerto Rico  and U.S.  Virgin Islands  not  specified
              in B.2 and 4 above.

C.  1.   The contractor shall  provide  rapid response time personnel,  equipment
         and materials  within  2 hours  of  the  receipt  of  a  written  or  oral
         Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:

              25  mile  radius  of   Philadelphia,  Harrisburg  and  Pittsburgh,
              Pennsylvania.

              25 mile  radius  of Norfolk, Richmond,  and  Roanoke,  Virginia;  and
              Washington,  D.C.

              12 mile radius of Winchester, Virginia.

              25 mile radius of Baltimore, Maryland.
                                      B-4

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
    2.   The contractor shall provide rapid response  time  personnel,  equipment
         and  materials  within  3 hours  of the  receipt of  a written  or  oral
         Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:

              25 mile  radius of  Scranton,  Allentown,  Erie  and  the  Allegheny
              National Forest, Pennsylvania.

              State of Delaware.

              50  mile  radius  of  Pittsburgh  and  Warren,  Pennsylvania  and
              Charleston, West Virginia.

    3.   The contractor shall provide rapid response  time  personnel,  equipment
         and  materials  within  4 hours  of the  receipt of  a written  or  oral
         Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:

              Remainder of Pennsylvania and Maryland not specified above.

    4.   The contractor shall provide rapid response  time  personnel,  equipment
         and  materials  within  5 hours  of the  receipt of  a written  or  oral
         Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:

              Remainder of West Virginia and Virginia not specified above.

ERGS ZONE 2

A.  The contractor shall  provide rapid response time personnel,  equipment  and
    materials within  2.5 hours  of  the  receipt  of a written  or  oral Delivery
    Order within a 50 mile radius of the following ERGS Zone 2 cities:

    ALABAMA
         Mobile
         Montgomery
         Birmingham

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                                                 OSWER Directive 9242.2-01B
                                                                    (10/87)
FLORIDA
     Jacksonville
     Tampa
     Miami
     Pensacola
     Orlando

GEORGIA
     Atlanta
     Savannah

KENTUCKY
     Louisville
     Paducah

NORTH CAROLINA
     Asheville
     Charlotte
     Raleigh-Durham
     Wilmington

MISSISSIPPI
     Jackson
     Natchez

SOUTH CAROLINA
     Columbia
     Greenville-Spartanburg
     Charleston

TENNESSEE
     Memphis
     Knoxville
                                  B-6

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         Mashville
         Chattanooga

B.  The contractor  shall  provide  rapid response time personnel,  equipment and
    materials within  6  hours  of  the receipt  of a  written  or oral  Delivery
    Order for all other areas of ERGS Zone 2.

ERGS ZONE 3

A.  The contractor  shall  provide  rapid response time personnel,  equipment and
    materials within  3  hours  of  the receipt  of a  written  or oral  Delivery
    Order for the following ERCs Zone 3 areas:

    St. Louis County,  Minnesota, South of Latitude 47
    Carlton County,  Minnesota
    Douglas County,  Wisconsin
    A.noka County, Minnesota
    Hennepin County, Minnesota
    Ramsey County, Minnesota
    Milwaukee County,  Wisconsin
    Waukesha County, Wisconsin
    Lake County, Illinois
    Cook County, Illinois
    Dupage County, Illinois
    Lake County, Indiana
    Marion County, Indiana
    Madison County,  Illinois
    St. Clair County,  Illinois
    Saginaw County,  Michigan
    Bay County,  Michigan
    Midland County,  Michigan
    Oakland County,  Michigan
    Wayne County, Michigan
    Monroe County, Michigan
    Lucas County, Ohio
                                      B-7

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                                                     OSWER Directive  9242.2-Q1B
                                                                        (10/87)
    Cuyahoga County,  Ohio
    Franklin County,  Ohio
    Hamilton County,  Ohio

B.   The contractor shall provide  rapid response time personnel, equipment  and
    materials within 12 hours  of the  receipt  of a  written  or oral  Delivery
    Order for the following ERCS Zone 3 areas:

    Upper Peninsula of Michigan
    Northwest Minnesota North of Latitude 47 and West of Longitude  94

C.   The contractor shall  provide  rapid response  time personnel, equipment  and
    materials, within 6 hours  of  the  receipt  of a  written  or oral  Delivery
    Order for all other areas of ERCS Zone 3 not specified above.

ERCS ZONE 4

A.   The contractor shall  provide  rapid response  time personnel, 'equipment  and
    materials for all  areas  of EPA Region  6 of ERCS Zone 4  within  6  hours of
    the receipt of a written or oral Delivery Order.

B.   1.   The contractor  shall  provide rapid response time personnel, equipment
         and  materials   for  the   Department    of   Commerce  1980   Standard
         Metropolitan  Statistical  Area  (SMSA)  for  Kansas City within 2 hours
         of the receipt of a written or oral Delivery Order.

    2.   The contractor shall provide  rapid  response  time personnel, equipment
         and materials  for the St.  Louis, Missouri  SMSA  within 3  hours of the
         receipt of  a written or oral Delivery Order.

    3.   The contractor shall provide  rapid  response  time personnel, equipment
         and  materials within  -1 hours of  the  receipt  of  a  written  or oral
         Delivery Order  for  the  following  SMSA  locations in EPA Region  7 of
         ERCS Zone 4:
                                        BQ
                                       — O

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         Des Moines, Iowa
         Omaha, Nebraska
         Wichita, Kansas
         Springfield, Missouri

    4.   The contractor shall  provide  rapid response time personnel, equipment
         and materials  within 6  hours  of  the  receipt of  a  written or  oral
         Delivery Order  for the remainder  of EPA  Region  7 of ERGS  Zone  4 not
         specified in B.I through 3 above.

C.  1.   The contractor shall provide rapid response  time  personnel, equipment
         and materials  within  2  hours  of the  receipt of  a written or  oral
         Delivery Order for  the following  SMSA  locations in  EPA Region  8  of
         ERGS Zone 4:

         Denver, Colorado
         Salt Lake City, Utah

    2.   The contractor s-hall provide rapid response  time  personnel, equipment
         and materials  within  6  hours  of the  receipt of  a written or  oral
         Delivery Order for the remainder of EPA Region 8  of ERGS Zone 4:

D.  1.   The contractor shall provide rapid response  time  personnel, equipment
         and materials  within  2  hours  of the  receipt of  a written or  oral
         Delivery Order for  the following  SMSA  locations in  EPA Region  9  of
         ERGS Zone 4:

         Sacramento, California
         San Jose, California
         Anaheim/Santa Ana/Garden Grove,  California
         Los Angeles/Long Beach, California
         Riverside/San Bernardino/Ontario, California
         Pheonix, Arizona
                                      B-9

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                                                     OSWER Directive  9242.2-01B
                                                                        (10/87)
    2.    The contractor shall provide  rapid  response  time  personnel,  equipment
         and materials  within  3 hours  of the  receipt  of  a written or  oral
         Delivery Order for Oahu,  Hawaii.

    3.    The contractor shall provide  rapid  response  time  personnel,  equipment
         and materials  within  3 hours  of the  receipt  of  a written or  oral
         Delivery Order  plus  transportation time  from  Oahu for  the  remainder
         of  the  Hawaiian  Islands  not  specified  in  D.2  above,  and  for  the
         Pacific Trust Territories.

    4.    The contractor shall provide  rapid  response  time  personnel,  equipment
         and materials  within  6 hours  of the  receipt  of  a written or  oral
         Delivery Order  for the remainder of EPA  Region  9 of ERGS Zone  4 not
         specified in D.I through 4  above.

E.  1.    The contractor shall  provide rapid response  time  personnel,  equipment
       .  and materials  within  3  hours  of the  receipt of  a  written or  oral
         Delivery Order for the  following SMSA locations  in  EPA  Region  10  of
         ERGS Zone 4:

         Seattle, Washington
         Portland, Oregon

    2.    The contractor shall  provide rapid response  time  personnel,  equipment
         and materials  within 24 hours of the  receipt of  a  written or  oral
         Delivery Order for the  State of Alaska.

    3.    The contractor shall  provide rapid response  time  personnel,  equipment
         and materials  within  6  hours  of the  receipt of  a  written or  oral
         Delivery Order for the  remainder of EPA Region  10  of ERGS Zone 4.
                                      B-10

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                                          OSWER Directive 9242.2-01B
                                                             (10/87)
                        APPENDIX C
DESCRIPTION OF ALLOWABLE AND UNALLOWABLE CONTRACTOR CHARGES

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                   APPENDIX C

           DESCRIPTION OF ALLOWABLE AND UNALLOWABLE CONTRACTOR CHARGES
                                 (ZONE 4  ONLY)*
Fixed Rates

         Labor  rates are  listed  for  the  prime  contractor and named  subs.
         Rates  DO NOT  apply  for  contractors  not  listed  by  name.    Labor
         categories are in most  cases broken down into  "Levels."   These  rates
         by levels will be charged  to each site depending  on the individual's
         yearly  salary  that  is  performing  the work.   The salary  ranges  are
         listed  in  clause  B.3  paragraph  11  of   the   contract.   It  is  not
         expected  that  you  need  to  know  the individual's  annual  salaries
         working on your site(s) but  the contractor shall  tell  you  what  Level
         an individual  is  and will  be  charged  at  on your ]obs  when  asked by
         you.

         All rates listed are  fixed price rates and include the  contractors'
         and  subcontractors'  burden  rates  and profit.   You .should NEVER  see
         any additional  percentages or costs  added  when a  fixed  price  rate is
         used.

         Equipment rates  listed  are  only applicable for  the contractor  named
         and  then  only  for  use   when  that  contractor  is   using  his  OWN
         equipment.  If contractors  are  not listed  by  name,  these provisional
         rates shall apply if  the  equipment they are using is  owned by  them.
         Equipment provisional  rates  may be  adjusted  at  a later time if  a
         contractor  can  substantiate  his  cost to  the satisfaction  of  the
         Government.   If equipment  is rented,  the  cost  of  the  rental  shall be
         charged  to  the  Delivery   Order.    Rental  costs  shall  have   the
         contractor's G&A rate added to them, which  is a provisional rate.
*This Appendix provides information on the Zone 4 Contract only and is
 intended to be illustrative only.   Allowable and unallowable charges for the
 Zone 1, 2, and 3 contracts will vary from the examples provided here.  Each
 contract should be consulted for details.
                                      C-l

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         The provisional rate will  be  adjusted to the  actual  rate each  year,
         which means  your  site  costs may go  up  or down depending on  what  the
         actual rate comes  in at.

         Both labor and  equipment  rates will  be effective  for  the period  in
         which the  work is  performed.   No  longer will rates be  effective  for
         an  entire  job  if  the  period  of  performance  crosses  into  another
         period.   The  only exception  is  if  a job crosses  into  another period
         by not more  than  30 days,  then the  rates  in effect for  the  original
         period of  performance would   remain  in effect.   MOTE:   The  30  days
         would be  at  the  new  period rates  if the  existing  job crosses  into
         another period by  more  than 30 days.

         Overtime  rates will be paid after  eight hours of  work  in one day and
         after 40  hours per week.   You shall be notified  by  the  contractor
         before he  uses employees  for  which  overtime will be charged and  the
         OSC or CO must authorize  overtime BEFORE it is incurred.

         Equipment rates listed do not  include operators'  time.

         There are  to  be NO charges by the contractor  or  ANY of  its  subs  for
         mobilization  and   demobilization  because  costs  are  included in  the
         fixed rates.
Travel and Per Diem
         Travel and Per Diem cost shall be billed at actual costs plus  G&A for
         the contractor and  at  cost only for any  subcontractors.   Costs  shall
         be  in accordance  with Federal  Travel Regulations  or  Joint  Travel
         Regulations and a receipt  for all items above S25.00  is required.
Standby Rates
         Standby rates may  be  charged from time to  time  only when ordered "on
         standby"  by the  OSC.   Standby  rates  will  only  be charged  by  the

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
         contractor for its OWN equipment when applicable,
Other Direct Costs
         You should NOT see a direct charge  for  any of the following  items  on
         your jobs.   The cost associated  with  all of these  items  is  included
         in the labor and equipment rates in this contract.

         Cascade systems
         Full face respirators
         Half face respirators
         Hard hats
         Oil, grease, etc.  necessary for operation of equipment
         Mileage, breathing air and all other "surcharges"
         Hand tools (including non-sparking)
         Portable communication radio
         Trash bags
         Electric, duct, and CAUTION, tapes
         pH paper
         Drum/barrel punch (small for sampling)
         Drum/barrel punch (large for emptying drums)
         Welding stand
         Sampling tools (i.e., stainless steel pails, pans,  and trowels)
         Maintenance vehicle/truck
         Barrel cart
         Metal detector
         Portable eye wash
         Cutting torch
         Chain saw
         pH meter
                                      C-3

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                                            OSWER Directive 9242.2-01B
                                                               (10/87)
Personal Protective Items as follows:

     Coveralls
     Chemical resistant steel toe and shank boots
     Long cotton underwear
     Pressure-demand self-contained breathing apparatus
     Fully encapsulating chemical resistant suit
     2-way radio communication/portable
     Face shield for hard hat
     Escape mask
     Nose cup
     Outer gloves, chemical resistant
     One- or two-piece chemical splash suit

Any item with  an acquisition cost of  less  than S500-S1,000  that  the
contractor  expenses  in  its  indirect  accounts  in  accordance  with  its
accounting system.

You WILL see direct charges for any of the following  items  if used on
your  jobs.   These items  will  be charged at  cost  plus the  applicable
burden rate for Contractors and 0% for any subs.

Security guards
Fencing
Passenger cars and vans
Sorbent pads
Sorbent bag
Sorbent sweep
Sorbent loose
Containment booms  (i.e., 4"-6" skirt and 12"-18" skirt)
Boom anchors
Passive dosimeter
VOA bottles
Tank patch kit
                             3-4

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                                            OSWER Directive 9242.2-01B
                                                               (10/87)
Amber jugs 1/2 gallon
Glass tubes 16mm x 4'
Stainless steel spoons
Vermiculite
Paint cans 1 gal. w/lids
Pollution cans
DOT labels
Neutralizing acids
Neutralizing bases
Lime
Activated carbon
Calcium carbonate
Hydrogen peroxide
Alconox
Trichloroethylene
Acetone
Hexane
Sodium hypochlorite
Visguene (4 mil, 20' x 100')
Dry chemical fire extinguisher (125 Ibs)
Emergency oxygen
Oil dry
Silica sand
Mash sanitizer
Split spoon soil sampler
Portable ground fault circuit interrupters
All-terrain vehicles
Pool liners
Drums, all sizes
Pumps, all types, unless listed in Article B.I.
Personal protection items as follows:
     Disposable coveralls/suits
     Cannisters/cartridges for respirators
                             C-5

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                                            OSWER Directive 9242.2-01B
                                                               (10/87)
     Inner gloves, chemical resistant
     Outer boot covers

Fuel
Material
Items owned  or rented  by  the contractor or  subcontractors  listed in
Article   B.I.    for   which   fixed   rates   are   not   established.

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                                    OSWER  Directive  9242.2-01B
                                                       (10/87)
                 APPENDIX  D


                RCRA CONTACTS

COMPLIANCE STATUS OF RCRA DISPOSAL FACILITIES

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                                                     OSWER Directive 9242.2-0IB
                                                                        (10/87)
                                   APPENDIX D

                                  RCRA CONTACTS
                  COMPLIANCE STATUS  OF RCRA DISPOSAL FACILITIES
Region
Contact
Phone Number
                   Linda Murphy, Chief
                   MA Waste Management Branch
                                   FTS 8-223-5655
                                   (617) 223-5655
                   Ira Leighton, Chief                FTS 8-835-3694
                   CT and ME Waste Management Branch  (617) 565-3694
                   Dennis Huebner, Chief
                   VT, RI and NH Waste Management
                   Branch
                                   FTS 8-835-3626
                                   (617) 565-3626
II
Joel Golumbek, Chief               FTS 3-264-6151
Hazardous Waste Compliance Branch  (212) 264-6151
III
Peter Schaul, Chief
RCRA Enforcement Section-PA
FTS 8-597-8334
(212) 597-3334
                   John Armstead, Chief
                   RCRA Enforcement Section-
                   DE, MD, VA, Washington DC and
                   West Virginia
                                   FTS 8-597-3039
                                   (215) 597-3039
IV
Allan Antley. Chief
Waste Compliance Section
FTS 8-257-7603
(404) 347-7603
V
Bill Muno, Chief
RCRA Enforcement Section
FTS 3-886-4434
(312) 386-4434
                                      D-l

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                             APPENDIX D (Continued)
Region
Contact
Phone Number
VI
Bill Taylor, Chief
RCRA Enforcement Section
FTS 8-255-6775
(214) 655-6775
VII
David Doyle, Chief
RCRA Compliance Section
FTS 8-757-2891
(913) 236-2891
                   Luetta Flournoy, Chief
                   Iowa Section
                                   FTS 757-2888
                                   (913) 236-2888
VIII
Diana Shannon, Chief
RCRA Compliance Section
FTS 8-564-1500
(303) 293-1500
IX
Karen Schwinn, Chief
RCRA.Enforcement Section
FTS 3-454-3129
(415) 974-3129
                   Chuck Rice, Chief
                   RCRA Enforcement Section
                                   FTS 3-399-0695
                                   (206) 442-0695
                                      D-2

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                 OSWER Directive 9242.2-01B
                                    (10/87)
GLOSSARY

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
                                    GLOSSARY
activity:   a  group  of  tasks  that  together  comprise  a  segment(s)  of  the
sequence  of  events  undertaken" in  determining,  planning,   and completing  a
response  to  a  release  or  potential  release  of   a   hazardous   substance.
Activities  include,  for  example,   remedial  investigation,  feasibility study,
remedial design, and remedial construction.

allocation:   the  amount  of funding  provided  to  a   Region for  all  removal
activities.

allowance:   an  amount  established  during the budgeting  process  signifying the
level of  resources at  which an organization can operate.  An allowance serves
as  an unofficial  spending  limit  from which  commitments  and obligations are
withdrawn.

allowable costs:  costs that are eligible, reasonable, necessary and aliocable
and  that  are  permitted  under  the  appropriate  Federal  cost   principles,  in
accordance  with  EPA   policy.   For  example,  allowable   costs  might  include
contractual   services,  response   by   State   employees  (under  a  Cooperative
Agreement or contract),  materials  and  supplies, equipment,  and other direct
and indirect costs.

cleanup:  actions undertaken during a removal or remedial response  to address
a release of hazardous substances  that poses a  threat or  potential  threat  to
human health and  welfare,  the  environment and/or  real  and  personal property.
Cleanup activities may include  removal  and disposal of  contaminated material,
provision  of  alternate  water  supplies,  on-site  monitoring  and  temporary
evacuation  and relocation  of   threatened  individuals.  Sites  are  considered
cleaned  up  when EPA  removal or remedial programs  have  no  further  expectation
or  intention  of returning  to the site and  threats have  been mitigated  or  do
not require further action.

disposal:   the  discharge,   deposit, injection,  decomposing,   spilling,  leaking
or placing of any solid waste or hazardous waste  into  or on  any  land or water

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                                                     OSWER Directive  9242.2-018
                                                                        (10/87)
so that  such substances or  any  constituent thereof may enter  the  environment
or be  emitted into  the  air or  discharged  into any  waters,  including  ground
waters.

Emergency  Response  Cleanup  Services  (ERGS)  Contracts:   contracts awarded  to
contractors who provide  specific  services,  equipment  and materials to  conduct
emergency response cleanups  of hazardous  substance and oil releases  under  the
direction of OSCs.

EPA  lead:   means  that  the  EPA  has primary  responsibility  for  planning  and
conducting either part of or an entire  removal or remedial  action.

expenditure/expense:    means  the  incurring  of  a  liability  or a  payment • of
cash.  The term(s) is often used synonymously with "disbursement"  or "outlay."

facility:   (a)  any   building,  structure,  installation,   equipment,   pipe   or
pipeline  (including  any  pipe into a sewer or  publicly  owned  treatment works),
well,  pit,  pond,  lagoon,   impoundment,   ditch,  landfill,  storage  container,
motor  vehicle,  rolling  stock, or aircraft, or  (b)  any site  or  area  where a
hazardous waste has  been deposited, stored, disposed "of,  placed or  otherwise
came to  be  located;  but does not include any  consumer  product in consumer  use
or vessel.

feasibility  study:    a   study  intended  to   a)   evaluate  alternative  remedial
actions  from a technical,  environmental, and  cost-effectiveness  perspective,
b) recommend  the  cost-effective  remedial  action,  and  c)  prepare a conceptual
design,  cost  estimate for  budgetary  purposes,  and a  preliminary  construction
schedule.

hazardous  substance:   hazardous  substance  means (a)  any  substance designated
pursuant  to  Section  311(b)  (2)  (A)  of the Federal Water Pollution Control Act,
(b) any  element, compound, mixture,  solution,  or substance  designated pursuant
to Section  102  of this  Act, (c) any hazardous waste having the characteristics
identified  under  or  listed pursuant  to  Section 3001  of  the  Solid  Waste
Disposal  Act (excluding any waste the  regulation of  which  under  the Solid
Waste  Disposal has been  suspended by Act of Congress),  (d)  any toxic pollutant

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                                                     OSWER Directive 9242.2-0IB
                                                                        (10/87)
listed  under  Section 307(a)  of  the Federal  Water Pollution  Control  Act, (e)
any hazardous air pollutant listed under Section 112 of the Clean  Air  Act, and
(f)  any imminently  hazardous chemical  substance  or  mixture with  respect to
which the Administrator  [EPA]  has taken  action pursuant  to  Section 7  of the
Toxic Substance  Control  Act.  The  term does not  include  petroleum, including
crude oil or  any fraction thereof which  is  not otherwise  specifically listed
or designated as  a  hazardous substance under Subparagraphs  (a)  through (f) of
this  paragraph,   and the  term  does  not  include natural  gas,  natural  gas
liquids, liquefied  natural gas  or  synthetic gas  usable for  fuel  (or  mixtures
of natural gas and such synthetic gas).

incident:  a  release  or  potential release of oil  or  hazardous substance  at  a
waste site, abandoned facility or fixed operating  facility,  or  resulting from
a transportation-related accident or deliberate dumping.

Incident Obligation  Log:   a  log  that may  be  kept  during  a removal action to
provide  the  OSC  with an accurate record  of daily charges and an estimate of
total project funds available.

invoice package:   a  package  prepared by the ERGS  contractor  for   the  ERGS DPO
on  a  monthly  basis  consisting  of  one  invoice for each  removal  project
conducted  for the   previous  billing  period  and  one  rost  accounting  form
itemizing costs  for each  removal  project conducted  for  the  previous  billing
period.

Memorandum of Understanding  (MOU):   an agreement  between  the EPA  and  another
agency   (Federal,  State,  or   local)   that  sets  forth  basic  policies  and
procedures  governing the  relationship  on  matters  of  mutual  interest  and
responsibility.   There is no exchange of funds under this type of agreement.

National Contingency Plan  (flCP):   officially  known as  the  National  Oil and
Hazardous  Substances  Pollution  Contingency   Plan,   the  MCP  outlines   the
responsibilities   and  authorities   for   responding   to   releases   into  the

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
environment of  hazardous  substances  and  other  pollutants  and  contaminants
under the statutory authority  of  CERCLA and section 311 of the Clean Water Act
(CWA).

National  Priorities  List:    a  list  of  the  highest  priority  releases  or
potential releases of hazardous  substances,  based upon State  and  EPA Regional
submissions of candidate  sites  and the criteria  and methodology  contained in
the  Hazard Ranking  System  (HRS),   in  order  to  allocate  funds  for  remedial
actions.

obligation:   the  amount   of   orders  placed,  contracts   awarded,   services
received,  and similar  transactions  during  a given  period that  will  require
payments during the same  or a future period.  These  will  include  outlays for
which   obligations  have   not   been  previously  recorded   and  will  reflect
adjustments for differences between previously recorded obligations and actual
outlays to liquidate those obligations (OMB Circular A-J4).

On-Scene Coordinator  (OSC):   the  Federal official predesignated by the EPA or
the  USCG to coordinate  and direct  a Federal  response  under  the  National Oil
and  Hazardous Substances  Pollution Contingency Plan (NCP); or the DOD official
designated  to coordinate  and  direct the  removal   actions from   releases  of
hazardous  substances  or  pollutants  or  contaminants  from  DOD   vessels and
facilities.

Ordering  Officer:    the   EPA-designated  Federal  official,   listed   in  the
administrative  recitals  of   each  ERCS  contract,  who   has  been  delegated
authority to  place  orders against  the  ERCS zone contracts.   The  role  may be
assumed  by  EPA  OSCs,  EPA Remedial  Project Managers, and other designed Federal
officials.

POLREP:  reports submitted by the OSC to EPA Headquarters  (RRT)  -.o report on  a
release,  the  decision to  activate  the Fund,  and progress  at  the  response
(including a  description of activities and status of funding).

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
preliminary assessment:  an evaluation  of  the extent of  release  and degree of
threat  to  human health and the  environment in order to  determine whether the
release meets the criteria for a CERCLA-funded removal.

priority site:   a  site that  has been included  on  either the  Interim Priority
List or National Priority List.

Program Manager:   the  ERGS contractor official who  serves  as  the single point
of  contact for  coordination   with  the  EPA HQ  Project  Officer  and  Regional
DPOs.   He   receives  and  is  responsible  for  managing  and  implementing  all
Delivery Orders.

project:    a   group   of   activities   conducted   at   a   site   intended   to
eliminate/remedy a release or  potential release of a hazardous substance which
ooses  an  actual  or  potential  significant  threat   to  human   health.   the
environment,  or real  or  personal  property.   A  project may  focus on  only  a
portion of  the  site  and may be  distinguished by  one  of three classification
schemes:   (1) geographical extent  of the project;   (2)  lead responsibility for
the project (i.e.. Cooperative Agreement vs. State  com ract ) ;  :>r  (3)  type of
remedy.

project ceiling:   represents  the  total  funding approved for  a removal action
and  is established  in  the   initial  removal Action  Memorandum.   The  total
project ceiling is  comprised  of  an itemized breakout  of  the following  cost
categories:   cleanup contractor,  letter contracts  with  states,  site-specific
lAGs, TAT,   NCLP  analytical services, ERT/EERU,  and  EPA  intramural  costs.   RAs
may authorize ceilings  up to 32  million, provided  the project  is  not expected
to exceed  that  amount.  Costs  that would exceed the project  ceiling require a
ceiling increase, which must  be approved through a  ceiling increase request.

Project Officer:   the  EPS official  with overall  responsibility   for  managing
and directing activities  under  the  ERGS zone contracts.   The  Project  Officer
provides a  single  point of  contact  for  the Contracting  Officer  and the  ERGS
zone contractors.

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
release:    Any   spilling,   leaking,  pumping,  pouring,   emitting,   emptying,
discharging,  injecting, escaping, leaching,  pumping,  or disposing of  into  the
environment  (including  the  abandonment or  discarding of  barrels,  containers,
and other closed  receptacles  containing any  hazardous  substance or  pollutant
or  contaminant),  but   excludes:   any  release  that  results  in  exposure  to
persons solely within  a workplace,  with respect to a claim that such persons
may assert  against  the employer of  such persons;  emissions  from the  engine
exhaust of  a  motor vehicle,  rolling  stock,  aircraft,  vessel,  or  pipeline
pumping  station  engine;  release  of  source,  byproduct  or  special  nuclear
material from,  a nuclear  incident,  as  those  terms are defined  in the  Atomic
Energy Act of  1954,  if such release is subject to reguirements with respect to
financial  protection  established by  the  Nuclear  Regulatory Commission  under
section 170  of  such act, or, for the  purpose of section 104 of  CERCLA  or any
other  response  action, any  release of source,  byproduct,  or  special nuclear
material from any processing  site designated under section 122(a)(l)  or 302(a)
of  the  Uranium Mill Tailings  Radiation Control  Act  of  1373;  and the  normal
application  of  fertilizer.   For the  purpose of  the  NCP,  release also  means
substantial threat of release.

remedial   action:    subactivity   in   remedial   response   involving   actual
implementation,  following  design   of  the  selected  source  control  and/or
off-site  remedial  measure.   A  Federally   funded  remedial  action  will  be
undertaken only at those sites included on the National Priority List.

remedial   investigation:    an  investigation   intended   to   gather  the  data
necessary to:   (1)  determine  the nature  and extent  of  problems at  the  site;
(2)  establish   cleanup  criteria  for  the  site;   (3)  identify  preliminary
alternative  remedial actions;  and  (4)  support  the  technical  and cost analyses
of the alternatives.

removal:   the   cleanup  or  removal  of  released hazardous  substances  from the
environment; such actions as may be necessary to  monitor,  assess, and evaluate
the  release or  threat  of  release  of hazardous  substances;  the  disposal of
removed material  or the taking of  such other  actions  as may  be  necessary to
prevent, minimize,  or  mitigate  damage to the  public health  or welfare or the

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
environment, which may  otherwise  result from a  release  or threat  of  release.
The term  includes,  in addition,  without being  limited  to,  security fencing or
other  measures  to  limit  access,  provision of alternative  water  supplies,
temporary  evacuation  and  housing  of  threatened   individuals  not  otherwise
provided for, action taken under section 104(b)  of CERCLA, as  amended  by SARA,
and any  emergency assistance  that  may  be  provided under  the Disaster Relief
Act of 1974.

reportable quantity:   under Section 102 of CERCLA, the quantity  of  a hazardous
substance, that  if  released to the environment, may present substantial danger
to the  public  health or  welfare  or  the environment and  must be  reported to
either the National  Response  Center or the EPA.  Reportable quantities are set
forth in 40 CFR 302.

start:  date the  contractor/OSC mobilizes on site.   This is  reported through
OSC pollution reports.

Statement  of Work (SOW):   an element  of a Delivery  Order that specifies in
detail the  tasks and objectives  to  be  performed  by  a  contractor.   The  SOW
should contain  the  salient points  regarding the background of  the release or
potential release, problem  definition,  purpose  of the work, and a  description
of the services to be performed by the contractor.

Stop  Work Order:   a Notice  of  Work Stoppage  form prepared by  an  Ordering
Officer,  OSC, or Contracting  Officer  requiring  the contractor to stop all, or
any part, of the work called for in a Delivery Order.

task:   a  discrete piece  of  work that addresses  a single objective specified by
a  Statement  of  Work for  planning,  evaluating, or implementing  a  response
action   (e.g.,   hydrogeological   study,  hazardous  waste   characterization,
alternative  analysis,   construction  of  a  fence,  or  installing  a  leachate
control system).

Work  Plan:   the  contractor's submittal  of  a written  response  to  a  Delivery
Order defining  the  technical  approach  for the  project,  the  budget,  and  the
schedule.

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                   OSWER Directive 9242.2-01B
                                      (10/87)
BIBLIOGRAPHY

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                                                     OSWER Directive 9242.2-OLB
                                                                        (10/87)
                                  BIBLIOGRAPHY
EPA Superfund Emergency Contracting  Procedures,  U.S.  Environmental  Protection
Agency,  Procurement  and  Contracts   Management  Division,  Washington,  D.C.,
October 9, 1985.

Guide  for  Control  of Government  Property by  Contractors. U.S.  Environmental
Protection  Agency,   Office  of  Management  Information  and Support  Services,
Washington, D.C., November 1981,

Guidelines and  Specifications for Preparing  Quality  Assurance Project  Plans
for National  Programs Offices, U.S.  Environmental  Protection  Agency,  Quality
Assurance Management Staff,  Washington, D.C.,  May 1985.

Management   Plan   and   Operating    Procedures:	Remedial    Planning/Field
Investigation  Team   Zone  Contracts  -  U.S.   Environmental Protection  Agency,
Hazardous Site Control Division, Washington,  D.C.,  October 1982.

National Oil and Hazardous Substances Contingency Plan,  (40 CFR  Part  300)  U.S.
Environmental Protection Agency, November 20,  1985.

NEIC  Policies  and Procedures, U.S.  Environmental  Protection Agency,  Office of
Enforcement,   National  Enforcement   Investigations  Center   (NEIC),   Denver,
Colorado, May 1978 (Revised February  1983), EPA-330/9-78-001-R.

On-Scene Coordinators  (OSC)  User Guide, U.S.  Environmental  Protection Agency,
Office of Emergency  and Remedial Response,  July 1981 (Revised February 1982).

Procedures for  Identifying Responsible Parties:   Uncontrolled  Hazardous  Waste
Sites  -   Superfund,  Final   Draft,   Barrett  E.  Benson,  U.S.  Environmental
Protection Agency, National Enforcement  Investigations Center  (MEIC),  Denver,
Colorado, February 1982.

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                                                     OSWER Directive 9242.2-01B
                                                                        (10/87)
"Procedures  For   Planning   and   Implementing   Off-Site  Response   Actions,"
Memorandum  from  Jack  McGraw,   Acting  Assistant  Administrator,  to  Regional
Administrators, Regions I-X,  May 6, 1985.

Project Officers  Handbook,  U.S. Environmental  Protection Agency,  Procurement
and Contracts Management Division,  Revised April 1984.

Removal Cost  Management Manual, U.S.  Environmental Protection  Agency,  Office
of Emergency and  Remedial  Response, Washington,  D.C.,  January  1985  (revised
August 1987).

Resource  Conservation and  Recovery Act  of  1976  (RCRA),  42 U.S.C.  Sections
6901-6991i, PL 94-530 (amended Nov. 8,  1984).

State Participation in the Superfund Remedial Program  (Revised Guidance), U.S.
Environmental  Protection Agency,  Office  of Emergency and  Remedial  Response,
February 1984.

Superfund Community  Relations  Handbook,  U.S. Environmental  Protection Agency,
Office of Emergency and Remedial Response, March 1987.

Superfund  Remedial  Project Manager  (RPM) Handbook  for  Federal-Lead Projects,
Draft, U.S.  Environmental  Protection Agency, Office of  Emergency and Remedial
Response, December 1985.

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